CFR-Title 10 - Parts 51 To 199

Title 10
Energy
Parts 51 to 199
Revised as of January 1, 2011
Containing a codification of documents

of general applicability and future effect
As of January 1, 2011
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
wwoods2 on DSK1DXX6B1PROD with CFR
VerDate Mar<15>2010 08:22 Mar 01, 2011 Jkt 223031 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Y:\SGML\223031.XXX 223031
U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos

The seal of the National Archives and Records Administration
(NARA) authenticates the Code of Federal Regulations (CFR) as
the official codification of Federal regulations established under
the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the
contents of the CFR, a special edition of the Federal Register, shall
be judicially noticed. The CFR is prima facie evidence of the origi-
nal documents published in the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA’s official seal and the stylized Code
of Federal Regulations logo on any republication of this material
without the express, written permission of the Archivist of the
United States or the Archivist’s designee. Any person using
NARA’s official seals and logos in a manner inconsistent with the
provisions of 36 CFR part 1200 is subject to the penalties specified
in 18 U.S.C. 506, 701, and 1017.
Use of ISBN Prefix

This is the Official U.S. Government edition of this publication
and is herein identified to certify its authenticity. Use of the 0–16
ISBN prefix is for U.S. Government Printing Office Official Edi-
tions only. The Superintendent of Documents of the U.S. Govern-
ment Printing Office requests that any reprinted edition clearly be
labeled as a copy of the authentic work with a new ISBN.
U.S. GOVERNMENT PRINTING OFFICE
U.S. Superintendent of Documents • Washington, DC 20402–0001

e:\seals\gpologo.eps</GPH>
http://bookstore.gpo.gov
Phone: toll-free (866) 512-1800; DC area (202) 512-1800
e:\seals\archives.ai</GPH>
Table of Contents
Page
Explanation ................................................................................................ v
Title 10:
Chapter I—Nuclear Regulatory Commission (Continued) ............... 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 839
Alphabetical List of Agencies Appearing in the CFR ......................... 859
List of CFR Sections Affected ............................................................. 869

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 10 CFR 51.1
refers to title 10, part
51, section 1.
iv
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 agen-
cies 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 sub-
divided 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 deter-
mine 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, 2011), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which ap-
pears 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 Reg-
ister 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 usu-
ally 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.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments 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 eleven separate volumes. For the period beginning January 1, 2001, a ‘‘List
of CFR Sections Affected’’ is published at the end of each CFR volume.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal
Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca-
tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that
a portion of the CFR was left vacant and not accidentally dropped due to a print-
ing or computer error.
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 regu-
lations in the Federal Register by referring to materials already published else-
where. 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 mate-
rial 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 pub-
lished 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.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed as an approved incorpora-
tion 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, 8601 Adelphi Road, College Park, MD 20740-6001, 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 Authorities and Rules. A list of CFR
titles, chapters, subchapters, and parts and an alphabetical list of agencies pub-
lishing in the CFR are also included in this volume.
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
vi
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.
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, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail
fedreg.info@nara.gov.
SALES
The Government Printing Office (GPO) processes all sales and distribution of
the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202-
512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours
a day. For payment by check, write to: US Government Printing Office – New
Orders, P.O. Box 979050, St. Louis, MO 63197-9000.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections
Affected), The United States Government Manual, the Federal Register, Public
Laws, Public Papers of the Presidents of the United States, Compilation of Presi-
dential Documents and the Privacy Act Compilation are available in electronic
format via www.ofr.gov. For more information, contact the GPO Customer Con-
tact Center, U.S. Government Printing Office. Phone 202-512-1800, or 866-512-1800
(toll-free). E-mail, gpo@custhelp.com.
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.archives.gov/federal-register.
RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
January 1, 2011.
vii
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—Nu-
clear Regulatory Commission. The third and fourth volumes containing part 200–
end are comprised of chapters II, III and X—Department of Energy, chapter XIII—
Nuclear Waste Technical Review Board, and chapter XVII—Defense Nuclear Fa-
cilities Safety Board. The contents of these volumes represent all current regula-
tions codified under this title of the CFR as of January 1, 2011.
For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L. White, as-
sisted by Ann Worley.
ix
Title 10—Energy
(This book contains parts 51 to 199)
Part
CHAPTER I—Nuclear Regulatory Commission (Continued) .... 51

CHAPTER I—NUCLEAR REGULATORY
COMMISSION (CONTINUED)
EDITORIAL NOTE: Nomenclature changes to chapter I appear at 70 FR 69421, Nov. 16, 2005,
and at 72 FR 33386, June 18, 2007.
Part Page
51 Environmental protection regulations for domestic
licensing and related regulatory functions .......... 5
52 Licenses, certifications, and approvals for nuclear
power plants ......................................................... 68
53 [Reserved]
54 Requirements for renewal of operating licenses for
nuclear power plants ............................................ 143
55 Operators’ licenses .................................................. 150
60 Disposal of high-level radioactive wastes in geo-
logic repositories .................................................. 166
61 Licensing requirements for land disposal of radio-
active waste ......................................................... 202
62 Criteria and procedures for emergency access to
non-federal and regional low-level waste disposal
facilities ............................................................... 229
63 Disposal of high-level radioactive wastes in a geo-
logic repository at Yucca Mountain, Nevada ....... 237
70 Domestic licensing of special nuclear material ...... 280
71 Packaging and transportation of radioactive mate-
rial ....................................................................... 329
72 Licensing requirements for the independent stor-
age of spent nuclear fuel, high-level radioactive
waste, and reactor-related greater than Class C
waste .................................................................... 382
73 Physical protection of plants and materials ........... 444
74 Material control and accounting of special nuclear
material ............................................................... 560
75 Safeguards on nuclear material—implementation
of US/IAEA agreement ......................................... 584
76 Certification of gaseous diffusion plants ................. 600

81 Standard specifications for the granting of patent
licenses ................................................................. 626
10 CFR Ch. I (1–1–11 Edition)
Part Page
95 Facility security clearance and safeguarding of na-
tional security information and restricted data .. 633
100 Reactor site criteria ................................................ 651
110 Export and import of nuclear equipment and mate-
rial ....................................................................... 666
140 Financial protection requirements and indemnity
agreements ........................................................... 720
150 Exemptions and continued regulatory authority in
Agreement States and in offshore waters under
section 274 ............................................................ 792
160 Trespassing on Commission property ...................... 806
170 Fees for facilities, materials, import and export li-
censes, and other regulatory services under the
Atomic Energy Act of 1954, as amended ............... 807
171 Annual fees for reactor licenses and fuel cycle li-
censes and materials licenses, including holders
of certificates of compliance, registrations, and
quality assurance program approvals and govern-
ment agencies licensed by the NRC ..................... 822
172–199 [Reserved]
PART 51—ENVIRONMENTAL PRO- 51.29 Scoping-environmental impact state-
ment and supplement to environmental
TECTION REGULATIONS FOR DO- impact statement.
MESTIC LICENSING AND RELATED
REGULATORY FUNCTIONS ENVIRONMENTAL ASSESSMENT
51.30 Environmental assessment.

Sec. 51.31 Determinations based on environ-
51.1 Scope. mental assessment.
51.2 Subparts.
51.3 Resolution of conflict. FINDING OF NO SIGNIFICANT IMPACT
51.4 Definitions. 51.32 Finding of no significant impact.
51.5 Interpretations. 51.33 Draft finding of no significant impact;
51.6 Specific exemptions. distribution.
51.34 Preparation of finding of no signifi-
Subpart A—National Environmental Policy cant impact.
Act—Regulations Implementing Sec- 51.35 Requirement to publish finding of no
tion 102(2) significant impact; limitation on Com-
mission action.
51.10 Purpose and scope of subpart; applica-
tion of regulations of Council on Envi- ENVIRONMENTAL REPORTS AND INFORMATION—
ronmental Quality. REQUIREMENTS APPLICABLE TO APPLICANTS
51.11 Relationship to other subparts. [Re- AND PETITIONERS FOR RULEMAKING
served]
51.12 Application of subpart to ongoing en- GENERAL
vironmental work.
51.40 Consultation with NRC staff.
51.13 Emergencies.
51.41 Requirement to submit environmental
51.14 Definitions.
51.15 Time schedules. information.
51.16 Proprietary information. ENVIRONMENTAL REPORTS—GENERAL
51.17 Information collection requirements; REQUIREMENTS
OMB approval.
51.45 Environmental report.
PRELIMINARY PROCEDURES
ENVIRONMENTAL REPORTS—PRODUCTION AND
CLASSIFICATION OF LICENSING AND UTILIZATION FACILITIES
REGULATORY ACTIONS
51.49 Environmental report—limited work
51.20 Criteria for and identification of li- authorization.
censing and regulatory actions requiring 51.50 Environmental report—construction
environmental impact statements. permit, early site permit, or combined li-
51.21 Criteria for and identification of license stage.
censing and regulatory actions requiring 51.51 Uranium fuel cycle environmental
environmental assessments. data—Table S–3.
51.22 Criterion for categorical exclusion; 51.52 Environmental effects of transpor-
identification of licensing and regulatory tation of fuel and waste—Table S–4.
actions eligible for categorical exclusion 51.53 Postconstruction environmental re-
or otherwise not requiring environ- ports.
mental review. 51.54 Environmental report—manufacturing
51.23 Temporary storage of spent fuel after license.
cessation of reactor operation—generic 51.55 Environmental report—standard de-
determination of no significant environ- sign certification.
mental impact. 51.58 Environmental report—number of cop-
ies; distribution.
DETERMINATIONS TO PREPARE ENVIRONMENTAL
IMPACT STATEMENTS, ENVIRONMENTAL AS- ENVIRONMENTAL REPORTS—MATERIALS
SESSMENTS OR FINDINGS OF NO SIGNIFICANT LICENSES
IMPACT, AND RELATED PROCEDURES
51.60 Environmental report—materials li-
51.25 Determination to prepare environ- censes.
mental impact statement or environ- 51.61 Environmental report—independent
mental assessment; eligibility for cat- spent fuel storage installation (ISFSI) or
egorical exclusion. monitored retrievable storage installa-
51.26 Requirement to publish notice of in- tion (MRS) license.
tent and conduct scoping process. 51.62 Environmental report—land disposal
51.27 Notice of intent.
of radioactive waste licensed under 10

CFR part 61.
SCOPING
51.66 Environmental report—number of cop-
51.28 Scoping—participants. ies; distribution.
Pt. 51 10 CFR Ch. I (1–1–11 Edition)
51.67 Environmental information con- FINAL ENVIRONMENTAL IMPACT STATEMENTS—
cerning geologic repositories. PRODUCTION AND UTILIZATION FACILITIES
ENVIRONMENTAL REPORTS—RULEMAKING 51.95 Postconstruction environmental im-

pact statements.
51.68 Environmental report—rulemaking.
FINAL ENVIRONMENTAL IMPACT STATEMENTS—
ENVIRONMENTAL IMPACT STATEMENTS MATERIALS LICENSES
DRAFT ENVIRONMENTAL IMPACT STATEMENTS— 51.97 Final environmental impact state-
GENERAL REQUIREMENTS ment—materials license.
51.70 Draft environmental impact state- FINAL ENVIRONMENTAL IMPACT STATEMENTS—
ment—general. RULEMAKING
51.71 Draft environmental impact state-
ment—contents. 51.99 [Reserved]
51.72 Supplement to draft environmental
impact statement. NEPA PROCEDURE AND ADMINISTRATIVE
51.73 Request for comments on draft envi- ACTION
ronmental impact statement.
GENERAL
51.74 Distribution of draft environmental
impact statement and supplement to 51.100 Timing of Commission action.
draft environmental impact statement; 51.101 Limitations on actions.
news releases. 51.102 Requirement to provide a record of
decision; preparation.
DRAFT ENVIRONMENTAL IMPACT STATEMENTS— 51.103 Record of decision—general.
PRODUCTION AND UTILIZATION FACILITIES 51.104 NRC proceeding using public hear-
51.75 Draft environmental impact state- ings; consideration of environmental im-
ment—construction permit, early site pact statement.
permit, or combined license.
PRODUCTION AND UTILIZATION FACILITIES
51.76 Draft environmental impact state-
ment—limited work authorization. 51.105 Public hearings in proceedings for
51.77 Distribution of draft environmental issuance of construction permits or early
impact statement. site permits; limited work authoriza-
tions.
DRAFT ENVIRONMENTAL IMPACT STATEMENTS— 51.105a Public hearings in proceedings for
MATERIALS LICENSES issuance of manufacturing licenses.
51.80 Draft environmental impact state- 51.106 Public hearings in proceedings for
ment—materials license. issuance of operating licenses.
51.81 Distribution of draft environmental 51.107 Public hearings in proceedings for
impact statement. issuance of combined licenses; limited
work authorizations.
DRAFT ENVIRONMENTAL IMPACT STATEMENTS— 51.108 Public hearings on Commission find-
RULEMAKING ings that inspections, tests, analyses,
51.85 Draft environmental impact state- and acceptance criteria of combined li-
ment—rulemaking. censes are met.
51.86 Distribution of draft environmental MATERIALS LICENSES
impact statement.
51.109 Public hearings in proceedings for
LEGISLATIVE ENVIRONMENTAL IMPACT issuance of materials license with re-
STATEMENTS—PROPOSALS FOR LEGISLATION spect to a geologic repository.
51.88 Proposals for legislation. RULEMAKING
FINAL ENVIRONMENTAL IMPACT STATEMENTS— 51.110 [Reserved]
GENERAL REQUIREMENTS
PUBLIC NOTICE OF AND ACCESS TO
51.90 Final environmental impact state- ENVIRONMENTAL DOCUMENTS
ment—general.
51.91 Final environmental impact state- 51.116 Notice of intent.
ment—contents. 51.117 Draft environmental impact state-
51.92 Supplement to the final environment—notice of availability.
mental impact statement. 51.118 Final environmental impact state-
51.93 Distribution of final environmental ment—notice of availability.
impact statement and supplement to 51.119 Publication of finding of no signifi-
final environmental impact statement; cant impact; distribution.

news releases. 51.120 Availability of environmental docu-
51.94 Requirement to consider final environments for public inspection.
mental impact statement. 51.121 Status of NEPA actions.
Nuclear Regulatory Commission § 51.4
51.122 List of interested organizations and (a) Section 102(2) of the National En-
groups. vironmental Policy Act of 1969, as
51.123 Charges for environmental docu- amended.
ments; distribution to public; distribu-
tion to governmental agencies. § 51.2 Subparts.
COMMENTING (a) The regulations in subpart A of
51.124 Commission duty to comment. this part implement section 102(2) of
the National Environmental Policy Act
RESPONSIBLE OFFICIAL of 1969, as amended.
51.125 Responsible official.
§ 51.3 Resolution of conflict.
APPENDIX A TO SUBPART A OF PART 51—FOR-
MAT FOR PRESENTATION OF MATERIAL IN In any conflict between a general
ENVIRONMENTAL IMPACT STATEMENTS rule in subpart A of this part and a spe-
APPENDIX B TO SUBPART A OF PART 51—ENVI- cial rule in another subpart of this part
RONMENTAL EFFECT OF RENEWING THE OP- or another part of this chapter applica-
ERATING LICENSE OF A NUCLEAR POWER ble to a particular type of proceeding,
PLANT the special rule governs.
Subpart B [Reserved] § 51.4 Definitions.
AUTHORITY: Sec. 161, 68 Stat. 948, as amend- As used in this part:
ed, sec. 1701, 106 Stat. 2951, 2952, 2953, (42 Act means the Atomic Energy Act of
U.S.C. 2201, 2297f); secs. 201, as amended, 202, 1954 (Pub. L. 83–703, 68 Stat. 919) includ-
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, ing any amendments thereto.
5842); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 Commission means the Nuclear Regu-
note). latory Commission or its authorized
Subpart A also issued under National Envi- representatives.
ronmental Policy Act of 1969, secs. 102, 104,
105, 83 Stat. 853–854, as amended (42 U.S.C. Construction means the activities in
4332, 4334, 4335); and Pub. L. 95–604, Title II, 92 paragraph (1) of this definition, and
Stat. 3033–3041; and sec. 193, Pub. L. 101–575, does not mean the activities in para-
104 Stat. 2835 (42 U.S.C. 2243). graph (2) of this definition.
Sections 51.20, 51.30, 51.60, 51.80. and 51.97 (1) Activities constituting construc-
also issued under secs. 135, 141, Pub. L. 97–425, tion are the driving of piles, subsurface
96 Stat. 2232, 2241, and sec. 148, Pub. L. 100– preparation, placement of backfill,
203, 101 Stat. 1330–223 (42 U.S.C. 10155, 10161, concrete, or permanent retaining walls
10168).
within an excavation, installation of
Section 51.22 also issued under sec. 274, 73
Stat. 688, as amended by 92 Stat. 3036–3038 (42 foundations, or in-place assembly,
U.S.C. 2021) and under Nuclear Waste Policy erection, fabrication, or testing, which
Act of 1982, sec 121, 96 Stat. 2228 (42 U.S.C. are for:
10141). (i) Safety-related structures, sys-
Sections 51.43, 51.67, and 51.109 also under tems, or components (SSCs) of a facil-
Nuclear Waste Policy Act of 1982, sec 114(f), ity, as defined in 10 CFR 50.2;
96 Stat. 2216, as amended (42 U.S.C. 10134(f)). (ii) SSCs relied upon to mitigate ac-
SOURCE: 49 FR 9381, Mar. 12, 1984, unless cidents or transients or used in plant
otherwise noted. emergency operating procedures;
(iii) SSCs whose failure could prevent
§ 51.1 Scope. safety-related SSCs from fulfilling
This part contains environmental their safety-related function;
protection regulations applicable to (iv) SSCs whose failure could cause a
NRC’s domestic licensing and related reactor scram or actuation of a safety-
regulatory functions. These regula- related system;
tions do not apply to export licensing (v) SSCs necessary to comply with 10
matters within the scope of part 110 of CFR part 73;
this chapter or to any environmental (vi) SSCs necessary to comply with 10
effects which NRC’s domestic licensing CFR 50.48 and criterion 3 of 10 CFR part
and related regulatory functions may 50, appendix A; and
have upon the environment of foreign (vii) Onsite emergency facilities (i.e.,
nations. Subject to these limitations, technical support and operations sup-
the regulations in this part implement: port centers), necessary to comply with
§ 51.5 10 CFR Ch. I (1–1–11 Edition)
10 CFR 50.47 and 10 CFR part 50, appen- NRC means the Nuclear Regulatory
dix E. Commission, the agency established by
(2) Construction does not include: Title II of the Energy Reorganization
(i) Changes for temporary use of the Act of 1974, as amended.
land for public recreational purposes; NRC staff means any NRC officer or
(ii) Site exploration, including nec- employee or his/her authorized rep-
essary borings to determine foundation resentative, except a Commissioner, a
conditions or other preconstruction member of a Commissioner’s imme-
monitoring to establish background in-
diate staff, an Atomic Safety and Li-
formation related to the suitability of
censing Board, an Atomic Safety and
the site, the environmental impacts of
construction or operation, or the pro- Licensing Appeal Board, a presiding of-
tection of environmental values; ficer, an administrative judge, an ad-
(iii) Preparation of a site for con- ministrative law judge, or any other of-
struction of a facility, including clear- ficer or employee of the Commission
ing of the site, grading, installation of who performs adjudicatory functions.
drainage, erosion and other environ- NRC Staff Director means:
mental mitigation measures, and con-
Executive Director for Operations;
struction of temporary roads and bor-
Director, Office of Nuclear Reactor Regula-
row areas; tion;
(iv) Erection of fences and other ac- Director, Office of New Reactors;
cess control measures;
Director, Office of Nuclear Material Safety
(v) Excavation; and Safeguards;
(vi) Erection of support buildings Director, Office of Federal and State Mate-
(such as, construction equipment stor- rials and Environmental Management Pro-
age sheds, warehouse and shop facili- grams;
ties, utilities, concrete mixing plants, Director, Office of Nuclear Regulatory Re-
docking and unloading facilities, and search;
office buildings) for use in connection Director, Office of Governmental and Public
with the construction of the facility; Affairs; and
(vii) Building of service facilities, The designee of any NRC staff director.
such as paved roads, parking lots, rail-
road spurs, exterior utility and light- [49 FR 9381, Mar. 12, 1984, as amended at 51
FR 35999, Oct. 8, 1986; 52 FR 31612, Aug. 21,
ing systems, potable water systems,
1987; 72 FR 57443, Oct. 9, 2007; 73 FR 5723, Jan.
sanitary sewerage treatment facilities,
31, 2008]
transmission lines;
(viii) Procurement or fabrication of § 51.5 Interpretations.
components or portions of the proposed
facility occurring at other than the Except as specifically authorized by
final, in-place location at the facility; the Commission in writing, no inter-
(ix) Manufacture of a nuclear power pretation of the regulations in this
reactor under a manufacturing license part by any officer or employee of the
under subpart F of part 52 of this chap- Commission other than a written inter-
ter to be installed at the proposed site pretation by the General Counsel will
and to be part of the proposed facility; be recognized to be binding upon the
or Commission.
(x) With respect to production or uti-
lization facilities, other than testing § 51.6 Specific exemptions.
facilities and nuclear power plants, re- The Commission may, upon applica-
quired to be licensed under Section tion of any interested person or upon
104.a or Section 104.c of the Act, the its own initiative, grant such exemp-
erection of buildings which will be used
tions from the requirements of the reg-
for activities other than operation of a
ulations in this part as it determines
facility and which may also be used to
are authorized by law and are other-
house a facility (e.g., the construction
of a college laboratory building with wise in the public interest.

space for installation of a training re-
actor).
Subpart A—National Environ- to prepare an independent environ-

mental Policy Act—Regula- mental impact statement whenever the
tions Implementing Section NRC has regulatory jurisdiction over
102(2) an acitivity even though the NRC has
not been designated as lead agency for
§ 51.10 Purpose and scope of subpart; preparation of the statement; and
application of regulations of Coun- (3) Reserve the right to make a final
cil on Environmental Quality. decision on any matter within the
(a) The National Environmental Pol- NRC’s regulatory authority even
icy Act of 1969, as amended (NEPA) di- though another agency has made a
rects that, to the fullest extent pos- predecisional referral of an NRC action
sible: (1) The policies, regulations, and to the Council under the procedures of
public laws of the United States shall 40 CFR part 1504.
be interpreted and administered in ac- (c) The regulations in this subpart 1
cordance with the policies set forth in also address the limitations imposed on
NEPA, and (2) all agencies of the Fed-
NRC’s authority and responsibility
eral Government shall comply with the
under the National Environmental Pol-
procedures in section 102(2) of NEPA
except where compliance would be in- icy Act of 1969, as amended, by the Fed-
consistent with other statutory re- eral Water Pollution Control Act
quirements. The regulations in this Amendments of 1972, Pub. L. 92–500, 86
subpart implement section 102(2) of Stat. 816 et seq. (33 U.S.C. 1251 et seq.) In
NEPA in a manner which is consistent accordance with section 511(c)(2) of the
with the NRC’s domestic licensing and Federal Water Pollution Control Act
related regulatory authority under the (86 Stat. 893, 33 U.S.C 1371(c)(2)) the
Atomic Energy Act of 1954, as amend- NRC recognizes that responsibility for
ed, the Energy Reorganization Act of Federal regulation of nonradiological
1974, as amended, and the Uranium Mill pollutant discharges 2 into receiving
Tailings Radiation Control Act of 1978, waters rests by statute with the Envi-
and which reflects the Commission’s ronmental Protection Agency.
announced policy to take account of (d) Commission actions initiating or
the regulations of the Council on Envi- relating to administrative or judicial
ronmental Quality published November civil or criminal enforcement actions
29, 1978 (43 FR 55978–56007) voluntarily,
or proceedings are not subject to Sec-
subject to certain conditions. This sub-
tion 102(2) of NEPA. These actions in-
part does not apply to export licensing
matters within the scope of part 110 of clude issuance of notices of violation,
this chapter nor does it apply to any orders, and denials of requests for ac-
environmental effects which NRC’s do- tion pursuant to subpart B of part 2 of
mestic licensing and related regulatory this chapter; matters covered by part
functions may have upon the environ- 15 and part 160 of this chapter; and
ment of foreign nations. issuance of confirmatory action let-
(b) The Commission recognizes a con- ters, bulletins, generic letters, notices
tinuing obligation to conduct its do-
mestic licensing and related regulatory
functions in a manner which is both re- 1 See also Second Memorandum of Under-
ceptive to environmental concerns and standing Regarding Implementation of Cer-
consistent with the Commission’s retain NRC and EPA Responsibilities and Pol-
sponsibility as an independent regu- icy Statement on Implementation of Section
latory agency for protecting the radio- 511 of the Federal Water Pollution Control
logical health and safety of the public. Act (FWPCA) attached as Appendix A there-
Accordingly, the Commission will: to, which were published in the FEDERAL
(1) Examine any future interpreta- REGISTER on December 31, 1975 (40 FR 60115)
tion or change to the Council’s NEPA and became effective January 30, 1976.
2 On June 1, 1976, the U.S. Supreme Court
regulations; held that ‘‘ ‘pollutants’ subject to regulation
(2) Follow the provisions of 40 CFR
under the FWPCA [Federal Water Pollution

1501.5 and 1501.6 relating to lead agen- Control Act] do not include source, byprod-
cies and cooperating agencies, except uct, and special nuclear materials, . . .’’
that the Commission reserves the right Train v. Colorado PIRG, 426 U.S. 1 at 25.
§ 51.11 10 CFR Ch. I (1–1–11 Edition)
of deviation, and notices of non- for which, therefore, neither an envi-

conformance. ronmental assessment nor an environ-
[49 FR 9381, Mar. 12, 1984, as amended at 54
mental impact statement is required.
FR 43578, Oct. 26, 1989; 61 FR 43408, Aug. 22, Cooperating Agency means any Fed-
1996] eral agency other than the NRC which
has jurisdiction by law or special ex-
§ 51.11 Relationship to other subparts. pertise with respect to any environ-
[Reserved] mental impact involved in a proposal
(or a reasonable alternative) for legis-
§ 51.12 Application of subpart to ongo- lation or other major Federal action
ing environmental work.
significantly affecting the quality of
(a) Except as otherwise provided in the human environment. By agreement
this section, the regulations in this with the Commission, a State or local
subpart shall apply to the fullest ex- agency of similar qualifications or,
tent practicable to NRC’s ongoing envi- when the effects are on a reservation,
ronmental work. an Indian Tribe, may become a cooper-
(b) No environmental report or any ating agency.
supplement to an environmental report Council means the Council on Envi-
filed with the NRC and no environ- ronmental Quality (CEQ) established
mental assessment, environmental im- by Title II of NEPA.
pact statement or finding of no signifi- DOE means the U.S. Department of
cant impact or any supplement to any Energy or its duly authorized rep-
of the foregoing issued by the NRC be- resentatives.
fore June 7, 1984, need be redone and no Environmental Assessment means a
notice of intent to prepare an environ- concise public document for which the
mental impact statement or notice of Commission is responsible that serves
availability of these environmental to:
documents need be republished solely (1) Briefly provide sufficient evidence
by reason of the promulgation on and analysis for determining whether
March 12, 1984, of this revision of part to prepare an environmental impact
51. statement or a finding of no significant
[49 FR 9381, Mar. 12, 1984, as amended at 49 impact.
FR 24513, June 14, 1984] (2) Aid the Commission’s compliance
with NEPA when no environmental im-
§ 51.13 Emergencies. pact statement is necessary.
Whenever emergency circumstances (3) Facilitate preparation of an envi-
make it necessary and whenever, in ronmental impact statement when one
other situations, the health and safety is necessary.
of the public may be adversely affected Environmental document includes an
if mitigative or remedial actions are environmental assessment, an environ-
delayed, the Commission may take an mental impact statement, a finding of
action with significant environmental no significant impact, an environ-
impact without observing the provi- mental report and any supplements to
sions of these regulations. In taking an or comments upon those documents,
action covered by this section, the and a notice of intent.
Commission will consult with the Environmental Impact Statement means
Council as soon as feasible concerning a detailed written statement as re-
appropriate alternative NEPA arrange- quired by section 102(2)(C) of NEPA.
ments. Environmental report means a docu-
ment submitted to the Commission by
§ 51.14 Definitions. an applicant for a permit, license, or
(a) As used in this subpart: other form of permission, or an amend-
Categorical Exclusion means a cat- ment to or renewal of a permit, license
egory of actions which do not individ- or other form of permission, or by a pe-
ually or cumulatively have a signifi- titioner for rulemaking, in order to aid
cant effect on the human environment the Commission in complying with sec-
and which the Commission has found tion 102(2) of NEPA.

to have no such effect in accordance Finding of No Significant Impact
with procedures set out in § 51.22, and means a concise public document for
10
which the Commission is responsible part of an adjudicatory or rulemaking

that briefly states the reasons why an proceeding to the extent that each has
action, not otherwise excluded, will not jurisdiction.
have a significant effect on the human
environment and for which therefore [49 FR 9381, Mar. 12, 1984, as amended at 69
FR 2276, Jan. 14, 2004]
an environmental impact statement
will not be prepared.
§ 51.16 Proprietary information.
NEPA means the National Environ-
mental Policy Act of 1969, as amended (a) Proprietary information, such as
(Pub. L. 91–190, 83 Stat. 852, 856, as trade secrets or privileged or confiden-
amended by Pub. L. 94–83, 89 Stat. 424, tial commercial or financial informa-
42 U.S.C. 4321, et seq.). tion, will be treated in accordance with
Notice of Intent means a notice that the procedures provided in § 2.390 of
an environmental impact statement this chapter.
will be prepared and considered. (b) Any proprietary information
Uranium enrichment facility means: which a person seeks to have withheld
(1) Any facility used for separating
from public disclosure shall be sub-
the isotopes for uranium or enriching
mitted in accordance with § 2.390 of this
uranium in the isotope 235, except lab-
oratory scale facilities designed or chapter. When submitted, the propri-
used for experimental or analytical etary information should be clearly
purposes only; or identified and accompanied by a re-
(2) Any equipment or device, or im- quest, containing detailed reasons and
portant component part especially de- justifications, that the proprietary in-
signed for such equipment or device, formation be withheld from public dis-
capable of separating the isotopes of closure. A non-proprietary summary
uranium or enriching uranium in the describing the general content of the
isotope 235. proprietary information should also be
(b) The definitions in 40 CFR 1508.3, provided.
1508.7, 1508.8, 1508.14, 1508.15, 1508.16,
[69 FR 2276, Jan. 14, 2004]
1508.17, 1508.18, 1508.20, 1508.23, 1508.25,
1508.26, and 1508.27, will also be used in
§ 51.17 Information collection require-
implementing section 102(2) of NEPA. ments; OMB approval.
(a) The Nuclear Regulatory Commis-
FR 18391, Apr. 30, 1992]
sion has submitted the information
§ 51.15 Time schedules. collection requirements contained in
Consistent with the purposes of this part to the Office of Management
NEPA, the Administrative Procedure and Budget (OMB) for approval as re-
Act, the Commission’s rules of practice quired by the Paperwork Reduction
in part 2 of this chapter, §§ 51.100 and Act (44 U.S.C. 3501 et seq.). The NRC
51.101, and with other essential consid- may not conduct or sponsor, and a per-
erations of national policy: son is not required to respond to, a col-
(a) The appropriate NRC staff direc- lection of information unless it dis-
tor may, and upon the request of an ap- plays a currently valid OMB control
plicant for a proposed action or a peti- number. OMB has approved the infor-
tioner for rulemaking shall, establish a mation collection requirements con-
time schedule for all or any contained in this part under control num-
stituent part of the NRC staff NEPA ber 3150–0021.
process. To the maximum extent prac- (b) The approved information collec-
ticable, the NRC staff will conduct its tion requirements in this part appear
NEPA review in accordance with any in §§ 51.6, 51.16, 51.41, 51.45, 51.49, 51.50,
time schedule established under this 51.51, 51.52, 51.53, 51.54, 51.55, 51.58, 51.60,
section. 51.61, 51.62, 51.66, 51.68, and 51.69.
(b) As specified in 10 CFR part 2, the
presiding officer, the Atomic Safety [49 FR 24513, June 14, 1984, as amended at 62
and Licensing Board or the Commis- FR 52188, Oct. 6, 1997; 67 FR 67100, Nov. 4,
sioners acting as a collegial body may 2002; 72 FR 57443, Oct. 9, 2007]
establish a time schedule for all or any
11
§ 51.20 10 CFR Ch. I (1–1–11 Edition)
PRELIMINARY PROCEDURES (8) Issuance of a license to possess

and use source material for uranium
CLASSIFICATION OF LICENSING AND milling or production of uranium
REGULATORY ACTIONS hexafluoride pursuant to part 40 of this
chapter.
§ 51.20 Criteria for and identification
of licensing and regulatory actions (9) Issuance of a license pursuant to
requiring environmental impact part 72 of this chapter for the storage
statements. of spent fuel in an independent spent
(a) Licensing and regulatory actions fuel storage installation (ISFSI) at a
requiring an environmental impact site not occupied by a nuclear power
statement shall meet at least one of reactor, or for the storage of spent fuel
the following criteria: or high-level radioactive waste in a
(1) The proposed action is a major monitored retrievable storage installa-
Federal action significantly affecting tion (MRS).
the quality of the human environment. (10) Issuance of a license for a ura-
(2) The proposed action involves a nium enrichment facility.
matter which the Commission, in the (11) Issuance of renewal of a license
exercise of its discretion, has deter- authorizing receipt and disposal of ra-
mined should be covered by an environ- dioactive waste from other persons
mental impact statement. pursuant to part 61 of this chapter.
(b) The following types of actions re- (12) Issuance of a license amendment
quire an environmental impact state- pursuant to part 61 of this chapter au-
ment or a supplement to an environ- thorizing (i) closure of a land disposal
mental impact statement: site, (ii) transfer of the license to the
(1) Issuance of a limited work author- disposal site owner for the purpose of
ization or a permit to construct a nu- institutional control, or (iii) termi-
clear power reactor, testing facility, or nation of the license at the end of the
fuel reprocessing plant under part 50 of institutional control period.
this chapter, or issuance of an early (13) Issuance of a construction au-
site permit under part 52 of this chap- thorization and license pursuant to
ter. part 60 or part 63 of this chapter.
(2) Issuance or renewal of a full power (14) Any other action which the Com-
or design capacity license to operate a mission determines is a major Commis-
nuclear power reactor, testing facility, sion action significantly affecting the
or fuel reprocessing plant under part 50 quality of the human environment. As
of this chapter, or a combined license provided in § 51.22(b), the Commission
under part 52 of this chapter. may, in special circumstances, prepare
(3) Issuance of a permit to construct an environmental impact statement on
or a design capacity license to operate an action covered by a categorical ex-
or renewal of a design capacity license clusion.
to operate an isotopic enrichment
plant pursuant to part 50 of this chap-
FR 31681, Aug. 19, 1988; 53 FR 24052, June 27,
ter. 1988; 54 FR 15398, Apr. 18, 1989; 54 FR 27870,
(4) Conversion of a provisional oper- July 3, 1989; 57 FR 18392, Apr. 30, 1992; 66 FR
ating license for a nuclear power reac- 55790, Nov. 2, 2001; 72 FR 49509, Aug. 28, 2007]
tor, testing facility or fuel reprocessing
plant to a full term or design capacity § 51.21 Criteria for and identification
license pursuant to part 50 of this chap- of licensing and regulatory actions
ter if a final environmental impact requiring environmental assess-
statement covering full term or design ments.
capacity operation has not been pre- All licensing and regulatory actions
viously prepared. subject to this subpart require an envi-
(5)–(6) [Reserved] ronmental assessment except those
(7) Issuance of a license to possess identified in § 51.20(b) as requiring an
and use special nuclear material for environmental impact statement,
processing and fuel fabrication, scrap those identified in § 51.22(c) as categor-
recovery, or conversion of uranium ical exclusions, and those identified in

hexafluoride pursuant to part 70 of this § 51.22(d) as other actions not requiring
chapter. environmental review. As provided in
12
§ 51.22(b), the Commission may, in spe- or other forms of permission or for

cial circumstances, prepare an environ- amendments to or renewals of licenses
mental assessment on an action cov- or construction permits or early site
ered by a categorical exclusion. permits or other forms of permission;
[54 FR 27870, July 3, 1989] (ii) Recordkeeping requirements;
(iii) Reporting requirements;
§ 51.22 Criterion for categorical exclu- (iv) Education, training, experience,
sion; identification of licensing and qualification or other employment
regulatory actions eligible for cat- suitability requirements or
egorical exclusion or otherwise not
requiring environmental review. (v) Actions on petitions for rule-
making relating to these amendments.
(a) Licensing, regulatory, and admin- (4) Entrance into or amendment, sus-
istrative actions eligible for categor- pension, or termination of all or part of
ical exclusion shall meet the following an agreement with a State pursuant to
criterion: The action belongs to a cat- section 274 of the Atomic Energy Act of
egory of actions which the Commis- 1954, as amended, providing for assump-
sion, by rule or regulation, has de- tion by the State and discontinuance
clared to be a categorical exclusion, by the Commission of certain regu-
after first finding that the category of latory authority of the Commission.
actions does not individually or cumu- (5) Procurement of general equip-
latively have a significant effect on the ment and supplies.
human environment.
(6) Procurement of technical assist-
(b) Except in special circumstances,
ance, confirmatory research provided
as determined by the Commission upon
that the confirmatory research does
its own initiative or upon request of
not involve any significant construc-
any interested person, an environ-
tion impacts, and personal services re-
mental assessment or an environ-
lating to the safe operation and protec-
mental impact statement is not re-
tion of commercial reactors, other fa-
quired for any action within a category
cilities, and materials subject to NRC
of actions included in the list of cat-
licensing and regulation.
egorical exclusions set out in para-
(7) Personnel actions.
graph (c) of this section. Special cir-
cumstances include the circumstance (8) Issuance, amendment, or renewal
where the proposed action involves un- of operators’ licenses pursuant to part
resolved conflicts concerning alter- 55 of this chapter.
native uses of available resources with- (9) Issuance of an amendment to a
in the meaning of section 102(2)(E) of permit or license for a reactor under
NEPA. part 50 or part 52 of this chapter, which
(c) The following categories of ac- changes a requirement, or grants an
tions are categorical exclusions: exemption from any such requirement,
(1) Amendments to parts 1, 2, 4, 5, 7, with respect to installation or use of a
8, 9, 10, 11, 12, 13, 15, 16, 19, 21, 25, 26, 55, facility component located within the
75, 95, 110, 140, 150, 160, 170, or 171 of this restricted area, as defined in part 20 of
chapter, and actions on petitions for this chapter, or which changes an in-
rulemaking relating to parts 1, 2, 4, 5, spection or a surveillance requirement,
7, 9, 10, 11, 12, 13, 14, 15, 16, 19, 21, 25, 26, provided that:
55, 75, 95, 110, 140, 150, 160, 170, or 171 of (i) The amendment or exemption in-
this chapter. volves no significant hazards consider-
(2) Amendments to the regulations in ation;
this chapter which are corrective or of (ii) There is no significant change in
a minor or nonpolicy nature and do not the types or significant increase in the
substantially modify existing regula- amounts of any effluents that may be
tions, and actions on petitions for rule- released offsite; and
making relating to these amendments. (iii) There is no significant increase
(3) Amendments to any part in this in individual or cumulative occupa-
chapter which relate to— tional radiation exposure.
(i) Procedures for filing and review- (10) Issuance of an amendment to a

ing applications for licenses or con- permit or license issued under this
struction permits or early site permits chapter which—
13
§ 51.22 10 CFR Ch. I (1–1–11 Edition)
(i) Changes surety, insurance and/or (13) Approval of package designs for
indemnity requirements; packages to be used for the transpor-
(ii) Changes recordkeeping, report- tation of licensed materials.
ing, or administrative procedures or re- (14) Issuance, amendment, or renewal
quirements; of materials licenses issued pursuant to
(iii) Changes the licensee’s or permit 10 CFR parts 30, 31, 32, 33, 34, 35, 36, 39,
holder’s name, phone number, business 40 or part 70 authorizing the following
or e-mail address; types of activities:
(iv) Changes the name, position, or (i) Distribution of radioactive mate-
title of an officer of the licensee or per- rial and devices or products containing
mit holder, including but not limited radioactive material to general licens-
to, the radiation safety officer or qual- ees and to persons exempt from licens-
ity assurance manager; or ing.
(ii) Distribution of radiopharma-
(v) Changes the format of the license
ceuticals, generators, reagent kits and/
or permit or otherwise makes editorial,
or sealed sources to persons licensed
corrective or other minor revisions, in-
pursuant to 10 CFR 35.18.
cluding the updating of NRC approved
(iii) Nuclear pharmacies.
references.
(iv) Medical and veterinary.
(11) Issuance of amendments to li- (v) Use of radioactive materials for
censes for fuel cycle plants and radio- research and development and for edu-
active waste disposal sites and amend- cational purposes.
ments to materials licenses identified (vi) Industrial radiography.
in § 51.60(b)(1) which are administra- (vii) Irradiators.
tive, organizational, or procedural in (viii) Use of sealed sources and use of
nature, or which result in a change in gauging devices, analytical instru-
process operations or equipment, pro- ments and other devices containing
vided that (i) there is no significant sealed sources.
change in the types or significant in- (ix) Use of uranium as shielding ma-
crease in the amounts of any effluents terial in containers or devices.
that may be released offsite, (ii) there (x) Possession of radioactive material
is no significant increase in individual incident to performing services such as
or cumulative occupational radiation installation, maintenance, leak tests
exposure, (iii) there is no significant and calibration.
construction impact, and (iv) there is (xi) Use of sealed sources and/or ra-
no significant increase in the potential dioactive tracers in well-logging proce-
for or consequences from radiological dures.
accidents. (xii) Acceptance of packaged radio-
(12) Issuance of an amendment to a active wastes from others for transfer
license under parts 50, 52, 60, 61, 63, 70, to licensed land burial facilities pro-
72, or 75 of this chapter relating solely vided the interim storage period for
to safeguards matters (i.e., protection any package does not exceed 180 days
against sabotage or loss or diversion of and the total possession limit for all
special nuclear material) or issuance of packages held in interim storage at the
an approval of a safeguards plan sub- same time does not exceed 50 curies.
mitted under parts 50, 52, 70, 72, and 73 (xiii) Manufacturing or processing of
of this chapter, provided that the source, byproduct, or special nuclear
amendment or approval does not in- materials for distribution to other li-
volve any significant construction im- censees, except processing of source
pacts. These amendments and approv- material for extraction of rare earth
als are confined to— and other metals.
(i) Organizational and procedural (xiv) Nuclear laundries.
matters; (xv) Possession, manufacturing, proc-
(ii) Modifications to systems used for essing, shipment, testing, or other use
security and/or materials account- of depleted uranium military muni-
ability; tions.
(iii) Administrative changes; and (xvi) Any use of source, byproduct, or

(iv) Review and approval of transpor- special nuclear material not listed
tation routes pursuant to 10 CFR 73.37. above which involves quantities and
14
forms of source, byproduct, or special (22) Issuance of a standard design ap-

nuclear material similar to those listed proval under part 52 of this chapter.
in paragraphs (c)(14) (i) through (xv) of (23) The Commission finding for a
this section (Category 14). combined license under § 52.103(g) of
(15) Issuance, amendment or renewal this chapter.
of licenses for import of nuclear facili- (24) Grants to institutions of higher
ties and materials pursuant to part 110 education in the United States, to fund
of this chapter, except for import of scholarships, fellowships, and stipends
spent power reactor fuel. for the study of science, engineering, or
(16) Issuance or amendment of guides another field of study that the NRC de-
for the implementation of regulations termines is in a critical skill area re-
in this chapter, and issuance or amend- lated to its regulatory mission, to sup-
ment of other informational and proce- port faculty and curricular develop-
dural documents that do not impose ment in such fields, and to support
any legal requirements. other domestic educational, technical
(17) Issuance of an amendment to a assistance, or training programs (in-
permit or license under parts 30, 40, 50, cluding those of trade schools) in such
52, or part 70 of this chapter which de- fields, except to the extent that such
letes any limiting condition of oper- grants or programs include activities
ation or monitoring requirement based directly affecting the environment,
on or applicable to any matter subject such as:
to the provisions of the Federal Water (i) The construction of facilities;
Pollution Control Act. (ii) A major disturbance brought
(18) Issuance of amendments or or- about by blasting, drilling, excavating
ders authorizing licensees of produc- or other means;
tion or utilization facilities to resume (iii) Field work, except that which
operation, provided the basis for the only involves noninvasive or non-harm-
authorization rests solely on a deter- ful techniques such as taking water or
mination or redetermination by the soil samples or collecting non-pro-
Commission that applicable emergency tected species of flora and fauna; or
planning requirements are met. (iv) The release of radioactive mate-
(19) Issuance, amendment, modifica- rial.
tion, or renewal of a certificate of com- (25) Granting of an exemption from
pliance of gaseous diffusion enrichment the requirements of any regulation of
facilities pursuant to 10 CFR part 76. this chapter, provided that—
(20) Decommissioning of sites where (i) There is no significant hazards
licensed operations have been limited consideration;
to the use of—
(ii) There is no significant change in
(i) Small quantities of short-lived ra-
the types or significant increase in the
dioactive materials;
amounts of any effluents that may be
(ii) Radioactive materials in sealed released offsite;
sources, provided there is no evidence
(iii) There is no significant increase
of leakage of radioactive material from
in individual or cumulative public or
these sealed sources; or
occupational radiation exposure;
(iii) Radioactive materials in such a
(iv) There is no significant construc-
manner that a decommissioning plan is
tion impact;
not required by 10 CFR 30.36(g)(1),
40.42(g)(1), or 70.38(g)(1), and the NRC (v) There is no significant increase in
has determined that the facility meets the potential for or consequences from
the radiological criteria for unre- radiological accidents; and
stricted use in 10 CFR 20.1402 without (vi) The requirements from which an
further remediation or analysis. exemption is sought involve:
(21) Approvals of direct or indirect (A) Recordkeeping requirements;
transfers of any license issued by NRC (B) Reporting requirements;
and any associated amendments of li- (C) Inspection or surveillance re-
cense required to reflect the approval quirements;

of a direct or indirect transfer of an (D) Equipment servicing or mainte-
NRC license. nance scheduling requirements;
15
§ 51.23 10 CFR Ch. I (1–1–11 Edition)
(E) Education, training, experience, (b) Accordingly, as provided in

qualification, requalification or other §§ 51.30(b), 51.53, 51.61, 51.80(b), 51.95, and
employment suitability requirements; 51.97(a), and within the scope of the ge-
(F) Safeguard plans, and materials neric determination in paragraph (a) of
control and accounting inventory this section, no discussion of any envi-
scheduling requirements; ronmental impact of spent fuel storage
(G) Scheduling requirements; in reactor facility storage pools or
(H) Surety, insurance or indemnity independent spent fuel storage instal-
requirements; or lations (ISFSI) for the period following
the term of the reactor operating li-
(I) Other requirements of an adminis-
cense or amendment, reactor combined
trative, managerial, or organizational
license or amendment, or initial ISFSI
nature. license or amendment for which appli-
(d) In accordance with section 121 of cation is made, is required in any envi-
the Nuclear Waste Policy Act of 1982 ronmental report, environmental im-
(42 U.S.C. 10141), the promulgation of pact statement, environmental assess-
technical requirements and criteria ment, or other analysis prepared in
that the Commission will apply in ap- connection with the issuance or
proving or disapproving applications amendment of an operating license for
under part 60 or 63 of this chapter shall a nuclear power reactor under parts 50
not require an environmental impact and 54 of this chapter, or issuance or
statement, an environmental assess- amendment of a combined license for a
ment, or any environmental review nuclear power reactor under parts 52
under subparagraph (E) or (F) of sec- and 54 of this chapter, or the issuance
tion 102(2) of NEPA. of an initial license for storage of spent
[49 FR 9381, Mar. 12, 1984] fuel at an ISFSI, or any amendment
thereto.
EDITORIAL NOTE: For FEDERAL REGISTER ci- (c) This section does not alter any re-
tations affecting § 51.22, see the List of CFR quirements to consider the environ-
Sections Affected, which appears in the
mental impacts of spent fuel storage
Finding Aids section of the printed volume
and at www.fdsys.gov.
during the term of a reactor operating
license or combined license, or a li-
§ 51.23 Temporary storage of spent cense for an ISFSI in a licensing pro-
fuel after cessation of reactor oper- ceeding.
ation—generic determination of no [49 FR 34694, Aug. 31, 1984, as amended at 55
significant environmental impact. FR 38474, Sept. 18, 1990; 72 FR 49509, Aug. 28,
(a) The Commission has made a ge- 2007]
neric determination that, if necessary, EFFECTIVE DATE NOTE: At 75 FR 81037, De-
spent fuel generated in any reactor can cember 23, 2010, § 51.23 was amended by revis-
be stored safely and without signifi- ing paragraph (a), effective Jan. 24, 2011. For
cant environmental impacts for at the convenience of the user, the revised text
least 30 years beyond the licensed life is set forth as follows:
for operation (which may include the § 51.23 Temporary storage of spent fuel
term of a revised or renewed license) of after cessation of reactor operation—ge-
that reactor at its spent fuel storage neric determination of no significant en-
vironmental impact.
basin or at either onsite or offsite inde-
(a) The Commission has made a generic de-
pendent spent fuel storage installa-
termination that, if necessary, spent fuel
tions. Further, the Commission be- generated in any reactor can be stored safely
lieves there is reasonable assurance and without significant environmental im-
that at least one mined geologic repos- pacts for at least 60 years beyond the li-
itory will be available within the first censed life for operation (which may include
quarter of the twenty-first century, the term of a revised or renewed license) of
and sufficient repository capacity will that reactor in a combination of storage in
be available within 30 years beyond the its spent fuel storage basin and at either on-
site or offsite independent spent fuel storage
licensed life for operation of any reac-
installations. Further, the Commission be-
tor to dispose of the commercial high-
lieves there is reasonable assurance that suf-

level waste and spent fuel originating ficient mined geologic repository capacity
in such reactor and generated up to will be available to dispose of the commer-
that time. cial high-level radioactive waste and spent
16
fuel generated in any reactor when nec- any time thereafter, that NRC should
essary. prepare a supplemental environmental
impact statement in connection with
* * * * * the Commission’s action on the license
application, the NRC shall follow the
DETERMINATIONS TO PREPARE ENVIRON- procedures set out in paragraph (a) of
MENTAL IMPACT STATEMENTS, ENVI- this section.
RONMENTAL ASSESSMENTS OR FINDINGS (d) Whenever the appropriate NRC
OF NO SIGNIFICANT IMPACT, AND RE- staff director determines that a supple-
LATED PROCEDURES ment to an environmental impact
statement will be prepared by the NRC,
§ 51.25 Determination to prepare envi- a notice of intent will be prepared as
ronmental impact statement or en-
vironmental assessment; eligibility provided in § 51.27, and will be published
for categorical exclusion. in the FEDERAL REGISTER as provided
in § 51.116. The NRC staff need not con-
Before taking a proposed action sub-
duct a scoping process (see §§ 51.27,
ject to the provisions of this subpart,
51.28, and 51.29), provided, however,
the appropriate NRC staff director will
that if scoping is conducted, then the
determine on the basis of the criteria
scoping must be directed at matters to
and classifications of types of actions
be addressed in the supplement. If
in §§ 51.20, 51.21 and 51.22 of this subpart
scoping is conducted in a proceeding
whether the proposed action is of the
for a combined license referencing an
type listed in § 51.22(c) as a categorical
early site permit under part 52, then
exclusion or whether an environmental
impact statement or an environmental the scoping must be directed at mat-
assessment should be prepared. An enters to be addressed in the supplement
vironmental assessment is not nec- as described in § 51.92(e).
essary if it is determined that an envi- [49 FR 9381, Mar. 12, 1984, as amended at 54
ronmental impact statement will be FR 27870, July 3, 1989; 66 FR 55791, Nov. 2,
prepared. 2001; 72 FR 49510, Aug. 28, 2007]
§ 51.26 Requirement to publish notice § 51.27 Notice of intent.

of intent and conduct scoping proc- (a) The notice of intent required by
ess. § 51.26(a) shall:
(a) Whenever the appropriate NRC (1) State that an environmental im-
staff director determines that an envi- pact statement will be prepared;
ronmental impact statement will be (2) Describe the proposed action and,
prepared by NRC in connection with a to the extent sufficient information is
proposed action, a notice of intent will available, possible alternatives;
be prepared as provided in § 51.27, and (3) State whether the applicant or pe-
will be published in the FEDERAL REG- titioner for rulemaking has filed an en-
ISTER as provided in § 51.116, and an ap- vironmental report, and, if so, where
propriate scoping process (see §§ 51.27, copies are available for public inspec-
51.28, and 51.29) will be conducted. tion;
(b) The scoping process may include a (4) Describe the proposed scoping
public scoping meeting. process, including the role of partici-
(c) Upon receipt of an application and pants, whether written comments will
accompanying environmental impact be accepted, the last date for submit-
statement under § 60.22 or § 63.22 of this ting comments and where comments
chapter (pertaining to geologic reposi- should be sent, whether a public
tories for high-level radioactive waste), scoping meeting will be held, the time
the appropriate NRC staff director will and place of any scoping meeting or
include in the notice of docketing re- when the time and place of the meeting
quired to be published by § 2.101(f)(8) of will be announced; and
this chapter a statement of Commis- (5) State the name, address and tele-
sion intention to adopt the environ- phone number of an individual in NRC
mental impact statement to the extent who can provide information about the
practicable. However, if the appro- proposed action, the scoping process,

priate NRC staff director determines, and the environmental impact state-
at the time of such publication or at ment.
17
§ 51.28 10 CFR Ch. I (1–1–11 Edition)
(b) The notice of intent required by (2) Any person who has petitioned for
§ 51.26(d) shall: leave to intervene in the proceeding or
(1) State that a supplement to a final who has been admitted as a party to
environmental impact statement will the proceeding;
be prepared in accordance with § 51.72 (3) Any other Federal agency which
or § 51.92. For a combined license appli- has jurisdiction by law or special ex-
cation that references an early site pertise with respect to any environ-
permit, the supplement to the early mental impact involved or which is au-
site permit environmental impact thorized to develop and enforce rel-
statement will be prepared in accord- evant environmental standards;
ance with § 51.92(e); (4) Affected State and local agencies,
(2) Describe the proposed action and, including those authorized to develop
to the extent required, possible alter- and enforce relevant environmental
natives. For the case of a combined li- standards;
cense referencing an early site permit, (5) Any affected Indian tribe; and
identify the proposed action as the (6) Any person who has requested an
issuance of a combined license for the opportunity to participate in the
construction and operation of a nuclear scoping process.
power plant as described in the com- (b) The appropriate NRC staff direc-
bined license application at the site de- tor may also invite any other appro-
scribed in the early site permit ref- priate person to participate in the
erenced in the combined license appli- scoping process.
cation; (c) Participation in the scoping proc-
(3) Identify the environmental report ess for an environmental impact state-
prepared by the applicant and informa- ment does not entitle the participant
tion on where copies are available for to become a party to the proceeding to
public inspection; which the environmental impact state-
(4) Describe the matters to be ad- ment relates. Participation in an adju-
dressed in the supplement to the final dicatory proceeding is governed by the
environmental impact statement; procedures in §§ 2.309 and 2.315 of this
(5) Describe any proposed scoping chapter. Participation in a rulemaking
process that the NRC staff may con- proceeding in which the Commission
duct, including the role of participants, has decided to have a hearing is gov-
whether written comments will be ac- erned by the provisions in the notice of
cepted, the last date for submitting hearing.
comments and where comments should
be sent, whether a public scoping meet-
FR 62682, Dec. 1, 2009]
ing will be held, the time and place of
any scoping meeting or when the time § 51.29 Scoping-environmental impact
and place of the meeting will be an- statement and supplement to envi-
nounced; and ronmental impact statement.
(6) State the name, address, and tele-
(a) The scoping process for an envi-
phone number of an individual in NRC
ronmental impact statement shall
who can provide information about the
begin as soon as practicable after pub-
proposed action, the scoping process,
lication of the notice of intent as pro-
and the supplement to the environ-
vided in § 51.116, and shall be used to:
mental impact statement.
(1) Define the proposed action which
[49 FR 9381, Mar. 12, 1984, as amended at 72 is to be the subject of the statement or
FR 49510, Aug. 28, 2007] supplement. For environmental impact
statements other than a supplement to
SCOPING an early site permit final environ-
mental impact statement prepared for
§ 51.28 Scoping—participants.
a combined license application, the
(a) The appropriate NRC staff direc- provisions of 40 CFR 1502.4 will be used
tor shall invite the following persons for this purpose. For a supplement to
to participate in the scoping process: an early site permit final environ-

(1) The applicant or the petitioner for mental impact statement prepared for
rulemaking; a combined license application, the
18
proposed action shall be as set forth in cumstances or information arise which

the relevant provisions of § 51.92(e). bear on the proposed action or its im-
(2) Determine the scope of the state- pacts.
ment and identify the significant
issues to be analyzed in depth. FR 49510, Aug. 28, 2007]
(3) Identify and eliminate from de-
tailed study issues which are periph- ENVIRONMENTAL ASSESSMENT
eral or are not significant or which
have been covered by prior environ- § 51.30 Environmental assessment.
mental review. Discussion of these
(a) An environmental assessment for
issues in the statement will be limited
proposed actions, other than those for
to a brief presentation of why they are
a standard design certification under 10
peripheral or will not have a signifi-
CFR part 52 or a manufacturing license
cant effect on the quality of the human
under part 52, shall identify the pro-
environment or a reference to their
posed action and include:
coverage elsewhere.
(1) A brief discussion of:
(4) Identify any environmental as-
sessments and other environmental im- (i) The need for the proposed action;
pact statements which are being or will (ii) Alternatives as required by sec-
be prepared that are related to but are tion 102(2)(E) of NEPA;
not part of the scope of the statement (iii) The environmental impacts of
under consideration. the proposed action and alternatives as
(5) Identify other environmental re- appropriate; and
view and consultation requirements re- (2) A list of agencies and persons con-
lated to the proposed action so that sulted, and identification of sources
other required analyses and studies used.
may be prepared concurrently and inte- (b) Unless otherwise determined by
grated with the environmental impact the Commission, an environmental as-
statement. sessment will not include discussion of
(6) Indicate the relationship between any aspect of the storage of spent fuel
the timing of the preparation of envi- within the scope of the generic deter-
ronmental analyses and the Commis- mination in § 51.23(a) and in accordance
sion’s tentative planning and decision- with the provisions of § 51.23(b).
making schedule. (c) An environmental assessment for
(7) Identify any cooperating agencies, a proposed action regarding a mon-
and as appropriate, allocate assign- itored retrievable storage installation
ments for preparation and schedules (MRS) will not address the need for the
for completion of the statement to the MRS or any alternative to the design
NRC and any cooperating agencies. criteria for an MRS set forth in section
(8) Describe the means by which the 141(b)(1) of the Nuclear Waste Policy
environmental impact statement will Act of 1982 (96 Stat. 2242, 42 U.S.C.
be prepared, including any contractor 10161(b)(1)).
assistance to be used. (d) An environmental assessment for
(b) At the conclusion of the scoping a standard design certification under
process, the appropriate NRC staff di- subpart B of part 52 of this chapter
rector will prepare a concise summary must identify the proposed action, and
of the determinations and conclusions will be limited to the consideration of
reached, including the significant the costs and benefits of severe acci-
issues identified, and will send a copy dent mitigation design alternatives
of the summary to each participant in and the bases for not incorporating se-
the scoping process. vere accident mitigation design alter-
(c) At any time prior to issuance of natives in the design certification. An
the draft environmental impact state- environmental assessment for an
ment, the appropriate NRC staff direc- amendment to a design certification
tor may revise the determinations will be limited to the consideration of
made under paragraph (b) of this sec- whether the design change which is the
tion, as appropriate, if substantial subject of the proposed amendment

changes are made in the proposed ac- renders a severe accident mitigation
tion, or if significant new cir- design alternative previously rejected
19
§ 51.31 10 CFR Ch. I (1–1–11 Edition)
in the earlier environmental assess- pare a draft finding of no significant

ment to become cost beneficial, or re- impact may be made.
sults in the identification of new severe (b) Standard design certification. (1)
accident mitigation design alter- For actions involving the issuance or
natives, in which case the costs and amendment of a standard design cer-
benefits of new severe accident mitiga- tification, the Commission shall pre-
tion design alternatives and the bases pare a draft environmental assessment
for not incorporating new severe acci- for public comment as part of the pro-
dent mitigation design alternatives in posed rule. The proposed rule must
the design certification must be ad- state that:
dressed. (i) The Commission has determined
(e) An environmental assessment for in § 51.32 that there is no significant en-
a manufacturing license under subpart vironmental impact associated with
F of part 52 of this chapter must iden- the issuance of the standard design cer-
tify the proposed action, and will be tification or its amendment, as appli-
limited to the consideration of the cable; and
costs and benefits of severe accident (ii) Comments on the environmental
mitigation design alternatives and the assessment will be limited to the con-
bases for not incorporating severe acci- sideration of SAMDAs as required by
dent mitigation design alternatives in § 51.30(d).
the manufacturing license. An environ- (2) The Commission will prepare a
mental assessment for an amendment final environmental assessment fol-
to a manufacturing license will be lim- lowing the close of the public comment
ited to consideration of whether the de- period for the proposed standard design
sign change which is the subject of the certification.
proposed amendment either renders a (c) Manufacturing license. (1) Upon
severe accident mitigation design al- completion of the environmental as-
ternative previously rejected in an en- sessment for actions involving issuance
vironmental assessment to become cost or amendment of a manufacturing li-
beneficial, or results in the identifica- cense (manufacturing license environ-
tion of new severe accident mitigation mental assessment), the appropriate
design alternatives, in which case the NRC staff director will determine the
costs and benefits of new severe acci- costs and benefits of severe accident
dent mitigation design alternatives mitigation design alternatives and the
and the bases for not incorporating bases for not incorporating severe acci-
new severe accident mitigation design dent mitigation design alternatives in
alternatives in the manufacturing li- the design of the reactor to be manu-
cense must be addressed. In either case, factured under the manufacturing li-
the environmental assessment will not cense. The NRC staff director may de-
address the environmental impacts as- termine to prepare a draft environ-
sociated with manufacturing the reac- mental assessment.
tor under the manufacturing license. (2) The manufacturing license envi-
[49 FR 9381, Mar. 12, 1984, as amended at 49 ronmental assessment must state that:
FR 34694, Aug. 31, 1984; 53 FR 31681, Aug. 19, (i) The Commission has determined
1988; 72 FR 49510, Aug. 28, 2007] in § 51.32 that there is no significant en-
vironmental impact associated with
§ 51.31 Determinations based on envi- the issuance of a manufacturing license
ronmental assessment. or an amendment to a manufacturing
(a) General. Upon completion of an license, as applicable;
environmental assessment for proposed (ii) The environmental assessment
actions other than those involving a will not address the environmental im-
standard design certification or a man- pacts associated with manufacturing
ufacturing license under part 52 of this the reactor under the manufacturing
chapter, the appropriate NRC staff di- license; and
rector will determine whether to pre- (iii) Comments on the environmental
pare an environmental impact state- assessment will be limited to the con-
ment or a finding of no significant im- sideration of severe accident mitiga-

pact on the proposed action. As pro- tion design alternatives as required by
vided in § 51.33, a determination to pre- § 51.30(e).
20
(3) If the NRC staff director makes a (3) Briefly present the reasons why
determination to prepare and issue a the proposed action will not have a sig-
draft environmental assessment for nificant effect on the quality of the
public review and comment before human environment;
making a final determination on the (4) Include the environmental assess-
manufacturing license application, the ment or a summary of the environ-
assessment will be marked, ‘‘Draft.’’ mental assessment. If the assessment
The NRC notice of availability on the is included, the finding need not repeat
draft environmental assessment will any of the discussion in the assessment
include a request for comments which but may incorporate it by reference;
specifies where comments should be (5) Note any other related environ-
submitted and when the comment pe- mental documents; and
riod expires. The notice will state that (6) State that the finding and any re-
copies of the environmental assessment lated environmental documents are
and any related environmental docu- available for public inspection and
ments are available for public inspec- where the documents may be inspected.
tion and where inspections can be (b) The Commission finds that there
made. A copy of the final environ- is no significant environmental impact
mental assessment will be sent to the associated with the issuance of:
U.S. Environmental Protection Agen- (1) A standard design certification
cy, the applicant, any party to a pro- under subpart B of part 52 of this chap-
ceeding, each commenter, and any ter;
other Federal, State, and local agen- (2) An amendment to a design certifi-
cies, and Indian tribes, State, regional, cation;
and metropolitan clearinghouses ex- (3) A manufacturing license under
pressing an interest in the action. Ad- subpart F of part 52 of this chapter; or
ditional copies will be made available (4) An amendment to a manufac-
in accordance with § 51.123. turing license.
(4) When a hearing is held under the
regulations in part 2 of this chapter on [49 FR 9381, Mar. 12, 1984, as amended at 72
the proposed issuance of the manufac- FR 49511, Aug. 28, 2007]
turing license or amendment, the NRC § 51.33 Draft finding of no significant
staff director will prepare a final envi- impact; distribution.
ronmental assessment which may be
subject to modification as a result of (a) As provided in paragraph (b) of
review and decision as appropriate to this section, the appropriate NRC staff
the nature and scope of the proceeding. director may make a determination to
(5) Only a party admitted into the prepare and issue a draft finding of no
proceeding with respect to a conten- significant impact for public review
tion on the environmental assessment, and comment before making a final de-
or an entity participating in the pro- termination whether to prepare an en-
ceeding pursuant to § 2.315(c) of this vironmental impact statement or a
chapter, may take a position and offer final finding of no significant impact
evidence on the matters within the on the proposed action.
scope of the environmental assessment. (b) Circumstances in which a draft
finding of no significant impact may be
[72 FR 49510, Aug. 28, 2007] prepared will ordinarily include the
following:
FINDING OF NO SIGNIFICANT IMPACT (1) A finding of no significant impact
appears warranted for the proposed ac-
§ 51.32 Finding of no significant im- tion but the proposed action is (i)
pact.
closely similar to one which normally
(a) A finding of no significant impact requires the preparation of an environ-
will: mental impact statement, or (ii) with-
(1) Identify the proposed action; out precedent; and
(2) State that the Commission has de- (2) The appropriate NRC staff direc-
termined not to prepare an environ- tor determines that preparation of a

mental impact statement for the pro- draft finding of no significant impact
posed action; will further the purposes of NEPA.
21
§ 51.34 10 CFR Ch. I (1–1–11 Edition)
(c) A draft finding of no significant posed action until after the final find-
impact will (1) be marked ‘‘Draft’’, (2) ing has been published in the FEDERAL
contain the information specified in REGISTER.
§ 51.32, (3) be accompanied by or include
a request for comments on the pro- ENVIRONMENTAL REPORTS AND INFORMA-
posed action and on the draft finding TION—REQUIREMENTS APPLICABLE TO
within thirty (30) days, or such longer APPLICANTS AND PETITIONERS FOR
period as may be specified in the notice RULEMAKING
of the draft finding, and (4) be pub-
GENERAL
lished in the FEDERAL REGISTER as re-
quired by §§ 51.35 and 51.119. § 51.40 Consultation with NRC staff.
(d) A draft finding will be distributed
as provided in § 51.74(a). Additional cop- (a) A prospective applicant or peti-
ies will be made available in accord- tioner for rulemaking is encouraged to
ance with § 51.123. confer with NRC staff as early as pos-
(e) When a draft finding of no signifi- sible in its planning process before sub-
cant impact is issued for a proposed ac- mitting environmental information or
tion, a final determination to prepare filing an environmental report.
an environmental impact statement or (b) Requests for guidance or informa-
a final finding of no significant impact tion on environmental matters may in-
for that action shall not be made until clude inquiries relating to:
the last day of the public comment pe- (1) Applicable NRC rules and regula-
riod has expired. tions;
(2) Format, content and procedures
§ 51.34 Preparation of finding of no for filing environmental reports and
significant impact. other environmental information, in-
(a) Except as provided in paragraph cluding the type and quantity of envi-
(b) of this section, the finding of no sig- ronmental information likely to be
nificant impact will be prepared by the needed to address issues and concerns
NRC staff director authorized to take identified in the scoping process de-
the action. scribed in § 51.29 in a manner appro-
(b) When a hearing is held on the propriate to their relative significance;
posed action under the regulations in (3) Availability of relevant environ-
subpart G of part 2 of this chapter or mental studies and environmental in-
when the action can only be taken by formation;
the Commissioners acting as a colle- (4) Need for, appropriate level and
gial body, the appropriate NRC staff di- scope of any environmental studies or
rector will prepare a proposed finding information which the Commission
of no significant impact which may be may require to be submitted in connec-
subject to modification as a result of tion with an application or petition for
review and decision as appropriate to rulemaking;
the nature and scope of the proceeding. (5) Public meetings with NRC staff.
In such cases, the presiding officer, the (c) Questions concerning environ-
Atomic Safety and Licensing Appeal mental matters should be addressed to
Board, or the Commission acting as a the following NRC staff offices as ap-
collegial body, as appropriate, will propriate:
issue the final finding of no significant (1) Utilization facilities: ATTN: Docu-
impact. ment Control Desk, Director, Office of
Nuclear Reactor Regulation or Direc-
§ 51.35 Requirement to publish finding tor, Office of New Reactors, as appro-
of no significant impact; limitation priate, U.S. Nuclear Regulatory Com-
on Commission action. mission, Washington, DC 20555–0001,
(a) Whenever the Commission makes telephone (301) 415–1270, e-mail
a draft or final finding of no significant RidsNrrOd@nrc.gov.
impact on a proposed action, the find- (2) Production facilities: ATTN: Docu-
ing will be published in the FEDERAL ment Control Desk, Director, Office of
REGISTER as provided in § 51.119. Nuclear Material Safety and Safe-

(b) Except as provided in § 51.13, the guards, U.S. Nuclear Regulatory Com-
Commission shall not take the pro- mission, Washington, DC 20555–0001,
22
telephone (301) 415–7800, e-mail description of the proposed action, a

RidsNmssOd@nrc.gov. statement of its purposes, a description
(3) Materials licenses: ATTN: Docu- of the environment affected, and dis-
ment Control Desk, Director, Office of cuss the following considerations:
Nuclear Material Safety and Safe- (1) The impact of the proposed action
guards, U.S. Nuclear Regulatory Com- on the environment. Impacts shall be
mission, Washington, DC 20555–0001, discussed in proportion to their signifi-
telephone (301) 415–7800, e-mail cance;
RidsNmssOd@nrc.gov. (2) Any adverse environmental effects
(4) Rulemaking: ATTN: Chief, Rules which cannot be avoided should the
and Directives Branch, Office of Ad- proposal be implemented;
ministration, U.S. Nuclear Regulatory (3) Alternatives to the proposed ac-
Commission, Washington, DC 20555– tion. The discussion of alternatives
0001, telephone (800) 368–5642, e-mail shall be sufficiently complete to aid
NRCREP@nrc.gov. the Commission in developing and ex-
(5) General Environmental Matters: Ex- ploring, pursuant to section 102(2)(E) of
ecutive Director for Operations, U.S. NEPA, ‘‘appropriate alternatives to rec-
Nuclear Regulatory Commission, ommended courses of action in any
Washington, DC 20555, Telephone: (301) proposal which involves unresolved
415–1700. conflicts concerning alternative uses of
available resources.’’ To the extent
FR 13399, Apr. 25, 1988; 60 FR 24552, May 9, practicable, the environmental impacts
1995; 68 FR 58810, Oct. 10, 2003; 73 FR 5724, of the proposal and the alternatives
Jan. 31, 2008] should be presented in comparative
form;
§ 51.41 Requirement to submit envi- (4) The relationship between local
ronmental information. short-term uses of man’s environment
The Commission may require an ap- and the maintenance and enhancement
plicant for a permit, license, or other of long-term productivity; and
form of permission, or amendment to (5) Any irreversible and irretrievable
or renewal of a permit, license or other commitments of resources which would
form of permission, or a petitioner for be involved in the proposed action
rulemaking to submit such informa- should it be implemented.
tion to the Commission as may be use- (c) Analysis. The environmental re-
ful in aiding the Commission in com- port must include an analysis that con-
plying with section 102(2) of NEPA. The siders and balances the environmental
Commission will independently evalu- effects of the proposed action, the envi-
ate and be responsible for the reli- ronmental impacts of alternatives to
ability of any information which it the proposed action, and alternatives
uses. available for reducing or avoiding ad-
verse environmental effects. An envi-
ENVIRONMENTAL REPORTS—GENERAL ronmental report prepared at the early
REQUIREMENTS site permit stage under § 51.50(b), lim-
ited work authorization stage under
§ 51.45 Environmental report. § 51.49, construction permit stage under
(a) General. As required by §§ 51.50, § 51.50(a), or combined license stage
51.53, 51.54, 51.55, 51.60, 51.61, 51.62, or under § 51.50(c) must include a descrip-
51.68, as appropriate, each applicant or tion of impacts of the preconstruction
petitioner for rulemaking shall submit activities performed by the applicant
with its application or petition for at the proposed site (i.e., those activi-
rulemaking one signed original of a ties listed in paragraphs (2)(i) through
separate document entitled ‘‘Appli- (2)(x) in the definition of ‘‘construction’’
cant’s’’ or ‘‘Petitioner’s Environmental contained in § 51.4), necessary to sup-
Report,’’ as appropriate. An applicant port the construction and operation of
or petitioner for rulemaking may sub- the facility which is the subject of the
mit a supplement to an environmental early site permit, limited work author-
report at any time. ization, construction permit, or com-

(b) Environmental considerations. The bined license application. The environ-
environmental report shall contain a mental report must also contain an
23
§ 51.49 10 CFR Ch. I (1–1–11 Edition)
analysis of the cumulative impacts of sion of alternatives in the report shall

the activities to be authorized by the include a discussion of whether the al-
limited work authorization, construc- ternatives will comply with such appli-
tion permit, or combined license in cable environmental quality standards
light of the preconstruction impacts and requirements.
described in the environmental report. (e) Adverse information. The informa-
Except for an environmental report tion submitted pursuant to paragraphs
prepared at the early site permit stage, (b) through (d) of this section should
or an environmental report prepared at not be confined to information sup-
the license renewal stage under porting the proposed action but should
§ 51.53(c), the analysis in the environ- also include adverse information.
mental report should also include con-
sideration of the economic, technical, FR 28486, June 5, 1996; 61 FR 66542, Dec. 18,
and other benefits and costs of the pro- 1996; 68 FR 58810, Oct. 10, 2003; 72 FR 49511,
posed action and its alternatives. Envi- Aug. 28, 2007; 72 FR 57443, Oct. 9, 2007; 73 FR
ronmental reports prepared at the li- 22787, Apr. 28, 2008]
cense renewal stage under § 51.53(c)
need not discuss the economic or tech- ENVIRONMENTAL REPORTS—PRODUCTION
nical benefits and costs of either the AND UTILIZATION FACILITIES
proposed action or alternatives except
if these benefits and costs are either es- § 51.49 Environmental report—limited
work authorization.
sential for a determination regarding
the inclusion of an alternative in the (a) Limited work authorization sub-
range of alternatives considered or rel- mitted as part of complete construction
evant to mitigation. In addition, envi- permit or combined license application.
ronmental reports prepared under Each applicant for a construction per-
§ 51.53(c) need not discuss issues not re- mit or combined license applying for a
lated to the environmental effects of limited work authorization under
the proposed action and its alter- § 50.10(d) of this chapter in a complete
natives. The analyses for environ- application under 10 CFR 2.101(a)(1)
mental reports shall, to the fullest ex- through (a)(4), shall submit with its ap-
tent practicable, quantify the various plication a separate document, enti-
factors considered. To the extent that tled, ‘‘Applicant’s Environmental Re-
there are important qualitative consid- port—Limited Work Authorization
erations or factors that cannot be Stage,’’ which is in addition to the en-
quantified, those considerations or fac- vironmental report required by § 51.50
tors shall be discussed in qualitative of this part. Each environmental report
terms. The environmental report must also contain the following infor-
should contain sufficient data to aid mation:
the Commission in its development of (1) A description of the activities pro-
an independent analysis. posed to be conducted under the lim-
(d) Status of compliance. The environ- ited work authorization;
mental report shall list all Federal per- (2) A statement of the need for the
mits, licenses, approvals and other en- activities; and
titlements which must be obtained in (3) A description of the environ-
connection with the proposed action mental impacts that may reasonably
and shall describe the status of compli- be expected to result from the activi-
ance with these requirements. The en- ties, the mitigation measures that the
vironmental report shall also include a applicant proposes to implement to
discussion of the status of compliance achieve the level of environmental im-
with applicable environmental quality pacts described, and a discussion of the
standards and requirements including, reasons for rejecting mitigation meas-
but not limited to, applicable zoning ures that could be employed by the ap-
and land-use regulations, and thermal plicant to further reduce environ-
and other water pollution limitations mental impacts.
or requirements which have been im- (b) Phased application for limited work
posed by Federal, State, regional, and authorization and construction permit or

local agencies having responsibility for combined license. If the construction
environmental protection. The discus- permit or combined license application
24
is filed in accordance with § 2.101(a)(9) ures that could be employed by the ap-
of this chapter, then the environmental plicant to further reduce environ-
report for part one of the application mental impacts; and
may be limited to a discussion of the (4) Any new and significant informa-
activities proposed to be conducted tion for issues related to the impacts of
under the limited work authorization. construction of the facility that were
If the scope of the environmental re- resolved in the early site permit pro-
port for part one is so limited, then ceeding with respect to the environ-
part two of the application must in- mental impacts of the activities to be
clude the information required by conducted under the limited work au-
§ 51.50, as applicable. thorization.
(c) Limited work authorization sub- (5) A description of the process used
mitted as part of an early site permit ap- to identify new and significant infor-
plication. Each applicant for an early mation regarding NRC’s conclusions in
site permit under subpart A of part 52 the early site permit environmental
of this chapter requesting a limited impact statement. The process must be
work authorization shall submit with a reasonable methodology for identi-
its application the environmental re- fying this new and significant informa-
port required by § 51.50(b). Each envi- tion.
ronmental report must contain the fol- (e) Limited work authorization for a site
lowing information: where an environmental impact statement
(1) A description of the activities pro- was prepared, but the facility construc-
posed to be conducted under the lim- tion was not completed. If the limited
ited work authorization; work authorization is for activities to
(2) A statement of the need for the be conducted at a site for which the
activities; and Commission has previously prepared an
(3) A description of the environ- environmental impact statement for
mental impacts that may reasonably the construction and operation of a nu-
be expected to result from the activi- clear power plant, and a construction
ties, the mitigation measures that the permit was issued but construction of
applicant proposes to implement to the plant was never completed, then
achieve the level of environmental im- the applicant’s environmental report
pacts described, and a discussion of the may incorporate by reference the ear-
reasons for rejecting mitigation meas- lier environmental impact statement.
ures that could be employed by the ap- In the event of such referencing, the
plicant to further reduce environ- environmental report must identify:
mental impacts. (1) Any new and significant informa-
(d) Limited work authorization request tion material to issues related to the
submitted by early site permit holder. impacts of construction of the facility
Each holder of an early site permit re- that were resolved in the construction
questing a limited work authorization permit proceeding for the matters re-
shall submit with its application a doc- quired to be addressed in paragraph (a)
ument entitled, ‘‘Applicant’s Environ- of this section; and
mental Report—Limited Work Author- (2) A description of the process used
ization under Early Site Permit,’’ con- to identify new and significant infor-
taining the following information: mation regarding the NRC’s conclu-
(1) A description of the activities pro- sions in the construction permit envi-
posed to be conducted under the lim- ronmental impact statement. The proc-
ited work authorization; ess must use a reasonable methodology
(2) A statement of the need for the for identifying this new and significant
activities; information.
(3) A description of the environ- (f) Environmental report. An environ-
mental impacts that may reasonably mental report submitted in accordance
be expected to result from the activi- with this section must separately
ties, the mitigation measures that the evaluate the environmental impacts
applicant proposes to implement to and proposed alternatives attributable
achieve the level of environmental im- to the activities proposed to be con-

pacts described, and a discussion of the ducted under the limited work author-
reasons for rejecting mitigation meas- ization. At the option of the applicant,
25
§ 51.50 10 CFR Ch. I (1–1–11 Edition)
the ‘‘Applicant’s Environmental Re- whether there is any obviously supe-

port—Limited Work Authorization rior alternative to the site proposed.
Stage,’’ may contain the information The environmental report need not in-
required to be submitted in the envi- clude an assessment of the economic,
ronmental report required under § 51.50, technical, or other benefits (for exam-
which addresses the impacts of con- ple, need for power) and costs of the
struction and operation for the pro- proposed action or an evaluation of al-
posed facility (including the environ- ternative energy sources.
mental impacts attributable to the (3) For other than light-water-cooled
limited work authorization), and dis- nuclear power reactors, the environ-
cusses the overall costs and benefits mental report must contain the basis
balancing for the proposed action. for evaluating the contribution of the
[72 FR 57444, Oct. 9, 2007] environmental effects of fuel cycle ac-
tivities for the nuclear power reactor.
§ 51.50 Environmental report—con- (4) Each environmental report must
struction permit, early site permit, identify the procedures for reporting
or combined license stage. and keeping records of environmental
(a) Construction permit stage. Each ap- data, and any conditions and moni-
plicant for a permit to construct a pro- toring requirements for protecting the
duction or utilization facility covered non-aquatic environment, proposed for
by § 51.20 shall submit with its applica- possible inclusion in the license as en-
tion a separate document, entitled vironmental conditions in accordance
‘‘Applicant’s Environmental Report— with § 50.36b of this chapter.
Construction Permit Stage,’’ which (c) Combined license stage. Each appli-
shall contain the information specified cant for a combined license shall sub-
in §§ 51.45, 51.51, and 51.52. Each envi- mit with its application a separate doc-
ronmental report shall identify proce- ument, entitled ‘‘Applicant’s Environ-
dures for reporting and keeping records mental Report—Combined License
of environmental data, and any condi- Stage.’’ Each environmental report
tions and monitoring requirements for shall contain the information specified
protecting the non-aquatic environ- in §§ 51.45, 51.51, and 51.52, as modified
ment, proposed for possible inclusion in in this paragraph. For other than light-
the license as environmental condi- water-cooled nuclear power reactors,
tions in accordance with § 50.36b of this the environmental report shall contain
chapter. the basis for evaluating the contribu-
(b) Early site permit stage. Each appli- tion of the environmental effects of
cant for an early site permit shall sub- fuel cycle activities for the nuclear
mit with its application a separate doc- power reactor. Each environmental re-
ument, entitled ‘‘Applicant’s Environ- port shall identify procedures for re-
mental Report—Early Site Permit porting and keeping records of environ-
Stage,’’ which shall contain the infor- mental data, and any conditions and
mation specified in §§ 51.45, 51.51, and monitoring requirements for pro-
51.52, as modified in this paragraph. tecting the non-aquatic environment,
(1) The environmental report must proposed for possible inclusion in the
include an evaluation of alternative license as environmental conditions in
sites to determine whether there is any accordance with § 50.36b of this chapter.
obviously superior alternative to the The combined license environmental
site proposed. report may reference information con-
(2) The environmental report may ad- tained in a final environmental docu-
dress one or more of the environmental ment previously prepared by the NRC
effects of construction and operation of staff.
a reactor, or reactors, which have de- (1) Application referencing an early site
sign characteristics that fall within permit. If the combined license applica-
the site characteristics and design pation references an early site permit,
rameters for the early site permit ap- then the ‘‘Applicant’s Environmental
plication, provided however, that the Report—Combined License Stage’’ need
environmental report must address all not contain information or analyses

environmental effects of construction submitted to the Commission in ‘‘Ap-
and operation necessary to determine plicant’s Environmental Report—Early
26
Site Permit Stage,’’ or resolved in the (3) Application referencing a manufac-

Commission’s early site permit envi- tured reactor. If the combined license
ronmental impact statement, but must application proposes to use a manufac-
contain, in addition to the environ- tured reactor, then the combined li-
mental information and analyses oth- cense environmental report may incor-
erwise required: porate by reference the environmental
(i) Information to demonstrate that assessment previously prepared by the
the design of the facility falls within NRC for the underlying manufacturing
the site characteristics and design pa- license. If the manufacturing license
rameters specified in the early site per-
environmental assessment is ref-
mit;
erenced, then the combined license en-
(ii) Information to resolve any sig-
nificant environmental issue that was vironmental report must contain infor-
not resolved in the early site permit mation to demonstrate that the site
proceeding; characteristics for the combined li-
(iii) Any new and significant infor- cense site fall within the site param-
mation for issues related to the im- eters in the manufacturing license en-
pacts of construction and operation of vironmental assessment. The environ-
the facility that were resolved in the mental report need not address the en-
early site permit proceeding; vironmental impacts associated with
(iv) A description of the process used manufacturing the reactor under the
to identify new and significant infor- manufacturing license.
mation regarding the NRC’s conclu-
[72 FR 49511, Aug. 28, 2007]
sions in the early site permit environ-
mental impact statement. The process § 51.51 Uranium fuel cycle environ-
must use a reasonable methodology for mental data—Table S–3.
identifying such new and significant
information; and (a) Under § 51.50, every environmental
(v) A demonstration that all environ- report prepared for the construction
mental terms and conditions that have permit stage or early site permit stage
been included in the early site permit or combined license stage of a light-
will be satisfied by the date of issuance water-cooled nuclear power reactor,
of the combined license. Any terms or and submitted on or after September 4,
conditions of the early site permit that 1979, shall take Table S–3, Table of Ura-
could not be met by the time of nium Fuel Cycle Environmental Data,
issuance of the combined license, must as the basis for evaluating the con-
be set forth as terms or conditions of tribution of the environmental effects
the combined license. of uranium mining and milling, the
(2) Application referencing standard de- production of uranium hexafluoride,
sign certification. If the combined li- isotopic enrichment, fuel fabrication,
cense references a standard design cer- reprocessing of irradiated fuel, trans-
tification, then the combined license portation of radioactive materials and
environmental report may incorporate management of low-level wastes and
by reference the environmental assess-
high-level wastes related to uranium
ment previously prepared by the NRC
fuel cycle activities to the environ-
for the referenced design certification.
If the design certification environmental costs of licensing the nuclear
mental assessment is referenced, then power reactor. Table S–3 shall be in-
the combined license environmental re- cluded in the environmental report and
port must contain information to dem- may be supplemented by a discussion
onstrate that the site characteristics of the environmental significance of
for the combined license site fall with- the data set forth in the table as
in the site parameters in the design weighed in the analysis for the pro-
certification environmental assess- posed facility.
ment. (b) Table S–3.
27
§ 51.51 10 CFR Ch. I (1–1–11 Edition)
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 or ref-

Environmental considerations Total erence 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-hour) ................. 323 <5 percent of model 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
NOX4 ........................................................................... 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 reproc-
essing. Concentration within range of state stand-
ards—below level that has effects on human health.
HCl .............................................................................. .014
Liquids:
SO¥4 .................................................................................. 9.9 From enrichment, fuel fabrication, and reprocessing
NO¥3 .................................................................................. 25.8 steps. Components that constitute a potential for ad-
Fluoride .............................................................................. 12.9 verse environmental effect are present in dilute con-
Ca∂∂ ................................................................................. 5.4 centrations and receive additional dilution by receiving
C1¥ .................................................................................... 8.5 bodies of water to levels below permissible standards.
Na∂ .................................................................................... 12.1 The constituents that require dilution and the flow of
NH3 ..................................................................................... 10.0 dilution water are: NH3—600 cfs., NO3—20 cfs., Fluo-
Fe ....................................................................................... .4 ride—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 environ-
ment.
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 re-
turned to ground—no effluents; therefore, no effect on

environment.
Ra–226 ........................................................................ .0034 From UF6 production.
Th–230 ........................................................................ .0015
28
TABLE S–3—TABLE OF URANIUM FUEL CYCLE ENVIRONMENTAL DATA 1—Continued

[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 or ref-

Environmental considerations Total erence reactor year of model 1,000 MWe LWR
Th–234 ........................................................................ .01 From fuel fabrication plants—concentration 10 percent

of 10 CFR 20 for total processing 26 annual fuel re-
quirements for model LWR.
Fission and activation products .................................. 5.9×10¥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 decom-
missioning—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) ................................................. 1.1×107 Buried at Federal Repository.
Effluents—thermal (billions of British thermal units) .......... 4,063 <5 percent of model 1,000 MWe LWR.
Transportation (person-rem):
Exposure of workers and general public .................... 2.5
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 ad-
dressed 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 reproc-
essing 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, Dock-
et 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 § 51.20(g). The con-
tributions 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 tem-
porary 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;
72 FR 49512, Aug. 28, 2007]
§ 51.52 Environmental effects of trans- ing a uranium-235 enrichment not ex-

portation of fuel and waste—Table ceeding 4% by weight, and the pellets
S–4. are encapsulated in zircaloy rods;
Under § 51.50, every environmental re- (3) The average level of irradiation of
port prepared for the construction per- the irradiated fuel from the reactor
mit stage or early site permit stage or does not exceed 33,000 megawatt-days
combined license stage of a light- per metric ton, and no irradiated fuel
water-cooled nuclear power reactor, assembly is shipped until at least 90
and submitted after February 4, 1975, days after it is discharged from the re-
shall contain a statement concerning actor;
transportation of fuel and radioactive (4) With the exception of irradiated
wastes to and from the reactor. That fuel, all radioactive waste shipped from
statement shall indicate that the reac- the reactor is packaged and in a solid
tor and this transportation either meet form;
all of the conditions in paragraph (a) of (5) Unirradiated fuel is shipped to the
this section or all of the conditions of reactor by truck; irradiated fuel is
paragraph (b) of this section. shipped from the reactor by truck, rail,
(a)(1) The reactor has a core thermal or barge; and radioactive waste other
power level not exceeding 3,800 than irradiated fuel is shipped from the
megawatts; reactor by truck or rail; and

(2) The reactor fuel is in the form of (6) The environmental impacts of
sintered uranium dioxide pellets hav- transportation of fuel and waste to and
29
§ 51.53 10 CFR Ch. I (1–1–11 Edition)
from the reactor, with respect to nor- environmental effects of transpor-

mal conditions of transport and pos- tation of fuel and wastes to and from
sible accidents in transport, are as set the reactor, including values for the
forth in Summary Table S–4 in para- environmental impact under normal
graph (c) of this section; and the values conditions of transport and for the en-
in the table represent the contribution vironmental risk from accidents in
of the transportation to the environ- transport. The statement shall indicate
mental costs of licensing the reactor. that the values determined by the
(b) For reactors not meeting the con- analysis represent the contribution of
ditions of paragraph (a) of this section, such effects to the environmental costs
the statement shall contain a full de- of licensing the reactor.
scription and detailed analysis of the (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 transit) ...................................... 250,000 Btu/hr.

Weight (governed by Federal or State restrictions) .................... 73,000 lbs. per truck; 100 tons per cask per rail car.
Traffic density:
Truck ..................................................................................... Less than 1 per day.
Rail ....................................................................................... Less than 3 per month
Estimated Cumulative dose

number of Range of doses to exposed individ- to exposed popu-
Exposed population persons uals 2 (per reactor year) lation (per reactor
exposed 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 reac-
tor 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 expo-
sure and should be limited to 500 millirem per year for individuals in the general population. The dose to individuals due to aver-
age 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 popu-
lation 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;
72 FR 49512, Aug. 28, 2007]
§ 51.53 Postconstruction environ- duction or utilization facility or site,

mental reports. or any information contained in a final
(a) General. Any environmental re- environmental document previously
port prepared under the provisions of prepared by the NRC staff that relates
this section may incorporate by ref- to the production or utilization facility
erence any information contained in a or site. Documents that may be ref-

prior environmental report or supple- erenced include, but are not limited to,
ment thereto that relates to the pro-
30
the final environmental impact state- modifications directly affecting the en-
ment; supplements to the final envi- vironment or affecting plant effluents
ronmental impact statement, including that affect the environment. In addi-
supplements prepared at the license re- tion, the applicant shall discuss in this
newal stage; NRC staff-prepared final report the environmental impacts of
generic environmental impact state- alternatives and any other matters de-
ments; and environmental assessments scribed in § 51.45. The report is not re-
and records of decisions prepared in quired to include discussion of need for
connection with the construction per- power or the economic costs and eco-
mit, operating license, early site per- nomic benefits of the proposed action
mit, combined license and any license or of alternatives to the proposed ac-
amendment for that facility. tion except insofar as such costs and
(b) Operating license stage. Each appli- benefits are either essential for a de-
cant for a license to operate a produc- termination regarding the inclusion of
tion or utilization facility covered by an alternative in the range of alter-
§ 51.20 shall submit with its application natives considered or relevant to miti-
a separate document entitled ‘‘Supple- gation. The environmental report need
ment to Applicant’s Environmental Re- not discuss other issues not related to
port—Operating License Stage,’’ which the environmental effects of the pro-
will update ‘‘Applicant’s Environ- posed action and the alternatives. In
mental Report—Construction Permit addition, the environmental report
Stage.’’ Unless otherwise required by need not discuss any aspect of the stor-
the Commission, the applicant for an age of spent fuel for the facility within
operating license for a nuclear power the scope of the generic determination
reactor shall submit this report only in in § 51.23(a) and in accordance with
connection with the first licensing ac- § 51.23(b).
tion authorizing full-power operation. (3) For those applicants seeking an
In this report, the applicant shall dis- initial renewed license and holding an
cuss the same matters described in operating license, construction permit,
§§ 51.45, 51.51, and 51.52, but only to the or combined license as of June 30, 1995,
extent that they differ from those dis- the environmental report shall include
cussed or reflect new information in the information required in paragraph
addition to that discussed in the final (c)(2) of this section subject to the fol-
environmental impact statement pre- lowing conditions and considerations:
pared by the Commission in connection (i) The environmental report for the
with the construction permit. No dis- operating license renewal stage is not
cussion of need for power, or of alter- required to contain analyses of the en-
native energy sources, or of alternative vironmental impacts of the license re-
sites for the facility, or of any aspect newal issues identified as Category 1
of the storage of spent fuel for the fa- issues in appendix B to subpart A of
cility within the scope of the generic this part.
determination in § 51.23(a) and in ac- (ii) The environmental report must
cordance with § 51.23(b) is required in contain analyses of the environmental
this report. impacts of the proposed action, includ-
(c) Operating license renewal stage. (1) ing the impacts of refurbishment ac-
Each applicant for renewal of a license tivities, if any, associated with license
to operate a nuclear power plant under renewal and the impacts of operation
part 54 of this chapter shall submit during the renewal term, for those
with its application a separate docu- issues identified as Category 2 issues in
ment entitled ‘‘Applicant’s Environ- appendix B to subpart A of this part.
mental Report—Operating License Re- The required analyses are as follows:
newal Stage.’’ (A) If the applicant’s plant utilizes
(2) The report must contain a de- cooling towers or cooling ponds and
scription of the proposed action, in- withdraws make-up water from a river
cluding the applicant’s plans to modify whose annual flow rate is less than
the facility or its administrative con- 3.15×1012 ft3/year (9×1010 m3/year), an as-
trol procedures as described in accord- sessment of the impact of the proposed

ance with § 54.21 of this chapter. This action on the flow of the river and re-
report must describe in detail the lated impacts on instream and riparian
31
§ 51.53 10 CFR Ch. I (1–1–11 Edition)
ecological communities must be pro- the recommendations of the National

vided. The applicant shall also provide Electric Safety Code for preventing
an assessment of the impacts of the electric shock from induced currents,
withdrawal of water from the river on an assessment of the impact of the pro-
alluvial aquifers during low flow. posed action on the potential shock
(B) If the applicant’s plant utilizes hazard from the transmission lines
once-through cooling or cooling pond must be provided.
heat dissipation systems, the applicant (I) An assessment of the impact of
shall provide a copy of current Clean the proposed action on housing avail-
Water Act 316(b) determinations and, if ability, land-use, and public schools
necessary, a 316(a) variance in accord- (impacts from refurbishment activities
ance with 40 CFR part 125, or equiva- only) within the vicinity of the plant
lent State permits and supporting doc- must be provided. Additionally, the ap-
umentation. If the applicant can not plicant shall provide an assessment of
provide these documents, it shall as- the impact of population increases at-
sess the impact of the proposed action tributable to the proposed project on
on fish and shellfish resources result- the public water supply.
ing from heat shock and impingement (J) All applicants shall assess the im-
and entrainment. pact of highway traffic generated by
(C) If the applicant’s plant uses the proposed project on the level of
Ranney wells or pumps more than 100 service of local highways during peri-
gallons (total onsite) of ground water ods of license renewal refurbishment
per minute, an assessment of the im- activities and during the term of the
pact of the proposed action on ground- renewed license.
water use must be provided. (K) All applicants shall assess wheth-
(D) If the applicant’s plant is located er any historic or archaeological prop-
at an inland site and utilizes cooling erties will be affected by the proposed
ponds, an assessment of the impact of project.
the proposed action on groundwater (L) If the staff has not previously
quality must be provided. considered severe accident mitigation
(E) All license renewal applicants alternatives for the applicant’s plant in
shall assess the impact of refurbish- an environmental impact statement or
ment and other license-renewal-related related supplement or in an environ-
construction activities on important mental assessment, a consideration of
plant and animal habitats. Addition- alternatives to mitigate severe acci-
ally, the applicant shall assess the im- dents must be provided.
pact of the proposed action on threat- (M) [Reserved]
ened or endangered species in accord- (iii) The report must contain a con-
ance with the Endangered Species Act. sideration of alternatives for reducing
(F) If the applicant’s plant is located adverse impacts, as required by
in or near a nonattainment or mainte- § 51.45(c), for all Category 2 license re-
nance area, an assessment of vehicle newal issues in appendix B to subpart
exhaust emissions anticipated at the A of this part. No such consideration is
time of peak refurbishment workforce required for Category 1 issues in appen-
must be provided in accordance with dix B to subpart A of this part.
the Clean Air Act as amended. (iv) The environmental report must
(G) If the applicant’s plant uses a contain any new and significant infor-
cooling pond, lake, or canal or dis- mation regarding the environmental
charges into a river having an annual impacts of license renewal of which the
average flow rate of less than 3.15×1012 applicant is aware.
ft3/year (9×1010 m3/year), an assessment (d) Postoperating license stage. Each
of the impact of the proposed action on applicant for a license amendment au-
public health from thermophilic orga- thorizing decommissioning activities
nisms in the affected water must be for a production or utilization facility
provided. either for unrestricted use or based on
(H) If the applicant’s transmission continuing use restrictions applicable
lines that were constructed for the spe- to the site; and each applicant for a li-
cific purpose of connecting the plant to cense amendment approving a license
the transmission system do not meet termination plan or decommissioning
32
plan under § 50.82 of this chapter either clear power plant, or an evaluation of
for unrestricted use or based on con- alternative energy sources.
tinuing use restrictions applicable to (b) Each applicant for an amendment
the site; and each applicant for a li- to a manufacturing license shall sub-
cense or license amendment to store mit with its application a separate doc-
spent fuel at a nuclear power reactor ument entitled, ‘‘Applicant’s Supple-
after expiration of the operating li- mental Environmental Report—
cense for the nuclear power reactor Amendment to Manufacturing Li-
shall submit with its application a sep- cense.’’ The environmental report must
arate document, entitled ‘‘Supplement address whether the design change
to Applicant’s Environmental Report— which is the subject of the proposed
Post Operating License Stage,’’ which amendment either renders a severe ac-
will update ‘‘Applicant’s Environ- cident mitigation design alternative
mental Report—Operating License
previously rejected in an environ-
Stage,’’ as appropriate, to reflect any
mental assessment to become cost ben-
new information or significant environ-
eficial, or results in the identification
mental change associated with the ap-
plicant’s proposed decommissioning ac- of new severe accident mitigation de-
tivities or with the applicant’s pro- sign alternatives that may be reason-
posed activities with respect to the ably incorporated into the design of
planned storage of spent fuel. Unless the manufactured reactor. The envi-
otherwise required by the Commission, ronmental report need not address the
in accordance with the generic deter- environmental impacts associated with
mination in § 51.23(a) and the provisions manufacturing the reactor under the
in § 51.23(b), the applicant shall only ad- manufacturing license.
dress the environmental impact of [72 FR 49513, Aug. 28, 2007]
spent fuel storage for the term of the
license applied for. The ‘‘Supplement to § 51.55 Environmental report—stand-
Applicant’s Environmental Report— ard design certification.
Post Operating License Stage’’ may in-
(a) Each applicant for a standard de-
corporate by reference any information
sign certification under subpart B of
contained in ‘‘Applicants Environ-
part 52 of this chapter shall submit
mental Report—Construction Permit
Stage. with its application a separate docu-
ment entitled, ‘‘Applicant’s Environ-
[61 FR 66543, Dec. 18, 1996, as amended at 64 mental Report—Standard Design Cer-
FR 48506, Sept. 3, 1999; 68 FR 58810, Oct. 10, tification.’’ The environmental report
2003; 72 FR 49513, Aug. 28, 2007]
must address the costs and benefits of
§ 51.54 Environmental report—manu- severe accident mitigation design al-
facturing license. ternatives, and the bases for not incor-
porating severe accident mitigation de-
(a) Each applicant for a manufac- sign alternatives in the design to be
turing license under subpart F of part
certified.
52 of this chapter shall submit with its
(b) Each applicant for an amendment
application a separate document enti-
tled, ‘‘Applicant’s Environmental Re- to a design certification shall submit
port—Manufacturing License.’’ The en- with its application a separate docu-
vironmental report must address the ment entitled, ‘‘Applicant’s Supple-
costs and benefits of severe accident mental Environmental Report—
mitigation design alternatives, and the Amendment to Standard Design Cer-
bases for not incorporating severe acci- tification.’’ The environmental report
dent mitigation design alternatives must address whether the design
into the design of the reactor to be change which is the subject of the pro-
manufactured. The environmental re- posed amendment either renders a se-
port need not address the environ- vere accident mitigation design alter-
mental impacts associated with manu- native previously rejected in an envi-
facturing the reactor under the manu- ronmental assessment to become cost
facturing license, the benefits and im- beneficial, or results in the identifica-
pacts of utilizing the reactor in a nu- tion of new severe accident mitigation
33
§ 51.58 10 CFR Ch. I (1–1–11 Edition)
design alternatives that may be rea- on paper, the signed original must be
sonably incorporated into the design sent. If a submission due date falls on
certification. a Saturday, Sunday, or Federal holi-
[72 FR 49513, Aug. 28, 2007] day, the next Federal working day be-
comes the official due date. The appli-
§ 51.58 Environmental report—number cant shall maintain the capability to
of copies; distribution. generate additional copies of the envi-
(a) Each applicant for a license or ronmental report or any supplement to
permit to site, construct, manufacture, the environmental report for subse-
or operate a production or utilization quent distribution to parties and
facility covered by §§ 51.20(b)(1), (b)(2), Boards in the NRC proceedings; Fed-
(b)(3), or (b)(4), each applicant for re- eral, State, and local officials; and any
newal of an operating or combined li- affected Indian tribes, in accordance
cense for a nuclear power plant, each with written instructions issued by the
applicant for a license amendment au- Director of the Office of New Reactors,
thorizing the decommissioning of a the Director of the Office of Nuclear
production or utilization facility cov- Reactor Regulation, or the Director of
ered by § 51.20, and each applicant for a the Office of Nuclear Material Safety
license or license amendment to store and Safeguards, as appropriate.
spent fuel at a nuclear power plant (b) Each applicant for a license to
after expiration of the operating li- manufacture a nuclear power reactor,
cense or combined license for the nu- or for an amendment to a license to
clear power plant shall submit a copy manufacture, seeking approval of the
to the Director of the Office of Nuclear final design of the nuclear power reac-
Reactor Regulation, the Director of the tor under subpart F of part 52 of this
Office of New Reactors, the Director of chapter, shall submit to the Commis-
the Office of Nuclear Material Safety sion an environmental report or any
and Safeguards, as appropriate, of an supplement to an environmental report
environmental report or any supple- in the manner specified in § 50.3 of this
ment to an environmental report. chapter. The applicant shall maintain
These reports must be sent either by the capability to generate additional
mail addressed: ATTN: Document Con- copies of the environmental report or
trol Desk; U.S. Nuclear Regulatory any supplement to the environmental
Commission, Washington, DC 20555– report for subsequent distribution to
0001; by hand delivery to the NRC’s of- parties and Boards in the NRC pro-
fices at 11555 Rockville Pike, Rock- ceeding; Federal, State, and local offi-
ville, Maryland, between the hours of
cials; and any affected Indian tribes, in
7:30 a.m. and 4:15 p.m. eastern time; or,
accordance with written instructions
where practicable, by electronic sub-
issued by the Director of the Office of
mission, for example, via Electronic In-
New Reactors or the Director of the Of-
formation Exchange, or CD–ROM. Elec-
fice of Nuclear Reactor Regulation.
tronic submissions must be made in a
manner that enables the NRC to re- [72 FR 49513, Aug. 28, 2007, as amended at 74
ceive, read, authenticate, distribute, FR 62682, Dec. 1, 2009]
and archive the submission, and proc-
ess and retrieve it a single page at a ENVIRONMENTAL REPORTS—MATERIALS
time. Detailed guidance on making LICENSES
electronic submissions can be obtained
by visiting the NRC’s Web site at http:// § 51.60 Environmental report—mate-
www.nrc.gov/site-help/e-submittals.html; rials licenses.
by e-mail to MSHD.Resource@nrc.gov; (a) Each applicant for a license or
or by writing the Office of Information other form of permission, or an amend-
Services, U.S. Nuclear Regulatory ment to or renewal of a license or other
Commission, Washington, DC 20555– form of permission issued pursuant to
0001. The guidance discusses, among parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70
other topics, the formats the NRC can and/or 72 of this chapter, and covered
accept, the use of electronic signa- by paragraphs (b)(1) through (b)(5) of

tures, and the treatment of nonpublic this section, shall submit with its ap-
information. If the communication is plication to: ATTN: Document Control
34
Desk, Director, Nuclear Material Safe- (vii) Construction and operation of a

ty and Safeguards, a separate docu- uranium enrichment facility.
ment, entitled ‘‘Applicant’s Environ- (2) Issuance of an amendment that
mental Report’’ or ‘‘Supplement to Ap- would authorize or result in (i) a sig-
plicant’s Environmental Report,’’ as ap- nificant expansion of a site, (ii) a sig-
propriate. The ‘‘Applicant’s Environ- nificant change in the types of
mental Report’’ shall contain the infor- effluents, (iii) a significant increase in
mation specified in § 51.45. If the appli- the amounts of effluents, (iv) a signifi-
cation is for an amendment to or a re- cant increase in individual or cumu-
newal of a license or other form of per- lative occupational radiation exposure,
mission for which the applicant has (v) a significant increase in the poten-
previously submitted an environmental tial for or consequences from radio-
report, the supplement to applicant’s logical accidents, or (vi) a significant
environmental report may be limited increase in spent fuel storage capacity,
to incorporating by reference, updating in a license or other form of permission
or supplementing the information pre- to conduct an activity listed in para-
viously submitted to reflect any sig- graph (b)(1) of this section.
nificant environmental change, includ- (3) Amendment of a license to au-
ing any significant environmental thorize the decommissioning of an
change resulting from operational ex- independent spent fuel storage instal-
perience or a change in operations or lation (ISFSI) or a monitored retriev-
proposed decommissioning activities. If able storage installation (MRS) pursu-
the applicant is the U.S. Department of ant to part 72 of this chapter.
Energy, the environmental report may (4) Issuance of a license amendment
be in the form of either an environ- pursuant to part 61 of this chapter au-
mental impact statement or an envi- thorizing (i) closure of a land disposal
ronmental assessment, as appropriate. site, (ii) transfer of the license to the
(b) As required by paragraph (a) of disposal site owner for the purpose of
this section, each applicant shall pre- institutional control, or (iii) termi-
pare an environmental report for the nation of the license at the end of the
following types of actions: institutional control period.
(1) Issuance or renewal of a license or (5) Any other licensing action for
other form of permission for: which the Commission determines an
(i) Possession and use of special nu- Environmental Report is necessary.
clear material for processing and fuel [49 FR 9381, Mar. 12, 1984, as amended at 53
fabrication, scrap recovery, or conver- FR 31681, Aug. 19, 1988; 57 FR 18392, Apr. 30,
sion of uranium hexafluoride pursuant 1992; 58 FR 7737, Feb. 9, 1993; 62 FR 26732, May
to part 70 of this chapter. 14, 1997; 68 FR 58811, Oct. 10, 2003]
(ii) Possession and use of source ma- § 51.61 Environmental report—inde-
terial for uranium milling or produc- pendent spent fuel storage installa-
tion of uranium hexafluoride pursuant tion (ISFSI) or monitored retriev-
to part 40 of this chapter. able storage installation (MRS) li-
(iii) Storage of spent fuel in an inde- cense.
pendent spent fuel storage installation Each applicant for issuance of a li-
(ISFSI) or the storage of spent fuel or cense for storage of spent fuel in an
high-level radio-active waste in a mon- independent spent fuel storage instal-
itored retrievable storage installation lation (ISFSI) or for the storage of
(MRS) pursuant to part 72 of this chap- spent fuel and high-level radioactive
ter. waste in a monitored retrievable stor-
(iv) Receipt and disposal of radio- age installation (MRS) pursuant to
active waste from other persons pursu- part 72 of this chapter shall submit
ant to part 61 of this chapter. with its application to: ATTN: Docu-
(v) Processing of source material for ment Control Desk, Director, Office of
extraction of rare earth and other met- Nuclear Material Safety and Safe-
als. guards, a separate document entitled
(vi) Use of radioactive tracers in field ‘‘Applicant’s Environmental Report—

flood studies involving secondary and ISFSI License’’ or ‘‘Applicant’s Envi-
tertiary oil and gas recovery. ronmental Report—MRS License,’’ as
35
§ 51.62 10 CFR Ch. I (1–1–11 Edition)
appropriate. If the applicant is the U.S. (c) The applicant shall supplement
Department of Energy, the environ- the environmental report in a timely
mental report may be in the form of ei- manner as necessary to permit the
ther an environmental impact state- Commission to review, prior to
ment or an environmental assessment, issuance, amendment or renewal of a
as appropriate. The environmental relicense, new information regarding the
port shall contain the information environmental impact of previously
specified in § 51.45 and shall address the proposed activities, information re-
siting evaluation factors contained in garding the environmental impact of
subpart E of part 72 of this chapter. Un- any changes in previously proposed ac-
less otherwise required by the Commis- tivities, or any significant new infor-
sion, in accordance with the generic de- mation regarding the environmental
termination in § 51.23(a) and the provi- impact of closure activities and long-
sions in § 51.23(b), no discussion of the term performance of the disposal site.
environmental impact of the storage of [49 FR 9381, Mar. 12, 1984, as amended at 53
spent fuel at an ISFSI beyond the term FR 43420, Oct. 27, 1988; 64 FR 48952, Sept. 9,
of the license or amendment applied 1999; 68 FR 58811, Oct. 10, 2003]
for is required in an environmental re-
port submitted by an applicant for an § 51.66 Environmental report—number
of copies; distribution.
initial license for storage of spent fuel
in an ISFSI, or any amendment there- Each applicant for a license or other
to. form of permission, or an amendment
to or renewal of a license or other form
[53 FR 31681, Aug. 19, 1988, as amended at 68 of permission issued under parts 30, 32,
FR 58811, Oct. 10, 2003] 33, 34, 35, 36, 39, 40, 61, 70, and/or 72 of
this chapter, and covered by
§ 51.62 Environmental report—land §§ 51.60(b)(1) through (6); or by §§ 51.61 or
disposal of radioactive waste li-
censed under 10 CFR part 61. 51.62 shall submit to the Director of
Nuclear Material Safety and Safe-
(a) Each applicant for issuance of a guards an environmental report or any
license for land disposal of radioactive supplement to an environmental report
waste pursuant to part 61 of this chap- in the manner specified in § 51.58(a).
ter shall submit with its application The applicant shall maintain the capa-
to: ATTN: Document Control Desk, Di- bility to generate additional copies of
rector of Nuclear Material Safety and the environmental report or any sup-
Safeguards, a separate document, enti- plement to the environmental report
tled ‘‘Applicant’s Environmental Re- for subsequent distribution to Federal,
port—License for Land Disposal of Ra- State, and local officials, and any af-
dioactive Waste.’’ The environmental fected Indian tribes in accordance with
report and any supplement to the envi- written instructions issued by the Di-
ronmental report may incorporate by rector of Nuclear Material Safety and
reference information contained in the Safeguards.
application or in any previous applica- [72 FR 49514, Aug. 28, 2007]
tion, statement or report filed with the
Commission provided that such ref- § 51.67 Environmental information
erences are clear and specific and that concerning geologic repositories.
copies of the information so incor- (a) In lieu of an environmental re-
porated are available at the NRC Web port, the Department of Energy, as an
site, http://www.nrc.gov, and/or at the applicant for a license or license
NRC Public Document Room. amendment pursuant to part 60 or 63 of
(b) The environmental report shall this chapter, shall submit to the Com-
contain the information specified in mission any final environmental im-
§ 51.45, shall address the applicant’s en- pact statement which the Department
vironmental monitoring program re- prepares in connection with any geo-
quired by §§ 61.12(l), 61.53 and 61.59(b) of logic repository developed under Sub-
this chapter, and shall be as complete title A of Title I, or under Title IV, of
as possible in the light of information the Nuclear Waste Policy Act of 1982,
that is available at the time the envi- as amended. (See § 60.22 or § 63.22 of this
ronmental report is submitted. chapter as to the required time and
36
manner of submission.) The statement material shall submit with the petition
shall include, among the alternatives a separate document entitled ‘‘Peti-
under consideration, denial of a license tioner’s Environmental Report,’’ which
or construction authorization by the shall contain the information specified
Commission. in § 51.45.
(b) Under applicable provisions of
[68 FR 58811, Oct. 10, 2003]
law, the Department of Energy may be
required to supplement its final envi- ENVIRONMENTAL IMPACT STATEMENTS
ronmental impact statement if it
makes a substantial change in its pro- DRAFT ENVIRONMENTAL IMPACT
posed action that is relevant to envi- STATEMENTS—GENERAL REQUIREMENTS
ronmental concerns or determines that
there are significant new cir- § 51.70 Draft environmental impact
cumstances or information relevant to statement—general.
environmental concerns and bearing on (a) The NRC staff will prepare a draft
the proposed action or its impacts. The environmental impact statement as
Department shall submit any supple- soon as practicable after publication of
ment to its final environmental impact the notice of intent to prepare an envi-
statement to the Commission. (See ronmental impact statement and com-
§ 60.22 or § 63.22 of this chapter as to the pletion of the scoping process. To the
required time and manner of submis- fullest extent practicable, environ-
sion.) mental impact statements will be pre-
(c) Whenever the Department of En- pared concurrently or integrated with
ergy submits a final environmental im- environmental impact analyses and re-
pact statement, or a final supplement lated surveys and studies required by
to an environmental impact statement, other Federal law.
to the Commission pursuant to this (b) The draft environmental impact
section, it shall also inform the Com- statement will be concise, clear and
mission of the status of any civil ac- analytic, will be written in plain lan-
tion for judicial review initiated pursu- guage with appropriate graphics, will
ant to section 119 of the Nuclear Waste state how alternatives considered in it
Policy Act of 1982. This status report, and decisions based on it will or will
which the Department shall update not achieve the requirements of sec-
from time to time to reflect changes in tions 101 and 102(1) of NEPA and of any
status, shall: other relevant and applicable environ-
(1) State whether the environmental mental laws and policies, will identify
impact statement has been found by any methodologies used and sources re-
the courts of the United States to be lied upon, and will be supported by evi-
adequate or inadequate; and dence that the necessary environ-
(2) Identify any issues relating to the mental analyses have been made. The
adequacy of the environmental impact format provided in section 1(a) of ap-
statement that may remain subject to pendix A of this subpart should be
judicial review. used. The NRC staff will independently
[54 FR 27870, July 3, 1989, as amended at 66 evaluate and be responsible for the re-
FR 55791, Nov. 2, 2001] liability of all information used in the
draft environmental impact statement.
ENVIRONMENTAL REPORTS—RULEMAKING (c) The Commission will cooperate
with State and local agencies to the
§ 51.68 Environmental report—rule- fullest extent possible to reduce dupli-
making. cation between NEPA and State and
Petitioners for rulemaking request- local requirements, in accordance with
ing amendments of parts 30, 31, 32, 33, 40 CFR 1506.2 (b) and (c).
34, 35, 36, 39, 40 or part 70 of this chap-
ter concerning the exemption from li- § 51.71 Draft environmental impact
censing and regulatory requirements of statement—contents.
or authorizing general licenses for any (a) Scope. The draft environmental
equipment, device, commodity or other impact statement will be prepared in

product containing byproduct mate- accordance with the scope decided upon
rial, source material or special nuclear in the scoping process required by
37
§ 51.71 10 CFR Ch. I (1–1–11 Edition)
§§ 51.26 and 51.29. As appropriate and to an alternative in the range of alter-

the extent required by the scope, the natives considered or relevant to miti-
draft statement will address the topics gation. In addition, the supplemental
in paragraphs (b), (c), (d) and (e) of this environmental impact statement pre-
section and the matters specified in pared at the license renewal stage need
§§ 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, not discuss other issues not related to
51.61 and 51.62. the environmental effects of the pro-
(b) Analysis of major points of view. To posed action and associated alter-
the extent sufficient information is natives. The draft supplemental envi-
available, the draft environmental im- ronmental impact statement for li-
pact statement will include consider- cense renewal prepared under § 51.95(c)
ation of major points of view con-
will rely on conclusions as amplified by
cerning the environmental impacts of
the supporting information in the
the proposed action and the alter-
natives, and contain an analysis of sig- GEIS for issues designated as Category
nificant problems and objections raised 1 in appendix B to subpart A of this
by other Federal, State, and local part. The draft supplemental environ-
agencies, by any affected Indian tribes, mental impact statement must contain
and by other interested persons. an analysis of those issues identified as
(c) Status of compliance. The draft en- Category 2 in appendix B to subpart A
vironmental impact statement will list of this part that are open for the pro-
all Federal permits, licenses, approv- posed action. The analysis for all draft
als, and other entitlements which must environmental impact statements will,
be obtained in implementing the pro- to the fullest extent practicable, quan-
posed action and will describe the sta- tify the various factors considered. To
tus of compliance with those require- the extent that there are important
ments. If it is uncertain whether a Fed- qualitative considerations or factors
eral permit, license, approval, or other that cannot be quantified, these con-
entitlement is necessary, the draft en- siderations or factors will be discussed
vironmental impact statement will so in qualitative terms. Consideration
indicate. will be given to compliance with envi-
(d) Analysis. Unless excepted in this ronmental quality standards and re-
paragraph or § 51.75, the draft environ- quirements that have been imposed by
mental impact statement will include Federal, State, regional, and local
a preliminary analysis that considers
agencies having responsibility for envi-
and weighs the environmental effects
ronmental protection, including appli-
of the proposed action; the environ-
cable zoning and land-use regulations
mental impacts of alternatives to the
proposed action; and alternatives and water pollution limitations or re-
available for reducing or avoiding ad- quirements issued or imposed under
verse environmental effects and consid- the Federal Water Pollution Control
eration of the economic, technical, and Act. The environmental impact of the
other benefits and costs of the proposed proposed action will be considered in
action and alternatives and indicate the analysis with respect to matters
what other interests and consider- covered by environmental quality
ations of Federal policy, including fac- standards and requirements irrespec-
tors not related to environmental qual- tive of whether a certification or li-
ity if applicable, are relevant to the cense from the appropriate authority
consideration of environmental effects has been obtained. 3 While satisfaction
of the proposed action identified under
paragraph (a) of this section. The draft
3 Compliance with the environmental qual-
supplemental environmental impact
statement prepared at the license re- ity standards and requirements of the Fed-
newal stage under § 51.95(c) need not eral Water Pollution Control Act (imposed
by EPA or designated permitting states) is
discuss the economic or technical bene- not a substitute for, and does not negate the
fits and costs of either the proposed ac-
requirement for NRC to weigh all environ-

tion or alternatives except if benefits mental effects of the proposed action, includ-
and costs are either essential for a de- ing the degradation, if any, of water quality,
termination regarding the inclusion of and to consider alternatives to the proposed
38
of Commission standards and criteria be reached after considering the envi-

pertaining to radiological effects will ronmental effects of the proposed ac-
be necessary to meet the licensing re- tion and reasonable alternatives, 4 and,
quirements of the Atomic Energy Act, except for supplemental environmental
the analysis will, for the purposes of impact statements for the operating li-
NEPA, consider the radiological effects cense renewal stage prepared pursuant
of the proposed action and alter- to § 51.95(c), after weighing the costs
natives. and benefits of the proposed action. In
(e) Effect of limited work authorization. lieu of a recommendation, the NRC
If a limited work authorization was staff may indicate in the draft state-
issued either in connection with or sub- ment that two or more alternatives re-
sequent to an early site permit, or in main under consideration.
connection with a construction permit [49 FR 9381, Mar. 12, 1984, as amended at 61
or combined license application, then FR 28488, June 5, 1996; 61 FR 66544, Dec. 18,
the environmental impact statement 1996; 72 FR 49514, Aug. 28, 2007; 72 FR 57445,
for the construction permit or com- Oct. 9, 2007]
bined license application will not ad-
dress or consider the sunk costs associ- § 51.72 Supplement to draft environ-
ated with the limited work authoriza- mental impact statement.
tion. (a) The NRC staff will prepare a sup-
(f) Preliminary recommendation. The plement to a draft environmental im-
draft environmental impact statement pact statement for which a notice of
normally will include a preliminary availability has been published in the
recommendation by the NRC staff re- FEDERAL REGISTER as provided in
specting the proposed action. This pre- § 51.117, if:
liminary recommendation will be based (1) There are substantial changes in
on the information and analysis de- the proposed action that are relevant
scribed in paragraphs (a) through (d) of to environmental concerns; or
this section and §§ 51.75, 51.76, 51.80, (2) There are significant new cir-
51.85, and 51.95, as appropriate, and will cumstances or information relevant to
environmental concerns and bearing on
action that are available for reducing ad- the proposed action or its impacts.
verse effects. Where an environmental as- (b) The NRC staff may prepare a sup-
sessment of aquatic impact from plant dis- plement to a draft environmental im-
charges is available from the permitting au- pact statement when, in its opinion,
thority, the NRC will consider the assess- preparation of a supplement will fur-
ment in its determination of the magnitude ther the purposes of NEPA.
of environmental impacts for striking an (c) The supplement to a draft envi-
overall cost-benefit balance at the construc-
ronmental impact statement will be
tion permit and operating license and early
site permit and combined license stages, and prepared and noticed in the same man-
in its determination of whether the adverse ner as the draft environmental impact
environmental impacts of license renewal statement except that a scoping proc-
are so great that preserving the option of li- ess need not be used.
cense renewal for energy planning decision-
makers would be unreasonable at the license § 51.73 Request for comments on draft
renewal stage. When no such assessment of environmental impact statement.
aquatic impacts is available from the per-
Each draft environmental impact
mitting authority, NRC will establish on its
own, or in conjunction with the permitting statement and each supplement to a
authority and other agencies having relevant
expertise, the magnitude of potential im- 4 The consideration of reasonable alter-
pacts for striking an overall cost-benefit bal- natives to a proposed action involving nu-
ance for the facility at the construction per- clear power reactors (e.g., alternative energy
mit and operating license and early site per- sources) is intended to assist the NRC in
mit and combined license stages, and in its meeting its NEPA obligations and does not
determination of whether the adverse envi- preclude any State authority from making
ronmental impacts of license renewal are so separate determinations with respect to
great that preserving the option of license these alternatives and in no way preempts,
renewal for energy planning decision-makers displaces, or affects the authority of States
would be unreasonable at the license renewal or other Federal agencies to address these
stage. issues.
39
§ 51.74 10 CFR Ch. I (1–1–11 Edition)
draft environmental impact statement (8) Upon written request, any other
distributed in accordance with § 51.74, person to the extent available.
and each news release provided pursu- (b) Additional copies will be made
ant to § 51.74(d) will be accompanied by available in accordance with § 51.123.
or include a request for comments on (c) A supplement to a draft environ-
the proposed action and on the draft mental impact statement will be dis-
environmental impact statement or tributed in the same manner as the
any supplement to the draft environ- draft environmental impact statement
mental impact statement and will to which it relates.
state where comments should be sub- (d) News releases stating the avail-
mitted and the date on which the com- ability for comment and place for ob-
ment period closes. A minimum com- taining or inspecting a draft environ-
ment period of 45 days will be provided. mental statement or supplement will
The comment period will be calculated be provided to local newspapers and
from the date on which the Environ- other appropriate media.
mental Protection Agency notice stat- (e) A notice of availability will be
ing that the draft statement or the published in the FEDERAL REGISTER in
supplement to the draft statement has accordance with § 51.117.
been filed with EPA is published in the
FEDERAL REGISTER. If no comments are DRAFT ENVIRONMENTAL IMPACT STATE-
provided within the time specified, it MENTS—PRODUCTION AND UTILIZATION
will be presumed, unless the agency or FACILITIES
person requests an extension of time,
that the agency or person has no com- § 51.75 Draft environmental impact
ment to make. To the extent prac- statement—construction permit,
ticable, NRC staff will grant reasonable early site permit, or combined
licesne.
requests for extensions of time of up to
fifteen (15) days. (a) Construction permit stage. A draft
environmental impact statement relat-
§ 51.74 Distribution of draft environ- ing to issuance of a construction per-
mental impact statement and sup- mit for a production or utilization fa-
plement to draft environmental im- cility will be prepared in accordance
pact statement; news releases.
with the procedures and measures de-
(a) A copy of the draft environmental scribed in §§ 51.70, 51.71, 51.72, and 51.73.
impact statement will be distributed The contribution of the environmental
to: effects of the uranium fuel cycle activi-
(1) The Environmental Protection ties specified in § 51.51 shall be evalu-
Agency. ated on the basis of impact values set
(2) Any other Federal agency which forth in Table S–3, Table of Uranium
has special expertise or jurisdiction by Fuel Cycle Environmental Data, which
law with respect to any environmental shall be set out in the draft environ-
impact involved or which is authorized mental impact statement. With the ex-
to develop and enforce relevant envi- ception of radon-222 and technetium-99
ronmental standards. releases, no further discussion of fuel
(3) The applicant or petitioner for cycle release values and other numer-
rulemaking and any other party to the ical data that appear explicitly in the
proceeding. table shall be required. 5 The impact
(4) Appropriate State and local agen- statement shall take account of dose
cies authorized to develop and enforce commitments and health effects from
relevant environmental standards. fuel cycle effluents set forth in Table
(5) Appropriate State, regional and S–3 and shall in addition take account
metropolitan clearinghouses. of economic, socioeconomic, and pos-
(6) Appropriate Indian tribes when sible cumulative impacts and other
the proposed action may have an envi- fuel cycle impacts as may reasonably
ronmental impact on a reservation. appear significant.
(7) Upon written request, any organi- (b) Early site permit stage. A draft en-
zation or group included in the master vironmental impact statement relating

list of interested organizations and to issuance of an early site permit for
groups maintained under § 51.122. a production or utilization facility will
40
be prepared in accordance with the pro- (c) Combined license stage. A draft en-
cedures and measures described in vironmental impact statement relating
§§ 51.70, 51.71, 51.72, 51.73, and this sec- to issuance of a combined license that
tion. The contribution of the environ- does not reference an early site permit
mental effects of the uranium fuel will be prepared in accordance with the
cycle activities specified in § 51.51 shall procedures and measures described in
be evaluated on the basis of impact val- §§ 51.70, 51.71, 51.72, and 51.73. The con-
ues set forth in Table S–3, Table of tribution of the environmental effects
Uranium Fuel Cycle Environmental of the uranium fuel cycle activities
Data, which shall be set out in the specified in § 51.51 shall be evaluated on
draft environmental impact statement. the basis of impact values set forth in
With the exception of radon-222 and Table S–3, Table of Uranium Fuel Cycle
technetium-99 releases, no further dis- Environmental Data, which shall be set
cussion of fuel cycle release values and out in the draft environmental impact
other numerical data that appear ex- statement. With the exception of
plicitly in the table shall be required. 5 radon-222 and technetium-99 releases,
The impact statement shall take ac- no further discussion of fuel cycle re-
count of dose commitments and health lease values and other numerical data
effects from fuel cycle effluents set that appear explicitly in the table shall
forth in Table S–3 and shall in addition be required. 5 The impact statement
take account of economic, socio- shall take account of dose commit-
economic, and possible cumulative im- ments and health effects from fuel
pacts and other fuel cycle impacts as cycle effluents set forth in Table S–3
may reasonably appear significant. The and shall in addition take account of
draft environmental impact statement economic, socioeconomic, and possible
must include an evaluation of alter- cumulative impacts and other fuel
native sites to determine whether cycle impacts as may reasonably ap-
there is any obviously superior alter- pear significant. The impact statement
native to the site proposed. The draft will include a discussion of the storage
environmental impact statement must of spent fuel for the nuclear power
also include an evaluation of the envi- plant within the scope of the generic
ronmental effects of construction and determination in § 51.23(a) and in ac-
operation of a reactor, or reactors, cordance with § 51.23(b).
which have design characteristics that (1) Combined license application ref-
fall within the site characteristics and erencing an early site permit. If the com-
design parameters for the early site bined license application references an
permit application, but only to the ex- early site permit, then the NRC staff
tent addressed in the early site permit shall prepare a draft supplement to the
environmental report or otherwise nec- early site permit environmental im-
essary to determine whether there is pact statement. The supplement must
any obviously superior alternative to be prepared in accordance with
the site proposed. The draft environ- § 51.92(e).
mental impact statement must not in- (2) Combined license application ref-
clude an assessment of the economic, erencing a standard design certification.
technical, or other benefits (for exam- If the combined license application ref-
ple, need for power) and costs of the erences a standard design certification
proposed action or an evaluation of al- and the site characteristics of the com-
ternative energy sources, unless these bined license’s site fall within the site
matters are addressed in the early site
parameters specified in the design cer-
permit environmental report.
tification environmental assessment,
then the draft combined license envi-
5 Values for releases of Rn-222 and Tc-99 are
ronmental impact statement shall in-
not given in the table. The amount and sig- corporate by reference the design cer-
nificance of Rn-222 releases from the fuel
tification environmental assessment,
cycle and Tc-99 releases from waste manage-
and summarize the findings and con-
ment or reprocessing activities shall be con-

sidered in the draft environmental impact clusions of the environmental assess-
statement and may be the subject of litiga- ment with respect to severe accident
tion in individual licensing proceedings. mitigation design alternatives.
41
§ 51.76 10 CFR Ch. I (1–1–11 Edition)
(3) Combined license application ref- ation of the activities proposed to be

erencing a manufactured reactor. If the conducted under the limited work au-
combined license application proposes thorization, and the proposed redress
to use a manufactured reactor and the plan. However, if the environmental re-
site characteristics of the combined li- port contains the full set of informa-
cense’s site fall within the site param- tion required to be submitted under
eters specified in the manufacturing li- § 51.50(a) or (c), then a draft environ-
cense environmental assessment, then mental impact statement must be pre-
the draft combined license environ- pared in accordance with § 51.75(a) or
mental impact statement shall incor- (c), as applicable. Siting issues, includ-
porate by reference the manufacturing ing whether there is an obviously supe-
license environmental assessment, and rior alternative site, or issues related
summarize the findings and conclu- to operation of the proposed nuclear
sions of the environmental assessment power plant at the site, including need
with respect to severe accident mitiga- for power, may not be considered. After
tion design alternatives. The combined part two of the application is docketed,
license environmental impact state- the NRC will prepare a draft supple-
ment report will not address the envi- ment to the final environmental im-
ronmental impacts associated with pact statement for part two of the ap-
manufacturing the reactor under the plication under § 51.72. No updating of
manufacturing license. the information contained in the final
[72 FR 49514, Aug. 28, 2007] environmental impact statement pre-
pared for part one is necessary in prep-
§ 51.76 Draft environmental impact aration of the supplemental environ-
statement—limited work authoriza- mental impact statement. The draft
tion. supplement must consider all environ-
The NRC will prepare a draft envi- mental impacts associated with the
ronmental impact statement relating prior issuance of the limited work au-
to issuance of a limited work author- thorization, but may not address or
ization in accordance with the proce- consider the sunk costs associated with
dures and measures described in the limited work authorization.
§§ 51.70, 51.71, and 51.73, as further sup- (c) Limited work authorization sub-
plemented or modified in the following mitted as part of an early site permit ap-
paragraphs. plication. If the application for a lim-
(a) Limited work authorization sub- ited work authorization is submitted
mitted as part of complete construction as part of an application for an early
permit or combined license application. If site permit, then the NRC will prepare
the application for a limited work au- an environmental impact statement in
thorization is submitted as part of a accordance with § 51.75(b). However, the
complete construction permit or com- analysis called for by § 51.71(d) must
bined license application, then the NRC also address the activities proposed to
may prepare a partial draft environ- be conducted under the limited work
mental impact statement. The analysis authorization.
called for by § 51.71(d) must be limited (d) Limited work authorization request
to the activities proposed to be con- submitted by an early site permit holder.
ducted under the limited work author- If the application for a limited work
ization. Alternatively, the NRC may authorization is submitted by a holder
prepare a complete draft environ- of an early site permit, then the NRC
mental impact statement prepared in will prepare a draft supplement to the
accordance with § 51.75(a) or (c), as ap- environmental impact statement for
plicable. the early site permit. The supplement
(b) Phased application for limited work is limited to consideration of the ac-
authorization under § 2.101(a)(9) of this tivities proposed to be conducted under
chapter. If the application for a limited the limited work authorization, the
work authorization is submitted in ac- adequacy of the proposed redress plan,
cordance with § 2.101(a)(9) of this chap- and whether there is new and signifi-
ter, then the draft environmental im- cant information identified with re-
pact statement for part one of the ap- spect to issues related to the impacts
plication may be limited to consider- of construction of the facility that
42
were resolved in the early site permit ancing for the underlying proposed ac-
proceeding with respect to the environ- tion, in accordance with § 51.71, and
mental impacts of the activities to be § 51.75(a) or (c), as applicable.
conducted under the limited work au- [72 FR 57445, Oct. 9, 2007]
thorization. No other updating of the
information contained in the final en- § 51.77 Distribution of draft environ-
vironmental impact statement pre- mental impact statement.
pared for the early site permit is re- (a) In addition to the distribution au-
quired. thorized by § 51.74, a copy of a draft en-
(e) Limited work authorization for a site vironmental statement for a licensing
where an environmental impact statement action for a production or utilization
was prepared, but the facility construc- facility, except an action authorizing
tion was not completed. If the limited issuance, amendment or renewal of a
work authorization is for activities to license to manufacture a nuclear power
be conducted at a site for which the reactor pursuant to 10 CFR part 52, ap-
Commission has previously prepared an pendix M will also be distributed to:
environmental impact statement for (1) The chief executive of the munici-
the construction and operation of a nu- pality or county identified in the draft
clear power plant, and a construction environmental impact statement as
permit was issued but construction of the preferred site for the proposed fa-
the plant was not completed, then the cility or activity.
draft environmental impact statement (2) Upon request, the chief executive
shall incorporate by reference the ear- of each municipality or county identi-
lier environmental impact statement. fied in the draft environmental impact
The draft environmental impact state- statement as an alternative site.
ment must be limited to a consider- (b) Additional copies will be made
ation of whether there is significant available in accordance with § 51.123.
new information with respect to the
environmental impacts of construc- FR 15398, Apr. 18, 1989]
tion, relevant to the activities to be
conducted under the limited work au- DRAFT ENVIRONMENTAL IMPACT
thority, so that the conclusion of the STATEMENTS—MATERIALS LICENSES
referenced environmental impact
statement on the impacts of construc- § 51.80 Draft environmental impact
tion would, when analyzed in accord- statement—materials license.
ance with § 51.71, lead to the conclusion (a) The NRC staff will either prepare
that the limited work authorization a draft environmental impact state-
should not be issued or should be issued ment or as provided in § 51.92, a supple-
with appropriate conditions. ment to a final environmental impact
(f) Draft environmental impact state- statement for each type of action iden-
ment. A draft environmental impact tified in § 51.20(b) (7) through (12). Ex-
statement prepared under this section cept as the context may otherwise re-
must separately evaluate the environ- quire, procedures and measures similar
mental impacts and proposed alter- to those described in §§ 51.70, 51.71, 51.72
natives attributable to the activities and 51.73 will be followed.
proposed to be conducted under the (b)(1) Independent spent fuel storage in-
limited work authorization. However, stallation (ISFSI). Unless otherwise de-
if the ‘‘Applicant’s Environmental Re- termined by the Commission and in ac-
port—Limited Work Authorization cordance with the generic determina-
Stage,’’ also contains the information tion in § 51.23(a) and the provisions of
required to be submitted in the envi- § 51.23(b), a draft environmental impact
ronmental report required under § 51.50, statement on the issuance of an initial
then the environmental impact state- license for storage of spent fuel at an
ment must address the impacts of con- independent spent fuel storage instal-
struction and operation for the pro- lation (ISFSI) or any amendment
posed facility (including the environ- thereto, will address environmental
mental impacts attributable to the impacts of spent fuel only for the term
limited work authorization), and dis- of the license or amendment applied
cuss the overall costs and benefits bal- for.
43
§ 51.81 10 CFR Ch. I (1–1–11 Edition)
(2) Monitored retrievable storage instal- FINAL ENVIRONMENTAL IMPACT

lation (MRS). As provided in sections STATEMENTS—GENERAL REQUIREMENTS
141 (c), (d), and (e) and 148 (a) and (c) of
the Nuclear Waste Policy Act of 1982, § 51.90 Final environmental impact
as amended (NWPA) (96 Stat. 2242, 2243, statement—general.
42 U.S.C. 10161 (c), (d), (e); 101 Stat. After receipt and consideration of
1330–235, 1330–236, 42 U.S.C. 10168 (a) and comments requested pursuant to
(c)), a draft environmental impact §§ 51.73 and 51.117, the NRC staff will
statement for the construction of a prepare a final environmental impact
monitored retrievable storage installa- statement in accordance with the re-
tion (MRS) will not address the need quirements in §§ 51.70(b) and 51.71 for a
for the MRS or any alternative to the draft environmental impact statement.
design criteria for an MRS set forth in The format provided in section 1(a) of
section 141(b)(1) of the NWPA (96 Stat. appendix A of this subpart should be
2242, 42 U.S.C. 10161(b)(1)) but may con- used.
sider alternative facility designs which
are consistent with these design cri- § 51.91 Final environmental impact
teria. statement—contents.
[49 FR 34695, Aug. 31, 1984, as amended at 53 (a)(1) The final environmental impact
FR 31682, Aug. 19, 1988] statement will include responses to
any comments on the draft environ-
§ 51.81 Distribution of draft environmental impact statement or on any
mental impact statement. supplement to the draft environmental
Copies of the draft environmental impact statement. Responses to com-
impact statement and any supplement ments may include:
to the draft environmental impact (i) Modification of alternatives, in-
statement will be distributed in ac- cluding the proposed action;
cordance with the provisions of § 51.74. (ii) Development and evaluation of
alternatives not previously given seri-
DRAFT ENVIRONMENTAL IMPACT
ous consideration;
STATEMENTS—RULEMAKING
(iii) Supplementation or modification
§ 51.85 Draft environmental impact of analyses;
statement—rulemaking. (iv) Factual corrections;
Except as the context may otherwise (v) Explanation of why comments do
require, procedures and measures simi- not warrant further response, citing
lar to those described in §§ 51.70, 51.71, sources, authorities or reasons which
51.72 and 51.73 will be followed in pro- support this conclusion.
ceedings for rulemaking for which the (2) All substantive comments re-
Commission has determined to prepare ceived on the draft environmental im-
an environmental impact statement. pact statement or any supplement to
the draft environmental impact state-
§ 51.86 Distribution of draft environment (or summaries thereof where the
mental impact statement. response has been exceptionally volu-
Copies of the draft environmental minous) will be attached to the final
impact statement and any supplement statement, whether or not each com-
to the draft environmental impact ment is discussed individually in the
statement will be distributed in ac- text of the statement.
cordance with the provisions of § 51.74. (3) If changes in the draft environ-
mental impact statement in response
LEGISLATIVE ENVIRONMENTAL IMPACT to comments are minor and are con-
STATEMENTS—PROPOSALS FOR LEGIS- fined either to factual corrections or to
LATION explanations of why the comments do
not warrant further response, the
§ 51.88 Proposals for legislation. changes may be made by attaching er-
The Commission will, as a matter of rata sheets to the draft statement. The
policy, follow the provisions of 40 CFR entire document with a new cover may
1506.8 regarding the NEPA process for then be issued as the final environ-
proposals for legislation. mental impact statement.
44
(b) The final environmental impact bined license application in accordance

statement will discuss any relevant re- with § 51.75(c)(1) and paragraph (b) of
sponsible opposing view not adequately this section must:
discussed in the draft environmental (1) Identify the proposed action as
impact statement or in any supplement the issuance of a combined license for
to the draft environmental impact the construction and operation of a nu-
statement, and respond to the issues clear power plant as described in the
raised. combined license application at the
(c) The final environmental impact site described in the early site permit
statement will state how the alter- referenced in the combined license ap-
natives considered in it and decisions
plication;
based on it will or will not achieve the
requirements of sections 101 and 102(1) (2) Incorporate by reference the final
of NEPA and of any other relevant and environmental impact statement pre-
applicable environmental laws and pared for the early site permit;
policies. (3) Contain no separate discussion of
(d) The final environmental impact alternative sites;
statement will include a final analysis (4) Include an analysis of the eco-
and a final recommendation on the ac- nomic, technical, and other benefits
tion to be taken. and costs of the proposed action, to the
extent that the final environmental
§ 51.92 Supplement to the final envi- impact statement prepared for the
ronmental impact statement.
early site permit did not include an as-
(a) If the proposed action has not sessment of these benefits and costs;
been taken, the NRC staff will prepare (5) Include an analysis of other en-
a supplement to a final environmental ergy alternatives, to the extent that
impact statement for which a notice of the final environmental impact state-
availability has been published in the ment prepared for the early site permit
FEDERAL REGISTER as provided in did not include an assessment of en-
§ 51.118, if:
ergy alternatives;
(1) There are substantial changes in
the proposed action that are relevant (6) Include an analysis of any envi-
to environmental concerns; or ronmental issue related to the impacts
(2) There are new and significant cir- of construction or operation of the fa-
cumstances or information relevant to cility that was not resolved in the pro-
environmental concerns and bearing on ceeding on the early site permit; and
the proposed action or its impacts. (7) Include an analysis of the issues
(b) In a proceeding for a combined li- related to the impacts of construction
cense application under 10 CFR part 52 and operation of the facility that were
referencing an early site permit under resolved in the early site permit pro-
part 52, the NRC staff shall prepare a ceeding for which new and significant
supplement to the final environmental information has been identified, in-
impact statement for the referenced cluding, but not limited to, new and
early site permit in accordance with significant information demonstrating
paragraph (e) of this section. that the design of the facility falls out-
(c) The NRC staff may prepare a sup- side the site characteristics and design
plement to a final environmental im- parameters specified in the early site
pact statement when, in its opinion, permit.
preparation of a supplement will fur- (f)(1) A supplement to a final envi-
ther the purposes of NEPA.
(d) The supplement to a final envi-
accompanied by or will include a re-
quest for comments as provided in
prepared in the same manner as the
final environmental impact statement § 51.73 and a notice of availability will
except that a scoping process need not be published in the FEDERAL REGISTER
be used. as provided in § 51.117 if paragraphs (a)
(e) The supplement to an early site or (b) of this section applies.

permit final environmental impact (2) If comments are not requested, a
statement which is prepared for a com- notice of availability of a supplement
45
§ 51.93 10 CFR Ch. I (1–1–11 Edition)
to a final environmental impact statements and any supplement, will accom-
ment will be published in the FEDERAL pany the application or petition for
REGISTER as provided in § 51.118. rulemaking through, and be considered
[72 FR 49515, Aug. 28, 2007]
in, the Commission’s decisionmaking
process. The final environmental im-
§ 51.93 Distribution of final environ- pact statement, together with any
mental impact statement and sup- comments and any supplement, will be
plement to final environmental im- made a part of the record of the appro-
pact statement; news releases. priate adjudicatory or rulemaking pro-
(a) A copy of the final environmental ceeding.
impact statement will be distributed
to: FINAL ENVIRONMENTAL IMPACT STATE-
(1) The Environmental Protection MENTS—PRODUCTION AND UTILIZATION
Agency. FACILITIES
(2) The applicant or petitioner for
§ 51.95 Postconstruction environ-
rulemaking and any other party to the mental impact statements.
proceeding.
(3) Appropriate State, regional and (a) General. Any supplement to a
metropolitan clearinghouses. final environmental impact statement
(4) Each commenter. or any environmental assessment pre-
(b) Additional copies will be made pared under the provisions of this sec-
available in accordance with § 51.123. tion may incorporate by reference any
(c) If the final environmental impact information contained in a final envi-
statement is unusually long or there ronmental document previously pre-
are so many comments on a draft envi- pared by the NRC staff that relates to
ronmental impact statement or any the same production or utilization fa-
supplement to a draft environmental cility. Documents that may be ref-
impact statement that distribution of erenced include, but are not limited to,
the entire final statement to all com- the final environmental impact state-
menters is impracticable, a summary ment; supplements to the final envi-
of the final statement and the sub- ronmental impact statement, including
stantive comments will be distributed. supplements prepared at the operating
When the final environmental impact license stage; NRC staff-prepared final
statement has been prepared by adding generic environmental impact state-
errata sheets to the draft environments; environmental assessments and
mental impact statement as provided records of decisions prepared in con-
in § 51.91(a)(3), only the comments, the nection with the construction permit,
responses to the comments and the the operating license, the early site
changes to the environmental impact permit, or the combined license and
statement will be distributed. any license amendment for that facil-
(d) A supplement to a final environ- ity. A supplement to a final environ-
mental impact statement will be dis- mental impact statement will include
tributed in the same manner as the a request for comments as provided in
final environmental impact statement § 51.73.
to which it relates. (b) Initial operating license stage. In
(e) News releases stating the avail- connection with the issuance of an op-
ability and place for obtaining or in- erating license for a production or uti-
specting a final environmental impact lization facility, the NRC staff will pre-
statement or supplement will be pro- pare a supplement to the final environ-
vided to local newspapers and other ap- mental impact statement on the con-
propriate media. struction permit for that facility,
(f) A notice of availability will be which will update the prior environ-
published in the FEDERAL REGISTER in mental review. The supplement will
accordance with § 51.118. only cover matters that differ from the
final environmental impact statement
§ 51.94 Requirement to consider final or that reflect significant new informa-
environmental impact statement. tion concerning matters discussed in

The final environmental impact the final environmental impact state-
statement, together with any comment. Unless otherwise determined by
46
the Commission, a supplement on the ternatives and should otherwise be pre-

operation of a nuclear power plant will pared in accordance with § 51.71 and ap-
not include a discussion of need for pendix A to subpart A of this part.
power, or of alternative energy sources, (3) The supplemental environmental
or of alternative sites, or of any aspect impact statement shall be issued as a
of the storage of spent fuel for the nu- final impact statement in accordance
clear power plant within the scope of with §§ 51.91 and 51.93 after considering
the generic determination in § 51.23(a) any significant new information rel-
and in accordance with § 51.23(b), and evant to the proposed action contained
will only be prepared in connection in the supplement or incorporated by
with the first licensing action author- reference.
izing full-power operation. (4) The supplemental environmental
(c) Operating license renewal stage. In impact statement must contain the
connection with the renewal of an op- NRC staff’s recommendation regarding
erating license or combined license for the environmental acceptability of the
a nuclear power plant under parts 52 or license renewal action. In order to
54 of this chapter, the Commission make its recommendation and final
shall prepare an environmental impact conclusion on the proposed action, the
statement, which is a supplement to NRC staff, adjudicatory officers, and
the Commission’s NUREG–1437, ‘‘Ge- Commission shall integrate the conclu-
neric Environmental Impact State- sions, as amplified by the supporting
ment for License Renewal of Nuclear information in the generic environ-
Plants’’ (May 1996), which is available mental impact statement for issues
in the NRC Public Document Room, designated Category 1 (with the excep-
11555 Rockville Pike, Rockville, Mary- tion of offsite radiological impacts for
land. collective effects and the disposal of
(1) The supplemental environmental spent fuel and high level waste) or re-
impact statement for the operating li- solved Category 2,information devel-
cense renewal stage shall address those oped for those open Category 2 issues
issues as required by § 51.71. In addi- applicable to the plant in accordance
tion, the NRC staff must comply with with § 51.53(c)(3)(ii), and any significant
40 CFR 1506.6(b)(3) in conducting the new information. Given this informa-
additional scoping process as required tion, the NRC staff, adjudicatory offi-
by § 51.71(a). cers, and Commission shall determine
(2) The supplemental environmental whether or not the adverse environ-
impact statement for license renewal is mental impacts of license renewal are
not required to include discussion of so great that preserving the option of
need for power or the economic costs license renewal for energy planning de-
and economic benefits of the proposed cisionmakers would be unreasonable.
action or of alternatives to the pro- (d) Postoperating license stage. In con-
posed action except insofar as such nection with the amendment of an op-
benefits and costs are either essential erating or combined license author-
for a determination regarding the in- izing decommissioning activities at a
clusion of an alternative in the range production or utilization facility cov-
of alternatives considered or relevant ered by § 51.20, either for unrestricted
to mitigation. In addition, the supple- use or based on continuing use restric-
mental environmental impact state- tions applicable to the site, or with the
ment prepared at the license renewal issuance, amendment or renewal of a
stage need not discuss other issues not license to store spent fuel at a nuclear
related to the environmental effects of power reactor after expiration of the
the proposed action and the alter- operating or combined license for the
natives, or any aspect of the storage of nuclear power reactor, the NRC staff
spent fuel for the facility within the will prepare a supplemental environ-
scope of the generic determination in mental impact statement for the post
§ 51.23(a) and in accordance with operating or post combined license
§ 51.23(b). The analysis of alternatives stage or an environmental assessment,
in the supplemental environmental im- as appropriate, which will update the

pact statement should be limited to prior environmental documentation
the environmental impacts of such al- prepared by the NRC for compliance
47
§ 51.97 10 CFR Ch. I (1–1–11 Edition)
with NEPA under the provisions of this 141(b)(1) of the NWPA (96 Stat. 2242, 42
part. The supplement or assessment U.S.C. 10161(b)(1)) but may consider al-
may incorporate by reference any in- ternative facility designs which are
formation contained in the final envi- consistent with these design criteria.
ronmental impact statement—for the (c) Uranium enrichment facility. As
operating or combined license stage, as provided in section 5(e) of the Solar,
appropriate, or in the records of deci- Wind, Waste, and Geothermal Power
sion prepared in connection with the Production Incentives Act of 1990 (104
early site permit, construction permit, Stat. 2834 at 2835, 42 U.S.C. 2243), a final
operating license, or combined license environmental impact statement must
for that facility. The supplement will be prepared before the hearing on the
include a request for comments as pro- issuance of a license for a uranium en-
vided in § 51.73. Unless otherwise re- richment facility is completed.
quired by the Commission in accord-
[49 FR 34695, Aug. 31, 1984, as amended at 53
ance with the generic determination in
FR 31682, Aug. 19, 1988; 57 FR 18392, Apr. 30,
§ 51.23(a) and the provisions of § 51.23(b), 1992]
a supplemental environmental impact
statement for the postoperating or post FINAL ENVIRONMENTAL IMPACT
combined license stage or an environ- STATEMENTS—RULEMAKING
mental assessment, as appropriate, will
address the environmental impacts of § 51.99 [Reserved]
spent fuel storage only for the term of
the license, license amendment or li- NEPA PROCEDURE AND ADMINISTRATIVE
cense renewal applied for. ACTION
[61 FR 66545, Dec. 18, 1996, as amended at 72 GENERAL
FR 49516, Aug. 28, 2007]
§ 51.100 Timing of Commission action.
FINAL ENVIRONMENTAL IMPACT
STATEMENTS—MATERIALS LICENSES (a)(1) Except as provided in § 51.13 and
paragraph (b) of this section, no deci-
§ 51.97 Final environmental impact sion on a proposed action, including
statement—materials license. the issuance of a permit, license, or
(a) Independent spent fuel storage in- other form of permission, or amend-
stallation (ISFSI). Unless otherwise de- ment to or renewal of a permit, license,
termined by the Commission, and in or other form of permission, or the
accordance with the generic deter- issuance of an effective regulation, for
mination in § 51.23(a) and the provisions which an environmental impact state-
of § 51.23(b), a final environmental im- ment is required, will be made and no
pact statement on the issuance of an record of decision will be issued until
initial license for the storage of spent the later of the following dates:
fuel at an independent spent fuel stor- (i) Ninety (90) days after publication
age installation (ISFSI) or any amend- by the Environmental Protection
ment thereto, will address environ- Agency of a FEDERAL REGISTER notice
mental impacts of spent fuel storage stating that the draft environmental
only for the term of the license or impact statement has been filed with
amendment applied for. EPA.
(b) Monitored retrievable storage facil- (ii) Thirty (30) days after publication
ity (MRS). As provided in sections 141 by the Environmental Protection
(c), (d), and (e) and 148 (a) and (c) of the Agency of a FEDERAL REGISTER notice
Nuclear Waste Policy Act of 1982, as stating that the final environmental
amended (NWPA) (96 Stat. 2242, 2243, 42 impact statement has been filed with
U.S.C. 10161 (c), (d), (e); 101 Stat. 1330– EPA.
235, 1330–236, 42 U.S.C. 10168 (a), (c)) a (2) If a notice of filing of a final envi-
final environmental impact statement ronmental impact statement is pub-
for the construction of a monitored re- lished by the Environmental Protec-
trievable storage installation (MRS) tion Agency within ninety (90) days
will not address the need for the MRS after a notice of filing of a draft envi-
or any alternative to the design cri- ronmental impact statement has been
teria for an MRS set forth in section published by EPA, the minimum thirty
48
(30) day period and the minimum nine- satisfactory explanation to the con-
ty (90) day period may run concur- trary, interim action which tends to
rently to the extent they overlap. determine subsequent development or
(b) In any rulemaking proceeding for limit reasonable alternatives, will be
the purpose of protecting the public considered prejudicial.
health or safety or the common defense (c) This section does not preclude any
and security, the Commission may applicant for an NRC permit, license,
make and publish the decision on the or other form of permission, or amend-
final rule at the same time that the ment to or renewal of an NRC permit,
Environmental Protection Agency pub- license, or other form of permission, (1)
lishes the FEDERAL REGISTER notice of from developing any plans or designs
filing of the final environmental im- necessary to support an application; or
pact statement. (2) after prior notice and consultation
with NRC staff, (i) from performing
§ 51.101 Limitations on actions. any physical work necessary to support
(a) Until a record of decision is issued an application, or (ii) from performing
in connection with a proposed licensing any other physical work relating to the
or regulatory action for which an envi- proposed action if the adverse environ-
ronmental impact statement is re- mental impact of that work is de mini-
quired under § 51.20, or until a final mis.
finding of no significant impact is
issued in connection with a proposed li- FR 31682, Aug. 19, 1988]
censing or regulatory action for which
an environmental assessment is re- § 51.102 Requirement to provide a
quired under § 51.21: record of decision; preparation.
(1) No action concerning the proposal
(a) A Commission decision on any ac-
may be taken by the Commission
tion for which a final environmental
which would (i) have an adverse envi-
impact statement has been prepared
ronmental impact, or (ii) limit the
shall be accompanied by or include a
choice of reasonable alternatives.
concise public record of decision.
(2) Any action concerning the pro-
posal taken by an applicant which (b) Except as provided in paragraph
would (i) have an adverse environ- (c) of this section, the record of deci-
mental impact, or (ii) limit the choice sion will be prepared by the NRC staff
of reasonable alternatives may be director authorized to take the action.
grounds for denial of the license. In the (c) When a hearing is held on the pro-
case of an application covered by posed action under the regulations in
§§ 30.32(f), 40.31(f), 50.10(c), 70.21(f), or subpart G of part 2 of this chapter or
§§ 72.16 and 72.34 of this chapter, the when the action can only be taken by
provisions of this paragraph will be ap- the Commissioners acting as a colle-
plied in accordance with §§ 30.33(a)(5), gial body, the initial decision of the
40.32(e), 50.10 (c) and (e), 70.23(a)(7) or presiding officer or the final decision of
§ 72.40(b) of this chapter, as appro- the Atomic Safety and Licensing Ap-
priate. peal Board or the final decision of the
(b) While work on a required program Commissioners acting as a collegial
environmental impact statement is in body will constitute the record of deci-
progress, the Commission will not un- sion. An initial or final decision consti-
dertake in the interim any major Fed- tuting the record of decision will be
eral action covered by the program distributed as provided in § 51.93.
which may significantly affect the
§ 51.103 Record of decision—general.
quality of the human environment un-
less such action: (a) The record of decision required by
(1) Is justified independently of the § 51.102 shall be clearly identified and
program; shall:
(2) Is itself accompanied by an ade- (1) State the decision.
quate environmental impact state- (2) Identify all alternatives consid-
ment; and ered by the Commission in reaching

(3) Will not prejudice the ultimate the decision, state that these alter-
decision on the program. Absent any natives were included in the range of
49
§ 51.104 10 CFR Ch. I (1–1–11 Edition)
alternatives discussed in the environ- § 51.104 NRC proceeding using public

mental impact statement, and specify hearings; consideration of environ-
the alternative or alternatives which mental impact statement.
were considered to be environmentally (a)(1) In any proceeding in which (i) a
preferable. hearing is held on the proposed action,
(3) Discuss preferences among alter- (ii) a final environmental impact state-
natives based on relevant factors, in- ment has been prepared in connection
cluding economic and technical consid- with the proposed action, and (iii) mat-
erations where appropriate, the NRC’s ters within the scope of NEPA and this
statutory mission, and any essential subpart are in issue, the NRC staff may
considerations of national policy, not offer the final environmental im-
pact statement in evidence or present
which were balanced by the Commis-
the position of the NRC staff on mat-
sion in making the decision and state
ters within the scope of NEPA and this
how these considerations entered into
subpart until the final environmental
the decision. impact statement is filed with the En-
(4) State whether the Commission vironmental Protection Agency, fur-
has taken all practicable measures nished to commenting agencies and
within its jurisdiction to avoid or mini- made available to the public.
mize environmental harm from the al- (2) Any party to the proceeding may
ternative selected, and if not, to ex- take a position and offer evidence on
plain why those measures were not the aspects of the proposed action
adopted. Summarize any license condi- within the scope of NEPA and this sub-
tions and monitoring programs adopted part in accordance with the provisions
in connection with mitigation meas- of part 2 of this chapter applicable to
ures. that proceeding or in accordance with
(5) In making a final decision on a li- the terms of the notice of hearing.
cense renewal action pursuant to part (3) In the proceeding the presiding of-
54 of this chapter, the Commission ficer will decide those matters in con-
shall determine whether or not the ad- troversy among the parties within the
verse environmental impacts of license scope of NEPA and this subpart.
(b) In any proceeding in which a
renewal are so great that preserving
hearing is held where the NRC staff has
the option of license renewal for energy
determined that no environmental im-
planning decisionmakers would be un-
pact statement need be prepared for
reasonable. the proposed action, unless the Com-
(6) In a construction permit or a commission orders otherwise, any party to
bined license proceeding where a lim- the proceeding may take a position and
ited work authorization under 10 CFR offer evidence on the aspects of the
50.10 was issued, the Commission’s de- proposed action within the scope of
cision on the construction permit or NEPA and this subpart in accordance
combined license application will not with the provisions of part 2 of this
address or consider the sunk costs as- chapter applicable to that proceeding
sociated with the limited work author- or in accordance with the terms of the
ization in determining the proposed ac- notice of hearing. In the proceeding,
tion. the presiding officer will decide any
(b) The record of decision may be in- such matters in controversy among the
tegrated into any other record pre- parties.
pared by the Commission in connection (c) In any proceeding in which a lim-
with the action. ited work authorization is requested,
(c) The record of decision may incor- unless the Commission orders other-
porate by reference material contained wise, a party to the proceeding may
take a position and offer evidence only
in a final environmental impact state-
on the aspects of the proposed action
ment.
within the scope of NEPA and this sub-
[49 FR 9381, Mar. 12, 1984, as amended at 61 part which are within the scope of that
FR 28490, June 5, 1996; 61 FR 66546, Dec. 18, party’s admitted contention, in accord-
1996; 61 FR 68543, Dec. 30, 1996; 72 FR 57445, ance with the provisions of part 2 of
Oct. 9, 2007] this chapter applicable to the limited
50
work authorization or in accordance addressed by the applicant in the early

with the terms of any notice of hearing site permit application.
applicable to the limited work author- (c)(1) In addition to complying with
ization. In the proceeding, the pre- the applicable provisions of § 51.104, in
siding officer will decide all matters in any proceeding for the issuance of a
controversy among the parties. construction permit for a nuclear
[49 FR 9381, Mar. 12, 1984, as amended at 72 power plant or an early site permit
FR 57445, Oct. 9, 2007] under part 52 of this chapter, where the
applicant requests a limited work au-
PRODUCTION AND UTILIZATION FACILITIES thorization under § 50.10(d) of this chap-
ter, the presiding officer shall—
§ 51.105 Public hearings in pro- (i) Determine whether the require-
ceedings for issuance of construc-
tion permits or early site permits; ments of Section 102(2)(A), (C), and (E)
limited work authorizations. of NEPA and the regulations in the
subpart have been met, with respect to
(a) In addition to complying with ap- the activities to be conducted under
plicable requirements of § 51.104, in a the limited work authorization;
proceeding for the issuance of a con-
(ii) Independently consider the bal-
struction permit or early site permit
ance among conflicting factors with re-
for a nuclear power reactor, testing fa-
spect to the limited work authoriza-
cility, fuel reprocessing plant or iso-
tion which is contained in the record of
topic enrichment plant, the presiding
the proceeding, with a view to deter-
officer will:
mining the appropriate action to be
(1) Determine whether the require-
taken;
ments of Sections 102(2) (A), (C), and
(E) of NEPA and the regulations in this (iii) Determine whether the redress
subpart have been met; plan will adequately redress the activi-
(2) Independently consider the final ties performed under the limited work
balance among conflicting factors con- authorization, should limited work ac-
tained in the record of the proceeding tivities be terminated by the holder or
with a view to determining the appro- the limited work authorization be re-
priate action to be taken; voked by the NRC, or upon effective-
(3) Determine, after weighing the en- ness of the Commission’s final decision
vironmental, economic, technical, and denying the associated construction
other benefits against environmental permit or early site permit, as applica-
and other costs, and considering rea- ble;
sonable alternatives, whether the con- (iv) In an uncontested proceeding, de-
struction permit or early site permit termine whether the NEPA review con-
should be issued, denied, or appro- ducted by the NRC staff for the limited
priately conditioned to protect envi- work authorization has been adequate;
ronmental values; and
(4) Determine, in an uncontested pro- (v) In a contested proceeding, deter-
ceeding, whether the NEPA review con- mine whether, in accordance with the
ducted by the NRC staff has been ade- regulations in this subpart, the limited
quate; and work authorization should be issued as
(5) Determine, in a contested pro- proposed.
ceeding, whether in accordance with (2) If the limited work authorization
the regulations in this subpart, the is for activities to be conducted at a
construction permit or early site per- site for which the Commission has pre-
mit should be issued as proposed by the viously prepared an environmental im-
NRC’s Director, Office of New Reactors pact statement for the construction
or Director, Office of Nuclear Reactor and operation of a nuclear power plant,
Regulation, as appropriate. and a construction permit was issued
(b) The presiding officer in an early but construction of the plant was never
site permit hearing shall not admit completed, then in making the deter-
contentions proffered by any party minations in paragraph (c)(1) of this
concerning the benefits assessment section, the presiding officer shall be

(e.g., need for power) or alternative en- limited to a consideration whether
ergy sources if those issues were not there is, with respect to construction
51
§ 51.105a 10 CFR Ch. I (1–1–11 Edition)
activities encompassed by the environ- §§ 51.104 and 51.105 will apply, as appro-
mental impact statement which are priate.
analogous to the activities to be con- (c) The presiding officer in an oper-
ducted under the limited work author- ating license hearing shall not admit
ization, new and significant informa- contentions proffered by any party
tion on the environmental impacts of concerning need for power or alter-
those activities, such that the limited native energy sources or alternative
work authorization should not be sites for the facility for which an oper-
issued as proposed. ating license is requested.
(3) The presiding officer’s determina- (d) The presiding officer in an oper-
tion in this paragraph shall be made in ating license hearing shall not raise
a partial initial decision to be issued issues concerning alternative sites for
separately from, and in advance of, the the facility for which an operating li-
presiding officer’s decision in para- cense is requested sua sponte.
graph (a) of this section.
§ 51.107 Public hearings in pro-
[72 FR 49516, Aug. 28, 2007, as amended at 72 ceedings for issuance of combined
FR 57446, Oct. 9, 2007; 73 FR 5724, Jan. 31, licenses; limited work authoriza-
2008] tions.
§ 51.105a Public hearings in pro- (a) In addition to complying with the
ceedings for issuance of manufac- applicable requirements of § 51.104, in a
turing licenses. proceeding for the issuance of a com-
bined license for a nuclear power reac-
In addition to complying with appli-
tor under part 52 of this chapter, the
cable requirements of § 51.31(c), in a
presiding officer will:
proceeding for the issuance of a manu-
(1) Determine whether the require-
facturing license, the presiding officer
ments of Sections 102(2) (A), (C), and
will determine whether, in accordance
(E) of NEPA and the regulations in this
with the regulations in this subpart,
subpart have been met;
the manufacturing license should be
(2) Independently consider the final
issued as proposed by the NRC’s Direc-
balance among conflicting factors con-
tor, Office of New Reactors or Director,
tained in the record of the proceeding
Office of Nuclear Reactor Regulation,
with a view to determining the appro-
as appropriate.
priate action to be taken;
[73 FR 5724, Jan. 31, 2008] (3) Determine, after weighing the en-
vironmental, economic, technical, and
§ 51.106 Public hearings in pro- other benefits against environmental
ceedings for issuance of operating and other costs, and considering rea-
licenses. sonable alternatives, whether the com-
(a) Consistent with the requirements bined license should be issued, denied,
of this section and as appropriate, the or appropriately conditioned to protect
presiding officer in an operating li- environmental values;
cense hearing shall comply with any (4) Determine, in an uncontested pro-
applicable requirements of §§ 51.104 and ceeding, whether the NEPA review con-
51.105. ducted by the NRC staff has been ade-
(b) During the course of a hearing on quate; and
an application for issuance of an oper- (5) Determine, in a contested pro-
ating license for a nuclear power reac- ceeding, whether in accordance with
tor, or a testing facility, the presiding the regulations in this subpart, the
officer may authorize, pursuant to combined license should be issued as
§ 50.57(c) of this chapter, the loading of proposed by the NRC’s Director, Office
nuclear fuel in the reactor core and of New Reactors or Director, Office of
limited operation within the scope of Nuclear Reactor Regulation, as appro-
§ 50.57(c) of this chapter, upon compli- priate.
ance with the procedures described (b) If a combined license application
therein. In any such hearing, where references an early site permit, then
any party opposes such authorization the presiding officer in the combined
on the basis of matters covered by sub- license hearing shall not admit any
part A of this part, the provisions of contention proffered by any party on
52
environmental issues which have been denying the combined license applica-
accorded finality under § 52.39 of this tion;
chapter, unless the contention: (iv) In an uncontested proceeding, de-
(1) Demonstrates that the nuclear termine whether the NEPA review con-
power reactor proposed to be built does ducted by the NRC staff for the limited
not fit within one or more of the site work authorization has been adequate;
characteristics or design parameters and
included in the early site permit; (v) In a contested proceeding, deter-
(2) Raises any significant environ- mine whether, in accordance with the
mental issue that was not resolved in
regulations in this subpart, the limited
the early site permit proceeding; or
work authorization should be issued as
(3) Raises any issue involving the im-
pacts of construction and operation of proposed by the Director of New Reac-
the facility that was resolved in the tors or the Director of Nuclear Reactor
early site permit proceeding for which Regulation, as applicable.
new and significant information has (2) If the limited work authorization
been identified. is for activities to be conducted at a
(c) If the combined license applica- site for which the Commission has pre-
tion references a standard design cer- viously prepared an environmental im-
tification, or proposes to use a manu- pact statement for the construction
factured reactor, then the presiding of- and operation of a nuclear power plant,
ficer in a combined license hearing and a construction permit was issued
shall not admit contentions proffered but construction of the plant was never
by any party concerning severe acci- completed, then in making the deter-
dent mitigation design alternatives un- minations in paragraph (c)(1) of this
less the contention demonstrates that section, the presiding officer shall be
the site characteristics fall outside of limited to a consideration whether
the site parameters in the standard de- there is, with respect to construction
sign certification or underlying manu- activities encompassed by the environ-
facturing license for the manufactured mental impact statement which are
reactor. analogous to the activities to be con-
(d)(1) In any proceeding for the
ducted under the limited work author-
issuance of a combined license where
ization, new and significant informa-
the applicant requests a limited work
tion on the environmental impacts of
authorization under § 50.10(d) of this
chapter, the presiding officer, in addi- those activities, so that the limited
tion to complying with any applicable work authorization should not be
provision of § 51.104, shall: issued as proposed by the Director of
(i) Determine whether the require- New Reactors or the Director of Nu-
ments of Section 102(2)(A), (C), and (E) clear Reactor Regulation, as applica-
of NEPA and the regulations in this ble.
subpart have been met, with respect to (3) In making the determination re-
the activities to be conducted under quired by this section, the presiding of-
the limited work authorization; ficer may not address or consider the
(ii) Independently consider the bal- sunk costs associated with the limited
ance among conflicting factors with re- work authorization.
spect to the limited work authoriza- (4) The presiding officer’s determina-
tion which is contained in the record of tion in this paragraph shall be made in
the proceeding, with a view to deter- a partial initial decision to be issued
mining the appropriate action to be separately from, and in advance of, the
taken; presiding officer’s decision in para-
(iii) Determine whether the redress graph (a) of this section on the com-
plan will adequately redress the activi- bined license.
ties performed under the limited work
authorization, should limited work ac- [72 FR 49517, Aug. 28, 2007, as amended at 72
tivities be terminated by the holder or FR 57446, Oct. 9, 2007; 73 FR 5724, Jan. 31,
the limited work authorization be re- 2008]

voked by the NRC, or upon effective-
ness of the Commission’s final decision
53
§ 51.108 10 CFR Ch. I (1–1–11 Edition)
§ 51.108 Public hearings on Commis- (2) Any other party to the proceeding
sion findings that inspections, tests, who contends that it is not practicable
analyses, and acceptance criteria of to adopt the DOE environmental im-
combined licenses are met. pact statement, as it may have been
In any public hearing requested supplemented, shall file a contention
under 10 CFR 52.103(b), the Commission to that effect within thirty (30) days
will not admit any contentions on en- after the publication of the notice of
vironmental issues, the adequacy of hearing in the FEDERAL REGISTER.
the environmental impact statement Such contention must be accompanied
for the combined license issued under by one or more affidavits which set
subpart C of part 52, or the adequacy of forth factual and/or technical bases for
any other environmental impact state- the claim that, under the principles set
ment or environmental assessment ref- forth in paragraphs (c) and (d) of this
erenced in the combined license appli- section, it is not practicable to adopt
cation. The Commission will not make the DOE environmental impact state-
any environmental findings in connec- ment, as it may have been supple-
tion with the finding under 10 CFR mented. The presiding officer shall re-
52.103(g). solve disputes concerning adoption of
the DOE environmental impact state-
[72 FR 49517, Aug. 28, 2007]
ment by using, to the extent possible,
MATERIALS LICENSES the criteria and procedures that are
followed in ruling on motions to reopen
§ 51.109 Public hearings in pro- under § 2.326 of this chapter.
ceedings for issuance of materials (b) In any such proceeding, the pre-
license with respect to a geologic siding officer will determine those
repository. matters in controversy among the par-
(a)(1) In a proceeding for issuance of ties within the scope of NEPA and this
a construction authorization for a subpart, specifically including wheth-
high-level radioactive waste repository er, and to what extent, it is practicable
at a geologic repository operations to adopt the environmental impact
area under parts 60 and 63 of this chap- statement prepared by the Secretary of
ter, and in a proceeding for issuance of Energy in connection with the issuance
a license to receive and possess source, of a construction authorization and li-
special nuclear, and byproduct mate- cense for such repository.
rial at a geologic repository operations (c) The presiding officer will find
area under parts 60 and 63 of this chap- that it is practicable to adopt any envi-
ter, the NRC staff shall, upon the pub- ronmental impact statement prepared
lication of the notice of hearing in the by the Secretary of Energy in connec-
FEDERAL REGISTER, present its position tion with a geologic repository pro-
on whether it is practicable to adopt, posed to be constructed under Title I of
without further supplementation, the the Nuclear Waste Policy Act of 1982,
environmental impact statement (in- as amended, unless:
cluding any supplement thereto) pre- (1)(i) The action proposed to be taken
pared by the Secretary of Energy. If by the Commission differs from the ac-
the position of the staff is that sup- tion proposed in the license application
plementation of the environmental im- submitted by the Secretary of Energy;
pact statement by NRC is required, it and
shall file its final supplemental envi- (ii) The difference may significantly
ronmental impact statement with the affect the quality of the human envi-
Environmental Protection Agency, fur- ronment; or
nish that statement to commenting (2) Significant and substantial new
agencies, and make it available to the information or new considerations
public, before presenting its position, render such environmental impact
or as soon thereafter as may be prac- statement inadequate.
ticable. In discharging its responsibil- (d) To the extent that the presiding
ities under this paragraph, the staff officer determines it to be practicable,
shall be guided by the principles set in accordance with paragraph (c) of

forth in paragraphs (c) and (d) of this this section, to adopt the environ-
section. mental impact statement prepared by
54
the Secretary of Energy, such adoption (g) The provisions of this section
shall be deemed to satisfy all respon- shall be followed, in place of those set
sibilities of the Commission under out in § 51.104, in any proceedings for
NEPA and no further consideration the issuance of a license to receive and
under NEPA or this subpart shall be re- possess source, special nuclear, and by-
quired. product material at a geologic reposi-
(e) To the extent that it is not prac- tory operations area.
ticable, in accordance with paragraph [54 FR 27870, July 3, 1989, as amended at 69
(c) of this section, to adopt the envi- FR 2276, Jan. 14, 2004]
ronmental impact statement prepared
by the Secretary of Energy, the pre- RULEMAKING
siding officer will:
(1) Determine whether the require- § 51.110 [Reserved]
ments of section 102(2) (A), (C), and (E)
PUBLIC NOTICE OF AND ACCESS TO
of NEPA and the regulations in this
ENVIRONMENTAL DOCUMENTS
subpart have been met;
(2) Independently consider the final § 51.116 Notice of intent.
balance among conflicting factors con-
(a) In accordance with § 51.26, the ap-
tained in the record of the proceeding
propriate NRC staff director will pub-
with a view to determining the appro-
lish in the FEDERAL REGISTER a notice
priate action to be taken;
of intent stating that an environ-
(3) Determine, after weighing the en- mental impact statement will be pre-
vironmental, economic, technical and pared. The notice will contain the in-
other benefits against environmental formation specified in § 51.27.
and other costs, whether the construc- (b) Copies of the notice will be sent
tion authorization or license should be to appropriate Federal, State, and local
issued, denied, or appropriately condi- agencies, and Indian tribes, appropriate
tioned to protect environmental val- State, regional, and metropolitan
ues; clearinghouses and to interested per-
(4) Determine, in an uncontested pro- sons upon request. A public announce-
ceeding, whether the NEPA review con- ment of the notice of intent will also
ducted by the NRC staff has been ade- be made.
quate; and
(5) Determine, in a contested pro- § 51.117 Draft environmental impact
ceeding, whether in accordance with statement—notice of availability.
the regulations in this subpart, the (a) Upon completion of a draft envi-
construction authorization or license ronmental impact statement or any
should be issued as proposed. supplement to a draft environmental
(f) In making the determinations de- impact statement, the appropriate
scribed in paragraph (e), the environ- NRC staff director will publish a notice
mental impact statement will be of availability of the statement in the
deemed modified to the extent that FEDERAL REGISTER.
findings and conclusions differ from (b) The notice will request comments
those in the final statement prepared on the proposed action and on the draft
by the Secretary of Energy, as it may statement or any supplement to the
have been supplemented. The initial draft statement and will specify where
decision will be distributed to any per- comments should be submitted and
sons not otherwise entitled to receive when the comment period expires.
it who responded to the request in the (c) The notice will (1) state that cop-
notice of docketing, as described in ies of the draft statement or any sup-
§ 51.26(c). If the Commission or the plement to the draft statement are
Atomic Safety and Licensing Appeal available for public inspection; (2)
Board reaches conclusions different state where inspection may be made,
from those of the presiding officer with and (3) state that any comments of
respect to such matters, the final envi- Federal, State, and local agencies, In-
ronmental impact statement will be dian tribes or other interested persons

deemed modified to that extent and the will be made available for public in-
decision will be similarly distributed. spection when received.
55
§ 51.118 10 CFR Ch. I (1–1–11 Edition)
(d) Copies of the notice will be sent spection and where inspection may be
to appropriate Federal, State, and local made.
agencies, and Indian tribes, appropriate (c) A copy of a final finding will be
State, regional, and metropolitan sent to appropriate Federal, State, and
clearinghouses, and to interested per- local agencies, and Indian tribes, ap-
sons upon request. propriate State, regional, and metro-
politan clearinghouses, the applicant
§ 51.118 Final environmental impact or petitioner for rulemaking and any
statement—notice of availability. other party to the proceeding, and if a
(a) Upon completion of a final envi- draft finding was issued, to each com-
ronmental impact statement or any menter. Additional copies will be made
supplement to a final environmental available in accordance with § 51.123.
impact statement, the appropriate § 51.120 Availability of environmental
NRC staff director will publish a notice documents for public inspection.
of availability of the statement in the
FEDERAL REGISTER. The notice will Copies of environmental reports,
state that copies of the final statement draft and final environmental impact
or any supplement to the final state- statements, environmental assess-
ments, and findings of no significant
ment are available for public inspec-
impact, together with any related com-
tion and where inspection may be
ments and environmental documents,
made. Copies of the notice will be sent
will be made available at the NRC Web
to appropriate Federal, State, and local
site, http://www.nrc.gov, and/or at the
agencies, and Indian tribes, appropriate
NRC Public Document Room.
State, regional, and metropolitan
clearinghouses and to interested per- [64 FR 48952, Sept. 9, 1999]
sons upon request.
(b) Upon adoption of a final environ- § 51.121 Status of NEPA actions.
mental impact statement or any sup- Individuals or organizations desiring
plement to a final environmental im- information on the NRC’s NEPA proc-
pact statement prepared by the Depart- ess or on the status of specific NEPA
ment of Energy with respect to a geo- actions should address inquiries to:
logic repository that is subject to the (a) Utilization facilities: ATTN: Docu-
Nuclear Waste Policy Act of 1982, the ment Control Desk, Director, Office of
appropriate NRC staff director shall Nuclear Reactor Regulation or Direc-
follow the procedures set out in para- tor, Office of New Reactors, as appro-
graph (a) of this section. priate, U.S. Nuclear Regulatory Com-
mission, Washington, DC 20555–0001,
[49 FR 9381, Mar. 12, 1984, as amended at 54 telephone (301) 415–1270, e-mail
FR 27871, July 3, 1989] RidsNrrOd@nrc.gov.
(b) Production facilities: ATTN: Docu-
§ 51.119 Publication of finding of no ment Control Desk, Director, Office of
significant impact; distribution.
(a) As required by § 51.35, the appro- guards, U.S. Nuclear Regulatory Com-
priate NRC staff director will publish mission, Washington, DC 20555–0001,
the finding of no significant impact in telephone (301) 415–7800, e-mail
the FEDERAL REGISTER. The finding of RidsNmssOd@nrc.gov.
no significant impact will be identified (c) Materials licenses: ATTN: Docu-
as a draft or final finding, and will con- ment Control Desk, Director, Office of
tain the information specified in §§ 51.32 Nuclear Material Safety and Safe-
or 51.33, as appropriate. A draft finding guards, U.S. Nuclear Regulatory Com-
of no significant impact will include a mission, Washington, DC 20555–0001,
request for comments which specifies telephone (301) 415–7800, e-mail
where comments should be submitted RidsNmssOd@nrc.gov.
and when the comment period expires. (d) Rulemaking: ATTN: Chief, Rules
(b) The finding will state that copies and Directives Branch, Office of Ad-
of the finding, the environmental as- ministration, U.S. Nuclear Regulatory
sessment setting forth the basis for the Commission, Washington, DC 20555–
finding and any related environmental 0001, telephone (800) 368–5642, e-mail
documents are available for public in- NRCREP@nrc.gov.
56
Nuclear Regulatory Commission Pt. 51, Subpt. A, App. A
(e) General environmental matters: Ex- copies at the charges specified in § 9.35
ecutive Director for Operations, U.S. of this chapter.
Nuclear Regulatory Commission, (b) Distribution to governmental agen-
Washington, DC 20555, Telephone: (301) cies. Upon written request to the Office
415–1700. of Information Services, U.S. Nuclear
Regulatory Commission, Washington,
[53 FR 13399, Apr. 25, 1988, as amended at 60
DC 20555–0001, e-mail
FR 24552, May 9, 1995; 68 FR 58811, Oct. 10,
2003; 73 FR 5724, Jan. 31, 2008]
DISTRIBUTION@nrc.gov, and to the ex-
tent available, copies of draft and final
§ 51.122 List of interested organiza- environmental impact statements and
tions and groups. draft final findings of no significant
impact will be made available in the
The NRC Office of Information Re- number requested to Federal, State
sources Management will maintain a and local agencies, Indian Tribes, and
master list of organizations and State, regional, and metropolitan
groups, including relevant conserva- clearinghouses. When available NRC
tion commissions, known to be inter- copies have been exhausted, the re-
ested in the Commission’s licensing quester will be advised that the NRC
and regulatory activities. The NRC Of- will provide copies at the charges spec-
fice of Information Resources Manage- ified in § 9.35 of this chapter.
ment with the assistance of the appro- (c) Charges. Charges for the reproduc-
priate NRC staff director will select tion of environmental documents by
from this master list those organiza- the NRC at locations other than the
tions and groups that may have an in- NRC Public Document Room located in
terest in a specific NRC NEPA action Washington, DC vary according to lo-
and will promptly notify such organi- cation.
zations and groups of the availability
of a draft environmental impact state- [50 FR 21037, May 22, 1985, as amended at 52
FR 31612, Aug. 21, 1987; 53 FR 43421, Oct. 27,
ment or a draft finding of no signifi- 1988; 61 FR 9902, Mar. 12, 1996; 64 FR 48952,
cant impact. Sept. 9, 1999; 68 FR 58812, Oct. 10, 2003]
FR 31612, Aug. 12, 1987; 54 FR 53316, Dec. 28, COMMENTING
1989]
§ 51.124 Commission duty to comment.
§ 51.123 Charges for environmental It is the policy of the Commission to
documents; distribution to public; comment on draft environmental im-
distribution to governmental agen- pact statements prepared by other Fed-
cies. eral agencies, consistent with the pro-
(a) Distribution to public. Upon writ- visions of 40 CFR 1503.2 and 1503.3.
ten request to the Office of Information
Services, U.S. Nuclear Regulatory RESPONSIBLE OFFICIAL
Commission, Washington, DC 20555– § 51.125 Responsible official.
0001, e-mail DISTRIBUTION@nrc.gov,
and to the extent available, single cop- The Executive Director for Oper-
ies of draft environmental impact ations shall be responsible for overall
statements and draft findings of no sig- review of NRC NEPA compliance, ex-
nificant impact will be made available cept for matters under the jurisdiction
to interested persons without charge. of a presiding officer, administrative
Single copies of final environmental judge, administrative law judge, Atom-
impact statements and final findings of ic Safety and Licensing Board, Atomic
no significant impact will also be pro- Safety and Licensing Appeal Board, or
vided without charge to the persons the Commission acting as a collegial
listed in §§ 51.93(a) and 51.119(c), respec- body.
tively. When more than one copy of an
APPENDIX A TO SUBPART A OF PART 51—
environmental impact statement or a
FORMAT FOR PRESENTATION OF MA-
finding of no significant impact is re-
TERIAL IN ENVIRONMENTAL IMPACT

quested or when available NRC copies
STATEMENTS
have been exhausted, the requestor will
be advised that the NRC will provide 1. General
57
Pt. 51, Subpt. A, App. A 10 CFR Ch. I (1–1–11 Edition)
2. Cover sheet Proposed Action, Affected Environment, and
3. Summary Environmental Consequences and Mitigating
4. Purpose of and need for action Actions. For proposals of unusual scope or
5. Alternatives including the proposed action complexity, the material presented under
6. Affected environment these format headings may extend to 300
7. Environmental consequences and miti- pages.
gating actions
8. List of preparers 2. Cover sheet.
9. Appendices The cover sheet will not exceed one page.
It will include:
1. General.
(a) The name of the NRC office responsible
(a) The Commission will use a format for for preparing the statement and a list of any
environmental impact statements which will cooperating agencies.
encourage good analysis and clear presen- (b) The title of the proposed action that is
tation of the alternatives including the pro- the subject of the statement with a list of
posed action. The following standard format the states, counties or municipalities where
for environmental impact statements should the facility or other subject of the action is
be followed unless there is a compelling rea- located, as appropriate.
son to do otherwise: (c) The name, address, and telephone num-
(1) Cover sheet* ber of the individual in NRC who can supply
(2) Summary* further information.
(3) Table of Contents (d) A designation of the statement as a
(4) Purpose of and Need for Action* draft or final statement, or a draft or final
(5) Alternatives including the proposed supplement.
action* (e) A one paragraph abstract of the state-
(6) Affected Environment* ment.
(7) Environmental Consequences and Miti- (f) For draft environmental impact state-
gating Actions* ments, the date by which comments must be
(8) List of Preparers* received. This date may be specified in the
(9) List of Agencies, Organizations and Per- form of the following or a substantially simi-
sons to Whom Copies of the Statement are lar statement:
Sent ‘‘Comments should be filed no later than 3
(10) Substantive Comments Received and days after the date on which the Environ-
NRC Staff Responses mental Protection Agency notice stating
(11) Index that the draft environmental impact state-
(12) Appendices (if any)* ment has been filed with EPA is published in
If a different format is used, it shall in- the FEDERAL REGISTER. Comments received
clude paragraphs (1), (2), (3), (8), (9), (10), and after the expiration of the comment period
(11) of this section and shall include the sub- will be considered if it is practical to do so
stance of paragraphs (4), (5), (6), (7), and (12) but assurance of consideration of late com-
of this section, in any appropriate format. ments cannot be given.’’
Additional guidance on the presentation of 3. Summary.
material under the format headings identi-
fied by an asterisk is set out in sections 2.– Each environmental impact statement will
9. of this appendix. contain a summary which adequately and ac-
(b) The techniques of tiering and incorpo- curately summarizes the statement. The
ration by reference described respectively in summary will stress the major issues consid-
40 CFR 1502.20 and 1508.28 and 40 CFR 1502.21 1 ered. The summary will discuss the areas of
of CEQ’s NEPA regulations may be used as controversy, will identify any remaining
appropriate to aid in the presentation of issues to be resolved, and will present the
issues, eliminate repetition or reduce the major conclusions and recommendations.
size of an environmental impact statement. The summary will normally not exceed 15
In appropriate circumstances, draft or final pages.
environmental impact statements prepared
4. Purpose of and need for action.
by other Federal agencies may be adopted in
whole or in part in accordance with the pro- The statement will briefly describe and
cedures outlined in 40 CFR 1506.3 2 of CEQ’s specify the need for the proposed action. The
NEPA regulations. In final environmental alternative of no action will be discussed. In
impact statements, material under the fol- the case of nuclear power plant construction
lowing format headings will normally be pre- or siting, consideration will be given to the
sented in less than 150 pages: Purpose of and potential impact of conservation measures
Need for Action, Alternatives Including the in determining the demand for power and
1 Tiering—40 CFR 1502.20, 40 CFR 1508.28; In- 3 The number of days in the comment pe-
corporation by reference—40 CFR 1502.21. riod should be inserted. The minimum com-
2 Adoption—40 CFR 1506.3. ment period is 45 days (see § 51.73.)
58
Nuclear Regulatory Commission Pt. 51, Subpt. A, App. A
consequent need for additional generating enhancement of long-term productivity, and
capacity. any irreversible or irretrievable commit-
ments of resources which would be involved
5. Alternatives including the proposed action. in the alternative should it be implemented.
This section is the heart of the environ- This section will include discussions of:
mental impact statement. It will present the (a) Direct effects and their significance.
environmental impacts of the proposal and (b) Indirect effects and their significance.
the alternatives in comparative form. Where (c) Possible conflicts between the alter-
important to the comparative evaluation of native and the objectives of Federal, re-
alternatives, appropriate mitigating meas- gional, State, and local (and in the case of a
ures of the alternatives will be discussed. All reservation, Indian tribe) land use plans,
reasonable alternatives will be identified. policies and controls for the area concerned.
The range of alternatives discussed will en- (d) Means to mitigate adverse environ-
compass those proposed to be considered by mental impacts.
the ultimate decisionmaker. An otherwise
reasonable alternative will not be excluded 8. List of preparers.
from discussion solely on the ground that it
The environmental impact statement will
is not within the jurisdiction of the NRC. 4
The discussion of alternatives will take into list the names and qualifications (expertise,
accounts, without duplicating, the environ- experience, professional disciplines), of the
mental information and analyses included in persons who were primarily responsible for
sections, 4., 6. and 7. of this appendix. preparing the environmental impact state-
In the draft environmental impact statement or significant background papers. Per-
ment, this section will either include a pre- sons responsible for making an independent
liminary recommendation on the action to evaluation of information submitted by the
be taken, or identify the alternatives under applicant or petitioner for rulemaking or
consideration. others will be included in the list. Where pos-
In the final environmental impact state- sible, the persons who are responsible for a
ment, this section will include a final rec- particular analysis, including analyses in
ommendation on the action to be taken. background papers, will be identified.
6. Affected environment. 9. Appendices.

The environmental impact statement will An appendix to an environmental impact
succinctly describe the environment to be af- statement will:
fected by the proposed action. Data and anal- (a) Consist of material prepared in connec-
yses in the statement will be commensurate tion with an environmental impact state-
with the importance of the impact, with less ment (as distinct from material which is not
important material summarized, consoli- so prepared and which is incorporated by ref-
dated, or simply referenced. Effort and at- erence (40 CFR 1502.21)).
tention will be concentrated on important (b) Normally consist of material which
issues; useless bulk will be eliminated. substantiates any analysis fundamental to
the impact statement. Discussion of method-
7. Environmental consequences and mitigating ology used may be placed in an appendix.
actions. (c) Normally be analytic.
This section discusses the environmental (d) Be relevant to the decision to be made.
consequences of alternatives, including the (e) Be circulated with the environmental
proposed actions and any mitigating actions impact statement or be readily available on
which may be taken. Alternatives elimi- request.
nated from detailed study will be identified
and a discussion of those alternatives will be Discussion of Footnotes
confined to a brief statement of the reasons
why the alternatives were eliminated. The 1. Tiering.
level of information for each alternative con- 40 CFR 1502.20 states:
sidered in detail will reflect the depth of ‘‘Agencies are encouraged to tier their en-
analysis required for sound decisionmaking. vironmental impact statements to eliminate
The discussion will include any adverse en- repetitive discussions of the same issues and
vironmental effects which cannot be avoided to focus on the actual issues ripe for decision
should the alternative be implemented, the at each level of environmental review
relationship between short-term uses of (§ 1508.28). Whenever a broad environmental
man’s environment and the maintenance and
impact statement has been prepared (such as
a program or policy statement) and a subse-
4 With respect to limitations on NRC’s quent statement or environmental assess-
NEPA authority and responsibility imposed ment is then prepared on an action included
by the Federal Water Pollution Control Act within the entire program or policy (such as
Amendments of 1972, see §§ 51.10(c), a site specific action) the subsequent state-
51.22(c)(17) and 51.71(d). ment or environmental assessment need only
59
Pt. 51, Subpt. A, App. B 10 CFR Ch. I (1–1–11 Edition)
summarize the issues discussed in the broad- or portion thereof meets the standards for an
er statement and incorporate discussions adequate statement under these regulations.
from the broader statement by reference and ‘‘(b) If the actions covered by the original
shall concentrate on the issues specific to environmental impact statement and the
the subsequent action. The subsequent docu- proposed action are substantially the same,
ment shall state where the earlier document the agency adopting another agency’s state-
is available. Tiering may also be appropriate ment is not required to recirculate it except
for different stages of actions. (Sec. 1508.28).’’ as a final statement. Otherwise the adopting
40 CFR 1508.28 states: agency shall treat the statement as a draft
‘‘ ‘Tiering’ refers to the coverage of general and recirculate it (except as provided in
matters in broader environmental impact paragraph (c) of this section).
statements (such as national program or pol- ‘‘(c) A cooperating agency may adopt with-
icy statements) with subsequent narrower out recirculating the environmental impact
statements or environmental analyses (such statement of a lead agency when, after an
as regional or basinwide program statements independent review of the statement, the co-
or ultimately site-specific statements) incor- operating agency concludes that its com-
porating by reference the general discussions ments and suggestions have been satisfied.
and concentrating solely on the issues spe- ‘‘(d) When an agency adopts a statement
cific to the statement subsequently pre- which is not final within the agency that
pared. Tiering is appropriate when the se- prepared it, or when the action it assesses is
quence of statements or analyses is: the subject of a referral under part 1504, or
‘‘(a) From a program, plan, or policy envi- when the statement’s adequacy is the sub-
ronmental impact statement to a program, ject of a judicial action which is not final,
plan, or policy statement or analysis of less- the agency shall so specify.’’
er scope or to a site-specific statement or
analysis.
FR 28490, June 5, 1996; 61 FR 66546, Dec. 18,
‘‘(b) From an environmental impact state- 1996]
ment on a specific action at an early stage
(such as need and site selection) to a supple- APPENDIX B TO SUBPART A OF PART 51—
ment (which is preferred) or a subsequent
statement or analysis at a later stage (such
ENVIRONMENTAL EFFECT OF RENEW-
as environmental mitigation). Tiering in ING THE OPERATING LICENSE OF A
such cases is appropriate when it helps the NUCLEAR POWER PLANT
lead agency to focus on the issues which are
The Commission has assessed the environ-
ripe for decision and exclude from consider-
mental impacts associated with granting a
ation issues already decided or not yet ripe.’’
renewed operating license for a nuclear
Incorporation by reference. 40 CFR 1502.21
power plant to a licensee who holds either an
states:
operating license or construction permit as
‘‘Agencies shall incorporate material into of June 30, 1995. Table B–1 summarizes the
an environmental impact statement by ref- Commission’s findings on the scope and mag-
erence when the effect will be to cut down on nitude of environmental impacts of renewing
bulk without impeding agency and public re- the operating license for a nuclear power
view of the action. The incorporated mate- plant as required by section 102(2) of the Na-
rial shall be cited in the statement and its tional Environmental Policy Act of 1969, as
content briefly described. No material may amended. Table B–1, subject to an evaluation
be incorporated by reference unless it is rea- of those issues identified in Category 2 as re-
sonably available for inspection by poten- quiring further analysis and possible signifi-
tially interested persons within the time al- cant new information, represents the anal-
lowed for comment. Material based on pro- ysis of the environmental impacts associated
prietary data which is itself not available for with renewal of any operating license and is
review and comment shall not be incor- to be used in accordance with § 51.95(c). On a
porated by reference.’’ 10-year cycle, the Commission intends to re-
2. Adoption. view the material in this appendix and up-
date it if necessary. A scoping notice must
40 CFR 1506.3 states: be published in the FEDERAL REGISTER indi-
‘‘(a) An agency may adopt a Federal draft cating the results of the NRC’s review and
or final environmental impact statement or inviting public comments and proposals for
portion thereof provided that the statement other areas that should be updated.
60
Nuclear Regulatory Commission Pt. 51, Subpt. A, App. B
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 1 SMALL. Impacts are expected to be negligible during refurbishment be-
water quality. cause best management practices are expected to be employed to con-
trol soil erosion and spills.
Impacts of refurbishment on surface 1 SMALL. Water use during refurbishment will not increase appreciably or
water use. will be reduced during plant outage.
Altered current patterns at intake and 1 SMALL. Altered current patterns have not been found to be a problem at
discharge structures. 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 oper-
ating 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
Temperature effects on sediment 1 SMALL. These effects have not been found to be a problem at operating
transport capacity. nuclear power plants and are not expected to be a problem during the
license renewal term.
Scouring caused by discharged cool- 1 SMALL. Scouring has not been found to be a problem at most operating
ing water. 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 li-
cense renewal term.
Discharge of chlorine or other 1 SMALL. Effects are not a concern among regulatory and resource agen-
biocides. cies, and are not expected to be a problem during the license renewal
term.
Discharge of sanitary wastes and 1 SMALL. Effects are readily controlled through NPDES permit and periodic
minor chemical spills. modifications, if needed, and are not expected to be a problem during
Discharge of other metals in waste 1 SMALL. These discharges have not been found to be a problem at oper-
water. ating 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 1 SMALL. These conflicts have not been found to be a problem at operating
once-through cooling systems). nuclear power plants with once-through heat dissipation systems.
Water use conflicts (plants with cool- 2 SMALL OR MODERATE. The issue has been a concern at nuclear power
ing ponds or cooling towers using plants with cooling ponds and at plants with cooling towers. Impacts on
make-up water from a small river instream and riparian communities near these plants could be of mod-
with low flow). erate significance in some situations. See § 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 im-
pingement of organisms or a reduced release of chemicals.
Accumulation of contaminants in 1 SMALL. Accumulation of contaminants has been a concern at a few nu-
sediments or biota. clear power plants but has been satisfactorily mitigated by replacing
copper alloy condenser tubes with those of another metal. It is not ex-
pected to be a problem during the license renewal term.
Entrainment of phytoplankton and 1 SMALL. Entrainment of phytoplankton and zooplankton has not been
zooplankton. found to be a problem at operating nuclear power plants and is not ex-
pected 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 pop-
ulations 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 1 SMALL. Thermal plumes have not been found to be a problem at oper-
fish. ating nuclear power plants and are not expected to be a problem during
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 in- 1 SMALL. Premature emergence has been found to be a localized effect at
sects. some operating nuclear power plants but has not been a problem and
is not expected to be a problem during the license renewal term.
61
PLANTS 1—Continued
Gas supersaturation (gas bubble dis- 1 SMALL. Gas supersaturation was a concern at a small number of oper-
ease). ating 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 dis- 1 SMALL. Low dissolved oxygen has been a concern at one nuclear power
charge. plant with a once-through cooling system but has been effectively miti-
gated. 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, 1 SMALL. These types of losses have not been found to be a problem at
and disease among organisms ex- operating nuclear power plants and are not expected to be a problem
posed to sublethal stresses. during the license renewal term.
Stimulation of nuisance organisms 1 SMALL. Stimulation of nuisance organisms has been satisfactorily miti-
(e.g., shipworms). gated at the single nuclear power plant with a once-through cooling sys-
tem where previously it was a problem. It has not been found to be a
problem at operating nuclear power plants with cooling towers or cool-
ing ponds and is not expected to be a problem during the license re-
newal term.
Aquatic Ecology (for plants with once-through and cooling pond heat dissipation systems)
Entrainment of fish and shellfish in 2 SMALL, MODERATE, OR LARGE. The impacts of entrainment are small
early life stages. at many plants but may be moderate or even large at a few plants with
once-through and cooling-pond cooling systems. Further, ongoing ef-
forts in the vicinity of these plants to restore fish populations may in-
crease the numbers of fish susceptible to intake effects during the li-
cense renewal period, such that entrainment studies conducted in sup-
port of the original license may no longer be valid. See
§ 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
§ 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 re-
sponse to changing environmental conditions, the impacts may be of
moderate or large significance at some plants. See § 51.53(c)(3)(ii)(B).
Aquatic Ecology (for plants with cooling-tower-based heat dissipation systems)
Entrainment of fish and shellfish in 1 SMALL. Entrainment of fish has not been found to be a problem at oper-
early life stages. ating 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 oper-
ating nuclear power plants with this type of cooling system and is not
Heat shock ........................................ 1 SMALL. Heat shock has not been found to be a problem at operating nu-
clear 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- 1 SMALL. Extensive dewatering during the original construction on some
water use and quality. 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
Ground-water use conflicts (potable 1 SMALL. Plants using less than 100 gpm are not expected to cause any
and service water; plants that use ground-water use conflicts.
<100 gpm).
Ground-water use conflicts (potable 2 SMALL, MODERATE, OR LARGE. Plants that use more than 100 gpm
and service water, and dewatering; may cause ground-water use conflicts with nearby ground-water users.
plants that use >100 gpm). See § 51.53(c)(3)(ii)(C).
Ground-water use conflicts (plants 2 SMALL, MODERATE, OR LARGE. Water use conflicts may result from
using cooling towers withdrawing surface water withdrawals from small water bodies during low flow con-
make-up water from a small river). ditions 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 § 51.53(c)(3)(ii)(A).
62
Ground-water use conflicts (Ranney 2 SMALL, MODERATE, OR LARGE. Ranney wells can result in potential
wells). 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 § 51.53(c)(3)(ii)(C).
Ground-water quality degradation 1 SMALL. Ground-water quality at river sites may be degraded by induced
(Ranney wells). 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
Ground-water quality degradation 1 SMALL. Nuclear power plants do not contribute significantly to saltwater
(saltwater intrusion). intrusion.
Ground-water quality degradation 1 SMALL. Sites with closed-cycle cooling ponds may degrade ground-water
(cooling ponds in salt marshes). quality. Because water in salt marshes is brackish, this is not a concern
for plants located in salt marshes.
Ground-water quality degradation 2 SMALL, MODERATE, OR LARGE. Sites with closed-cycle cooling ponds
(cooling ponds at inland sites). 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 § 51.53(c)(3)(ii)(D).
Terrestrial Resources
Refurbishment impacts ...................... 2 SMALL, MODERATE, OR LARGE. Refurbishment impacts are insignifi-
cant 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 re-
newal application. See § 51.53(c)(3)(ii)(E).
Cooling tower impacts on crops and 1 SMALL. Impacts from salt drift, icing, fogging, or increased humidity asso-
ornamental vegetation. ciated with cooling tower operation have not been found to be a prob-
lem at operating nuclear power plants and are not expected to be a
Cooling tower impacts on native 1 SMALL. Impacts from salt drift, icing, fogging, or increased humidity asso-
plants. ciated with cooling tower operation have not been found to be a prob-
lem at operating nuclear power plants and are not expected to be a
Bird collisions with cooling towers .... 1 SMALL. These collisions have not been found to be a problem at oper-
ating nuclear power plants and are not expected to be a problem during
Cooling pond impacts on terrestrial 1 SMALL. Impacts of cooling ponds on terrestrial ecological resources are
resources. considered to be of small significance at all sites.
Power line right-of-way management 1 SMALL. The impacts of right-of-way maintenance on wildlife are expected
(cutting and herbicide application). 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 1 SMALL. No significant impacts of electromagnetic fields on terrestrial flora
flora and fauna (plants, agricultural and fauna have been identified. Such effects are not expected to be a
crops, honeybees, wildlife, live- problem during the license renewal term.
stock).
Floodplains and wetland on power 1 SMALL. Periodic vegetation control is necessary in forested wetlands un-
line right of way. derneath power lines and can be achieved with minimal damage to the
wetland. No significant impact is expected at any nuclear power plant
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 § 51.53(c)(3)(ii)(E).
Air Quality
Air quality during refurbishment (non- 2 SMALL, MODERATE, OR LARGE. Air quality impacts from plant refur-
attainment and maintenance bishment associated with license renewal are expected to be small.
areas). However, vehicle exhaust emissions could be cause for concern at lo-
cations in or near nonattainment or maintenance areas. The signifi-

cance of the potential impact cannot be determined without considering
the compliance status of each site and the numbers of workers ex-
pected to be employed during the outage. See § 51.53(c)(3)(ii)(F).
63
Air quality effects of transmission 1 SMALL. Production of ozone and oxides of nitrogen is insignificant and
lines. 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.
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 sig-
nificance.
Human Health
Radiation exposures to the public 1 SMALL. During refurbishment, the gaseous effluents would result in doses
during refurbishment. that are similar to those from current operation. Applicable regulatory
dose limits to the public are not expected to be exceeded.
Occupational radiation exposures 1 SMALL. Occupational doses from refurbishment are expected to be within
during refurbishment. the range of annual average collective doses experienced for pressur-
ized-water reactors and boiling-water reactors. Occupational mortality
risk from all causes including radiation is in the mid-range for industrial
settings.
Microbiological organisms (occupa- 1 SMALL. Occupational health impacts are expected to be controlled by
tional health). continued application of accepted industrial hygiene practices to mini-
mize worker exposures.
Microbiological organisms (public 2 SMALL, MODERATE, OR LARGE. These organisms are not expected to
health)(plants using lakes or ca- be a problem at most operating plants except possibly at plants using
nals, or cooling towers or cooling cooling ponds, lakes, or canals that discharge to small rivers. Without
ponds that discharge to a small site-specific data, it is not possible to predict the effects generically. See
river). § 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 re-
newal term.
Electromagnetic fields, acute effects 2 SMALL, MODERATE, OR LARGE. Electrical shock resulting from direct
(electric shock). 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 li-
cense renewal term. However, site-specific review is required to deter-
mine the significance of the electric shock potential at the site. See
§ 51.53(c)(3)(ii)(H).
Electromagnetic fields, chronic ef- 4 NA UNCERTAIN. Biological and physical studies of 60–Hz electromagnetic
fects 5. fields have not found consistent evidence linking harmful effects with
field exposures. However, research is continuing in this area and a con-
sensus scientific view has not been reached. 5
Radiation exposures to public (li- 1 SMALL. Radiation doses to the public will continue at current levels asso-
cense renewal term). ciated with normal operations.
Occupational radiation exposures (li- 1 SMALL. Projected maximum occupational doses during the license re-
cense renewal term). newal 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 § 51.53(c)(3)(ii)(I).
Public services: public safety, social 1 SMALL. Impacts to public safety, social services, and tourism and recre-
services, and tourism and recre- ation are expected to be of small significance at all sites.
ation.
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 § 51.53(c)(3)(ii)(I).
Public services, education (refurbish- 2 SMALL, MODERATE, OR LARGE. Most sites would experience impacts
ment). of small significance but larger impacts are possible depending on site-
and project-specific factors. See § 51.53(c)(3)(ii)(I).
Public services, education (license 1 SMALL. Only impacts of small significance are expected.
renewal term).
64
Offsite land use (refurbishment) ........ 2 SMALL OR MODERATE. Impacts may be of moderate significance at
plants in low population areas. See § 51.53(c)(3)(ii)(I).
Offsite land use (license renewal 2 SMALL, MODERATE, OR LARGE. Significant changes in land use may
term). be associated with population and tax revenue changes resulting from
license renewal. See § 51.53(c)(3)(ii)(I).
Public services, Transportation ......... 2 SMALL, MODERATE, OR LARGE. Transportation impacts (level of serv-
ice) 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 im-
pacts of moderate or large significance at some sites. See
§ 51.53(c)(3)(ii)(J).
Historic and archaeological re- 2 SMALL, MODERATE, OR LARGE. Generally, plant refurbishment and
sources. continued operation are expected to have no more than small adverse
impacts on historic and archaeological resources. However, the Na-
tional 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 § 51.53(c)(3)(ii)(K).
Aesthetic impacts (refurbishment) ..... 1 SMALL. No significant impacts are expected during refurbishment.
Aesthetic impacts (license renewal 1 SMALL. No significant impacts are expected during the license renewal
term). term.
Aesthetic impacts of transmission 1 SMALL. No significant impacts are expected during the license renewal
lines (license renewal term). 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 soci-
etal and economic impacts from severe accidents are small for all
plants. However, alternatives to mitigate severe accidents must be con-
sidered for all plants that have not considered such alternatives. See
§ 51.53(c)(3)(ii)(L).
Uranium Fuel Cycle and Waste Management
Offsite radiological impacts (indi- 1 SMALL. Off-site impacts of the uranium fuel cycle have been considered
vidual effects from other than the by the Commission in Table S–3 of this part. Based on information in
disposal of spent fuel and high the GEIS, impacts on individuals from radioactive gaseous and liquid
level waste). releases including radon-222 and technetium-99 are small.
Offsite radiological impacts (collec- 1 The 100 year environmental dose commitment to the U.S. population from
tive effects). the fuel cycle, high level waste and spent fuel disposal excepted, is cal-
culated to be about 14,800 person rem, or 12 cancer fatalities, for each
additional 20-year power reactor operating term. Much of this, espe-
cially 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 regu-
latory 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 im-
pacts 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. Ac-

cordingly, while the Commission has not assigned a single level of sig-
nificance for the collective effects of the fuel cycle, this issue is consid-
ered Category 1.
65
Offsite radiological impacts (spent 1 For the high level waste and spent fuel disposal component of the fuel
fuel and high level waste disposal). cycle, there are no current regulatory limits for offsite releases of radio-
nuclides for the current candidate repository site. However, if we as-
sume that limits are developed along the lines of the 1995 National
Academy of Sciences (NAS) report, ‘‘Technical Bases for Yucca Moun-
tain 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 assump-
tions 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 × 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 Environ-
mental Impact Statement: Management of Commercially Generated Ra-
dioactive Waste,’’ October 1980. The evaluation estimated the 70-year
whole-body dose commitment to the maximum individual and to the re-
gional 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 esti-
mates of doses to population may be possible in the future as more is
understood about the performance of the proposed Yucca Mountain re-
pository. Such estimates would involve very great uncertainty, espe-
cially with respect to cumulative population doses over thousands of
years. The standard proposed by the NAS is a limit on maximum indi-
vidual 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 re-
quirements’’ that limit the cumulative amount of radioactive material re-
leased 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 can-
cer 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 regu-
latory 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 im-
pacts 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. Ac-
cordingly, while the Commission has not assigned a single level of sig-
nificance for the impacts of spent fuel and high level waste disposal,
this issue is considered Category 1.
Nonradiological impacts of the ura- 1 SMALL. The nonradiological impacts of the uranium fuel cycle resulting
nium fuel cycle. from the renewal of an operating license for any plant are found to be
small.
66
Low-level waste storage and dis- 1 SMALL. The comprehensive regulatory controls that are in place and the
posal. low public doses being achieved at reactors ensure that the radiological
impacts to the environment will remain small during the term of a re-
newed license. The maximum additional on-site land that may be re-
quired 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 envi-
ronmental impacts of long-term disposal of low-level waste from any in-
dividual 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 facili-
ties to be decommissioned consistent with NRC decommissioning re-
quirements.
Mixed waste storage and disposal .... 1 SMALL. The comprehensive regulatory controls and the facilities and pro-
cedures 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 environ-
mental 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 decom-
missioned consistent with NRC decommissioning requirements.
On-site spent fuel .............................. 1 SMALL. The expected increase in the volume of spent fuel from an addi-
tional 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 re-
newal. Facilities and procedures are in place to ensure continued prop-
er 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 ap-
proved 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 Im-
pact 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 implica-
tions for the environmental impact values reported in § 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. Occu-
pational 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 li-
cense 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 neg-
ligible either at the end of the current operating term or at the end of
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 li-
cense 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 eco-
logical impacts.
Socioeconomic impacts ..................... 1 SMALL. Decommissioning would have some short-term socioeconomic
impacts. The impacts would not be increased by delaying decommis-
sioning until the end of a 20-year relicense period, but they might be
decreased by population and economic growth.
67
Environmental Justice
Environmental justice 6 ...................... 4 NA NONE. The need for and the content of an analysis of environmental jus-
tice 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 Re-
newal 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 sig-
nificance.
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]
Subpart B [Reserved] Subpart A—Early Site Permits

52.12 Scope of subpart.
PART 52—LICENSES, CERTIFI- 52.13 Relationship to other subparts.
CATIONS, AND APPROVALS FOR 52.15 Filing of applications.
52.16 Contents of applications; general in-
NUCLEAR POWER PLANTS formation.
52.17 Contents of applications; technical in-
GENERAL PROVISIONS formation.
Sec. 52.18 Standards for review of applications.
52.0 Scope; applicability of 10 CFR Chapter 52.21 Administrative review of applications;
I provisions. hearings.
52.1 Definitions. 52.23 Referral to the Advisory Committee
52.2 Interpretations. on Reactor Safeguards (ACRS).
52.3 Written communications. 52.24 Issuance of early site permit.
52.4 Deliberate misconduct. 52.25 Extent of activities permitted.
52.5 Employee protection. 52.26 Duration of permit.
52.6 Completeness and accuracy of informa- 52.27 Limited work authorization after
tion. issuance of early site permit.
52.7 Specific exemptions. 52.28 Transfer of early site permit.
52.8 Combining licenses; elimination of rep- 52.29 Application for renewal.
etition. 52.31 Criteria for renewal.
52.9 Jurisdictional limits. 52.33 Duration of renewal.

52.10 Attacks and destructive acts. 52.35 Use of site for other purposes.
52.11 Information collection requirements: 52.39 Finality of early site permit deter-
OMB approval. minations.
68
Nuclear Regulatory Commission Pt. 52
Subpart B—Standard Design Certifications 52.139 Standards for review of applications.

52.141 Referral to the Advisory Committee
52.41 Scope of subpart. on Reactor Safeguards (ACRS).
52.43 Relationship to other subparts. 52.143 Staff approval of design.
52.45 Filing of applications. 52.145 Finality of standard design approvals;
52.46 Contents of applications; general in- information requests.
formation. 52.147 Duration of design approval.
52.47 Contents of applications; technical in-
formation. Subpart F—Manufacturing Licenses
52.48 Standards for review of applications.
52.51 Administrative review of applications. 52.151 Scope of subpart.
52.53 Referral to the Advisory Committee 52.153 Relationship to other subparts.
on Reactor Safeguards (ACRS). 52.155 Filing of applications.
52.54 Issuance of standard design certifi- 52.156 Contents of applications; general in-
cation. formation.
52.55 Duration of certification. 52.157 Contents of applications; technical
52.57 Application for renewal. information in final safety analysis re-
52.59 Criteria for renewal. port.
52.61 Duration of renewal. 52.158 Contents of application; additional
52.63 Finality of standard design certifi- technical information.
52.159 Standards for review of application.
cations.
52.161 [Reserved]
52.163 Administrative review of applica-
Subpart C—Combined Licenses
tions; hearings.
52.71 Scope of subpart. 52.165 Referral to the Advisory Committee
52.73 Relationship to other subparts. on Reactor Safeguards (ACRS).
52.75 Filing of applications. 52.167 Issuance of manufacturing license.
52.77 Contents of applications; general in- 52.169 [Reserved]
formation. 52.171 Finality of manufacturing licenses;
52.79 Contents of applications; technical in- information requests.
formation in final safety analysis report. 52.173 Duration of manufacturing license.
52.80 Contents of applications; additional 52.175 Transfer of manufacturing license.
technical information. 52.177 Application for renewal.
52.179 Criteria for renewal.
52.81 Standards for review of applications.
52.181 Duration of renewal.
52.83 Finality of referenced NRC approvals;
partial initial decision on site suit-
Subpart G [Reserved]
ability.
52.85 Administrative review of applications;
Subpart H—Enforcement
hearings.
52.87 Referral to the Advisory Committee 52.301 Violations.
on Reactor Safeguards (ACRS). 52.303 Criminal penalties.
52.89 [Reserved] APPENDIX A TO PART 52—DESIGN CERTIFI-
52.91 Authorization to conduct limited work CATION RULE FOR THE U.S. ADVANCED
authorization activities. BOILING WATER REACTOR
52.93 Exemptions and variances. APPENDIX B TO PART 52—DESIGN CERTIFI-
52.97 Issuance of combined licenses. CATION RULE FOR THE SYSTEM 80+ DESIGN
52.98 Finality of combined licenses; infor- APPENDIX C TO PART 52—DESIGN CERTIFI-
mation requests. CATION RULE FOR THE AP600 DESIGN
52.99 Inspection during construction. APPENDIX D TO PART 52—DESIGN CERTIFI-
52.103 Operation under a combined license. CATION RULE FOR THE AP1000 DESIGN
52.104 Duration of combined license. APPENDIXES E–M TO PART 52 [RESERVED]
52.105 Transfer of combined license. APPENDIX N TO PART 52—STANDARDIZATION OF
52.107 Application for renewal. NUCLEAR POWER PLANT DESIGNS: COM-
52.109 Continuation of combined license. BINED LICENSES TO CONSTRUCT AND OPER-
52.110 Termination of license. ATE NUCLEAR POWER REACTORS OF IDEN-
TICAL DESIGN AT MULTIPLE SITES
Subpart D [Reserved]
AUTHORITY: Secs. 103, 104, 161, 182, 183, 186,
Subpart E—Standard Design Approvals 189, 68 Stat. 936, 948, 953, 954, 955, 956, as
amended, sec. 234, 83 Stat. 444, as amended
52.131 Scope of subpart. (42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239,
52.133 Relationship to other subparts. 2282); secs. 201, 202, 206, 88 Stat. 1242, 1244,
52.135 Filing of applications. 1246, as amended (42 U.S.C. 5841, 5842, 5846);
52.136 Contents of applications; general in- sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note);
formation. Energy Policy Act of 2005, Pub. L. No. 109–58,
52.137 Contents of applications; technical 119 Stat. 594 (2005), secs. 147 and 149 of the
information. Atomic Energy Act.
69
§ 52.0 10 CFR Ch. I (1–1–11 Edition)
SOURCE: 72 FR 49517, Aug. 28, 2007, unless (i) Release of the property for unre-
otherwise noted. stricted use and termination of the li-
cense; or
GENERAL PROVISIONS (ii) Release of the property under re-
§ 52.0 Scope; applicability of 10 CFR stricted conditions and termination of
Chapter I provisions. the license.
Design characteristics are the actual
(a) This part governs the issuance of features of a reactor or reactors. De-
early site permits, standard design cer- sign characteristics are specified in a
tifications, combined licenses, stand- standard design approval, a standard
ard design approvals, and manufac- design certification, a combined license
turing licenses for nuclear power facili- application, or a manufacturing li-
ties licensed under Section 103 of the cense.
Atomic Energy Act of 1954, as amended Design parameters are the postulated
(68 Stat. 919), and Title II of the Energy features of a reactor or reactors that
Reorganization Act of 1974 (88 Stat. could be built at a proposed site. De-
1242). This part also gives notice to all sign parameters are specified in an
persons who knowingly provide to any early site permit.
holder of or applicant for an approval, Early site permit means a Commission
certification, permit, or license, or to a approval, issued under subpart A of
contractor, subcontractor, or consult- this part, for a site or sites for one or
ant of any of them, components, equip- more nuclear power facilities. An early
ment, materials, or other goods or site permit is a partial construction
services that relate to the activities of permit.
a holder of or applicant for an ap- License means a license, including an
proval, certification, permit, or li- early site permit, combined license or
cense, subject to this part, that they manufacturing license under this part
may be individually subject to NRC en- or a renewed license issued by the Com-
forcement action for violation of the mission under this part or part 54 of
provisions in 10 CFR 52.4. this chapter.
(b) Unless otherwise specifically pro- Licensee means a person who is au-
vided for in this part, the regulations thorized to conduct activities under a
in 10 CFR Chapter I apply to a holder license issued by the Commission.
of or applicant for an approval, certifi- Limited work authorization means the
cation, permit, or license. A holder of authorization provided by the Director
or applicant for an approval, certifi- of New Reactors or the Director of Nu-
cation, permit, or license issued under clear Reactor Regulation under § 50.10
this part shall comply with all require- of this chapter.
ments in 10 CFR Chapter I that are ap- Major feature of the emergency plans
plicable. A license, approval, certifi- means an aspect of those plans nec-
cation, or permit issued under this part essary to:
is subject to all requirements in 10 CFR (i) Address in whole or part one or
Chapter I which, by their terms, are more of the 16 standards in 10 CFR
applicable to early site permits, design 50.47(b); or
certifications, combined licenses, de- (ii) Describe the emergency planning
sign approvals, or manufacturing li- zones as required in 10 CFR 50.33(g).
censes. Manufacturing license means a li-
cense, issued under subpart F of this
§ 52.1 Definitions. part, authorizing the manufacture of
(a) As used in this part— nuclear power reactors but not their
Combined license means a combined construction, installation, or operation
construction permit and operating li- at the sites on which the reactors are
cense with conditions for a nuclear to be operated.
power facility issued under subpart C Modular design means a nuclear
of this part. power station that consists of two or
Decommission means to remove a fa- more essentially identical nuclear re-
cility or site safely from service and actors (modules) and each module is a
reduce residual radioactivity to a level separate nuclear reactor capable of
that permits— being operated independent of the state
70
of completion or operating condition of § 52.2 Interpretations.

any other module co-located on the
Except as specifically authorized by
same site, even though the nuclear
power station may have some shared or the Commission in writing, no inter-
common systems. pretation of the meaning of the regula-
Prototype plant means a nuclear tions in this part by any officer or em-
power plant that is used to test new ployee of the Commission other than a
safety features, such as the testing re- written interpretation by the General
quired under 10 CFR 50.43(e). The proto- Counsel will be recognized to be bind-
type plant is similar to a first-of-a- ing upon the Commission.
kind or standard plant design in all
features and size, but may include ad- § 52.3 Written communications.
ditional safety features to protect the (a) General requirements. All cor-
public and the plant staff from the pos- respondence, reports, applications, and
sible consequences of accidents during other written communications from an
the testing period. applicant, licensee, or holder of a
Site characteristics are the actual standard design approval to the Nu-
physical, environmental and demo- clear Regulatory Commission con-
graphic features of a site. Site charac- cerning the regulations in this part, in-
teristics are specified in an early site dividual license conditions, or the
permit or in a final safety analysis re- terms and conditions of an early site
port for a combined license. permit or standard design approval,
Site parameters are the postulated must be sent either by mail addressed:
physical, environmental and demo- ATTN: Document Control Desk, U.S.
graphic features of an assumed site. Nuclear Regulatory Commission,
Site parameters are specified in a Washington, DC 20555–0001; by hand de-
standard design approval, standard delivery to the NRC’s offices at 11555
sign certification, or manufacturing li- Rockville Pike, Rockville, Maryland,
cense. between the hours of 7:30 a.m. and 4:15
Standard design means a design which p.m. eastern time; or, where prac-
is sufficiently detailed and complete to ticable, by electronic submission, for
support certification or approval in ac- example, via Electronic Information
cordance with subpart B or E of this Exchange, e-mail, or CD–ROM. Elec-
part, and which is usable for a multiple tronic submissions must be made in a
number of units or at a multiple num- manner that enables the NRC to re-
ber of sites without reopening or receive, read, authenticate, distribute,
peating the review. and archive the submission, and proc-
Standard design approval or design ap- ess and retrieve it a single page at a
proval means an NRC staff approval, time. Detailed guidance on making
issued under subpart E of this part, of electronic submissions can be obtained
a final standard design for a nuclear by visiting the NRC’s Web site at http://
power reactor of the type described in www.nrc.gov/site-help/e-submittals.html;
10 CFR 50.22. The approval may be for by e-mail to MSHD.Resource@nrc.gov;
either the final design for the entire re- or by writing the Office of Information
actor facility or the final design of Services, U.S. Nuclear Regulatory
major portions thereof. Commission, Washington, DC 20555–
Standard design certification or design 0001. The guidance discusses, among
certification means a Commission ap- other topics, the formats the NRC can
proval, issued under subpart B of this accept, the use of electronic signa-
part, of a final standard design for a tures, and the treatment of nonpublic
nuclear power facility. This design may information. If the communication is
be referred to as a certified standard on paper, the signed original must be
design. sent. If a submission due date falls on
(b) All other terms in this part have a Saturday, Sunday, or Federal holi-
the meaning set out in 10 CFR 50.2, or day, the next Federal working day be-
Section 11 of the Atomic Energy Act, comes the official due date.
as applicable. (b) Distribution requirements. Copies of

[72 FR 49517, Aug. 28, 2007, as amended at 72 all correspondence, reports, and other
FR 57446, Oct. 9, 2007] written communications concerning
71
§ 52.3 10 CFR Ch. I (1–1–11 Edition)
the regulations in this part or indi- ument Control Desk must be the signed
vidual license conditions, or the terms original.
and conditions of an early site permit (4) Security plan and related submis-
or standard design approval, must be sions. Written communications, as de-
submitted to the persons listed in para- fined in paragraphs (b)(4)(i) through
graph (b)(1) of this section (addresses (iv) of this section, must be submitted
for the NRC Regional Offices are listed to the NRC’s Document Control Desk,
in appendix D to part 20 of this chap- with a copy to the appropriate Re-
ter). gional Office. If the communication is
(1) Applications for amendment of per- on paper, the submission to the Docu-
mits and licenses; reports; and other comment Control Desk must be the signed
munications. All written communica- original.
tions (including responses to: generic
(i) Physical security plan under
letters, bulletins, information notices,
§ 52.79 of this chapter;
regulatory information summaries, in-
spection reports, and miscellaneous re- (ii) Safeguards contingency plan
quests for additional information) that under § 52.79 of this chapter;
are required of holders of early site (iii) Change to security plan, guard
permits, standard design approvals, training and qualification plan, or safe-
combined licenses, or manufacturing guards contingency plan made without
licenses issued under this part must be prior Commission approval under
submitted as follows, except as other- § 50.54(p) of this chapter;
wise specified in paragraphs (b)(2) (iv) Application for amendment of
through (b)(7) of this section: to the physical security plan, guard training
NRC’s Document Control Desk (if on and qualification plan, or safeguards
paper, the signed original), with a copy contingency plan under § 50.90 of this
to the appropriate Regional Office, and chapter.
a copy to the appropriate NRC Resi- (5) Emergency plan and related submis-
dent Inspector, if one has been assigned sions. Written communications as de-
to the site of the facility or the place fined in paragraphs (b)(5)(i) through
of manufacture of a reactor licensed (iii) of this section must be submitted
under subpart F of this part. to the NRC’s Document Control Desk,
(2) Applications and amendments to ap- with a copy to the appropriate Re-
plications. Applications for early site gional Office, and a copy to the appro-
permits, standard design approvals, priate NRC Resident Inspector if one
combined licenses, manufacturing li- has been assigned to the site of the fa-
censes and amendments to any of these cility. If the communication is on
types of applications must be sub- paper, the submission to the Document
mitted to the NRC’s Document Control Control Desk must be the signed origi-
Desk, with a copy to the appropriate nal.
Regional Office, and a copy to the ap- (i) Emergency plan under § 52.17(b) or
propriate NRC Resident Inspector, if § 52.79(a);
one has been assigned to the site of the
(ii) Change to an emergency plan
facility or the place of manufacture of
under § 50.54(q) of this chapter;
a reactor licensed under subpart F of
this part, except as otherwise specified (iii) Emergency implementing proce-
in paragraphs (b)(3) through (b)(7) of dures under appendix E, Section V of
this section. If the application or part 50 of this chapter.
amendment is on paper, the submission (6) Updated FSAR. An updated final
to the Document Control Desk must be safety analysis report (FSAR) or re-
the signed original. placement pages under § 50.71(e) of this
(3) Acceptance review application. chapter, or the regulations in this part
Written communications required for must be submitted to the NRC’s Docu-
an application for determination of ment Control Desk, with a copy to the
suitability for docketing must be sub- appropriate Regional Office, and a copy
mitted to the NRC’s Document Control to the appropriate NRC Resident In-
Desk, with a copy to the appropriate spector if one has been assigned to the
Regional Office. If the communication site of the facility or the place of man-
is on paper, the submission to the Doc- ufacture of a reactor licensed under
72
subpart F of this part. Paper copy sub- ments set forth in paragraph (b) of this
missions may be made using replace- section must be typewritten, printed or
ment pages; however, if a licensee otherwise reproduced in permanent
chooses to use electronic submission, form on unglazed paper. Exceptions to
all subsequent updates or submissions these requirements imposed on paper
must be performed electronically on a submissions may be granted for the
total replacement basis. If the commu- submission of micrographic, photo-
nication is on paper, the submission to graphic, or similar forms.
the Document Control Desk must be (d) Regulation governing submission.
the signed original. If the communica- Applicants, licensees, and holders of
tions are submitted electronically, see standard design approvals submitting
Guidance for Electronic Submissions to correspondence, reports, and other
the Commission. written communications under the reg-
(7) Quality assurance related submis- ulations of this part are requested but
sions. (i) A change to the safety anal- not required to cite whenever prac-
ysis report quality assurance program tical, in the upper right corner of the
description under § 50.54(a)(3) or first page of the submission, the spe-
§ 50.55(f)(4) of this chapter, or a change cific regulation or other basis requiring
to a licensee’s NRC-accepted quality submission.
assurance topical report under
§ 50.54(a)(3) or § 50.55(f)(4) of this chap- FR 62682, Dec. 1, 2009]
ter, must be submitted to the NRC’s
Document Control Desk, with a copy to § 52.4 Deliberate misconduct.
the appropriate Regional Office, and a
copy to the appropriate NRC Resident (a) Applicability. This section applies
Inspector if one has been assigned to to any:
the site of the facility. If the commu- (1) Licensee;
nication is on paper, the submission to (2) Holder of a standard design ap-
the Document Control Desk must be proval;
the signed original. (3) Applicant for a standard design
(ii) A change to an NRC-accepted certification;
quality assurance topical report from (4) Applicant for a license or permit;
nonlicensees (i.e., architect/engineers, (5) Applicant for a standard design
NSSS suppliers, fuel suppliers, con- approval;
structors, etc.) must be submitted to (6) Employee of a licensee;
the NRC’s Document Control Desk. If (7) Employee of an applicant for a li-
the communication is on paper, the cense, a standard design certification,
signed original must be sent. or a standard design approval;
(8) Certification of permanent cessation (8) Any contractor (including a sup-
of operations. The licensee’s certifi- plier or consultant), subcontractor, or
cation of permanent cessation of oper- employee of a contractor or subcon-
ations under § 52.110(a)(1), must state tractor of any licensee; or
the date on which operations have (9) Any contractor (including a sup-
ceased or will cease, and must be sub- plier or consultant), subcontractor, or
mitted to the NRC’s Document Control employee of a contractor or subcon-
Desk. This submission must be under tractor of any applicant for a license, a
oath or affirmation. standard design certification, or a
(9) Certification of permanent fuel re- standard design approval.
moval. The licensee’s certification of (b) Definitions. For purposes of this
permanent fuel removal under section:
§ 52.110(a)(1), must state the date on Deliberate misconduct means an inten-
which the fuel was removed from the tional act or omission that a person or
reactor vessel and the disposition of entity knows:
the fuel, and must be submitted to the (i) Would cause a licensee or an appli-
NRC’s Document Control Desk. This cant for a license, standard design cer-
submission must be under oath or affir- tification, or standard design approval
mation. to be in violation of any rule, regula-

(c) Form of communications. All paper tion, or order; or any term, condition,
copies submitted to meet the require- or limitation, of any license, standard
73
§ 52.5 10 CFR Ch. I (1–1–11 Edition)
design certification, or standard design for engaging in certain protected ac-

approval; or tivities is prohibited. Discrimination
(ii) Constitutes a violation of a re- includes discharge and other actions
quirement, procedure, instruction, con- that relate to compensation, terms,
tract, purchase order, or policy of a li- conditions, or privileges of employ-
censee, holder of a standard design ap- ment. The protected activities are es-
proval, applicant for a license, stand- tablished in Section 211 of the Energy
ard design certification, or standard Reorganization Act of 1974, as amend-
design approval, or contractor, or sub- ed, and in general are related to the ad-
contractor. ministration or enforcement of a re-
(c) Prohibition against deliberate mis- quirement imposed under the Atomic
conduct. Any person or entity subject Energy Act or the Energy Reorganiza-
to this section, who knowingly pro- tion Act.
vides to any licensee, any applicant for
(1) The protected activities include
a license, standard design certification
or standard design approval, or a con- but are not limited to:
tractor, or subcontractor of a person or (i) Providing the Commission or his
entity subject to this section, any com- or her employer information about al-
ponents, equipment, materials, or leged violations of either of the stat-
other goods or services that relate to a utes named in the introductory text of
licensee’s or applicant’s activities paragraph (a) of this section or possible
under this part, may not: violations of requirements imposed
(1) Engage in deliberate misconduct under either of those statutes;
that causes or would have caused, if (ii) Refusing to engage in any prac-
not detected, a licensee, holder of a tice made unlawful under either of the
standard design approval, or applicant statutes named in the introductory
to be in violation of any rule, regula- text of paragraph (a) of this section or
tion, or order; or any term, condition, under these requirements if the em-
or limitation of any license issued by ployee has identified the alleged ille-
the Commission, any standard design gality to the employer;
approval, or standard design certifi- (iii) Requesting the Commission to
cation; or institute action against his or her em-
(2) Deliberately submit to the NRC; a ployer for the administration or en-
licensee, an applicant for a license, forcement of these requirements;
standard design certification or stand- (iv) Testifying in any Commission
ard design approval; or a licensee’s, proceeding, or before Congress, or at
standard design approval holder’s, or any Federal or State proceeding re-
applicant’s contractor or subcon- garding any provision (or proposed pro-
tractor, information that the person
vision) of either of the statutes named
submitting the information knows to
in the introductory text of paragraph
be incomplete or inaccurate in some
(a) of this section; and
respect material to the NRC.
(d) A person or entity who violates (v) Assisting or participating in, or is
paragraph (c)(1) or (c)(2) of this section about to assist or participate in, these
may be subject to enforcement action activities.
in accordance with the procedures in 10 (2) These activities are protected
CFR part 2, subpart B. even if no formal proceeding is actu-
ally initiated as a result of the em-
§ 52.5 Employee protection. ployee assistance or participation.
(a) Discrimination by a Commission (3) This section has no application to
licensee, holder of a standard design any employee alleging discrimination
approval, an applicant for a license, prohibited by this section who, acting
standard design certification, or stand- without direction from his or her em-
ard design approval, a contractor or ployer (or the employer’s agent), delib-
subcontractor of a Commission li- erately causes a violation of any re-
censee, holder of a standard design ap- quirement of the Energy Reorganiza-
proval, applicant for a license, stand- tion Act of 1974, as amended, or the
ard design certification, or standard Atomic Energy Act of 1954, as amend-
design approval, against an employee ed.
74
(b) Any employee who believes that (e)(1) Each licensee, each holder of a
he or she has been discharged or other- standard design approval, and each ap-
wise discriminated against by any per- plicant for a license, standard design
son for engaging in protected activities certification, or standard design ap-
specified in paragraph (a)(1) of this sec- proval, shall prominently post the revi-
tion may seek a remedy for the dis- sion of NRC Form 3, ‘‘Notice to Em-
charge or discrimination through an ployees,’’ referenced in 10 CFR 19.11(e).
administrative proceeding in the De- This form must be posted at locations
partment of Labor. The administrative sufficient to permit employees pro-
proceeding must be initiated within 180 tected by this section to observe a copy
days after an alleged violation occurs. on the way to or from their place of
The employee may do this by filing a work. Premises must be posted not
complaint alleging the violation with later than thirty (30) days after an ap-
the Department of Labor, Employment plication is docketed and remain post-
Standards Administration, Wage and ed while the application is pending be-
Hour Division. The Department of fore the Commission, during the term
Labor may order reinstatement, back of the license, standard design certifi-
pay, and compensatory damages. cation, or standard design approval
(c) A violation of paragraph (a), (e), under 10 CFR part 52, and for 30 days
or (f) of this section by a Commission following license termination or the
licensee, a holder of a standard design expiration or termination of the stand-
approval, an applicant for a Commis- ard design certification or standard de-
sion license, standard design certifi- sign approval under 10 CFR part 52.
cation, or a standard design approval, (2) Copies of NRC Form 3 may be ob-
or a contractor or subcontractor of a tained by writing to the Regional Ad-
Commission licensee, holder of a stand- ministrator of the appropriate U.S. Nu-
ard design approval, or any applicant clear Regulatory Commission Regional
may be grounds for— Office listed in appendix D to part 20 of
this chapter, by calling (301) 415–7232,
(1) Denial, revocation, or suspension
via e-mail to FORMS.Resource@nrc.gov,
of the license or standard design ap-
or by visiting the NRC’s Web site at
proval;
http://www.nrc.gov and selecting forms
(2) Withdrawal or revocation of a pro- from the index found on the NRC’s
posed or final standard design certifi- home page.
cation; (f) No agreement affecting the com-
(3) Imposition of a civil penalty on pensation, terms, conditions, or privi-
the licensee, holder of a standard de- leges of employment, including an
sign approval, or applicant (including agreement to settle a complaint filed
an applicant for a standard design cer- by an employee with the Department
tification under this part following of Labor under Section 211 of the En-
Commission adoption of final design ergy Reorganization Act of 1974, as
certification rule) or a contractor or amended, may contain any provision
subcontractor of the licensee, holder of which would prohibit, restrict, or oth-
a standard design approval, or appli- erwise discourage an employee from
cant. participating in protected activity as
(4) Other enforcement action. defined in paragraph (a)(1) of this sec-
(d) Actions taken by an employer, or tion including, but not limited to, pro-
others, which adversely affect an em- viding information to the NRC or to
ployee may be predicated upon non- his or her employer on potential viola-
discriminatory grounds. The prohibitions or other matters within NRC’s
tion applies when the adverse action regulatory responsibilities.
occurs because the employee has en- (g) Part 19 of this chapter sets forth
gaged in protected activities. An em- requirements and regulatory provisions
ployee’s engagement in protected ac- applicable to licensees, holders of a
tivities does not automatically render standard design approval, applicants
him or her immune from discharge or for a license, standard design certifi-
discipline for legitimate reasons or cation, or standard design approval,

from adverse action dictated by non- and contractors or subcontractors of a
prohibited considerations. Commission licensee, or holder of a
75
§ 52.6 10 CFR Ch. I (1–1–11 Edition)
standard design approval, and are in sion by other reporting or updating re-
addition to the requirements in this quirements.
section.
§ 52.7 Specific exemptions.
FR 63974, Nov. 14, 2007; 73 FR 30458, May 28, The Commission may, upon applica-
2008] tion by any interested person or upon
its own initiative, grant exemptions
§ 52.6 Completeness and accuracy of from the requirements of the regula-
information.
tions of this part. The Commission’s
(a) Information provided to the Com- consideration will be governed by
mission by a licensee (including an § 50.12 of this chapter, unless other cri-
early site permit holder, a combined li- teria are provided for in this part, in
cense holder, and a manufacturing li- which case the Commission’s consider-
cense holder), a holder of a standard ation will be governed by the criteria
design approval under this part, and an in this part. Only if those criteria are
applicant for a license or an applicant not met will the Commission’s consid-
for a standard design certification or a eration be governed by § 50.12 of this
standard design approval under this chapter. The Commission’s consider-
part, and information required by stat- ation of requests for exemptions from
ute or by the Commission’s regula- requirements of the regulations of
tions, orders, license conditions, or other parts in this chapter, which are
terms and conditions of a standard de- applicable by virtue of this part, shall
sign approval to be maintained by the be governed by the exemption require-
licensee, the holder of a standard de- ments of those parts.
sign approval under this part, the ap-
plicant for a standard design certifi- § 52.8 Combining licenses; elimination
cation under this part following Com- of repetition.
mission adoption of a final design cer- (a) An applicant for a license under
tification rule, and an applicant for a this part may combine in its applica-
license, a standard design certification, tion several applications for different
or a standard design approval under kinds of licenses under the regulations
this part shall be complete and accu- of this chapter.
rate in all material respects. (b) An applicant may incorporate by
(b) Each applicant or licensee, each reference in its application informa-
holder of a standard design approval tion contained in previous applica-
under this part, and each applicant for tions, statements or reports filed with
a standard design certification under the Commission, provided, however,
this part following Commission adop- that such references are clear and spe-
tion of a final design certification reg- cific.
ulation, shall notify the Commission of
(c) The Commission may combine in
information identified by the applicant
a single license the activities of an ap-
or the licensee as having for the regu-
plicant which would otherwise be li-
lated activity a significant implication
censed separately.
for public health and safety or common
defense and security. An applicant, li- § 52.9 Jurisdictional limits.
censee, or holder violates this para-
graph only if the applicant, licensee, or No permit, license, standard design
holder fails to notify the Commission approval, or standard design certifi-
of information that the applicant, lication under this part shall be deemed
censee, or holder has been identified as to have been issued for activities which
having a significant implication for are not under or within the jurisdiction
public health and safety or common de- of the United States.
fense and security. Notification shall
be provided to the Administrator of the § 52.10 Attacks and destructive acts.
appropriate Regional Office within 2 Neither an applicant for a license to
working days of identifying the infor- manufacture, construct, and operate a
mation. This requirement is not appli- utilization facility under this part, nor
cable to information which is already for an amendment to this license, or an
required to be provided to the Commis- applicant for an early site permit, a
76
standard design certification, or stand- early site permit from the Commission
ard design approval under this part, or separately from an application for a
for an amendment to the early site per- construction permit or a combined li-
mit, standard design certification, or cense.
standard design approval, is required to
provide for design features or other § 52.15 Filing of applications.
measures for the specific purpose of (a) Any person who may apply for a
protection against the effects of— construction permit under 10 CFR part
(a) Attacks and destructive acts, in- 50, or for a combined license under this
cluding sabotage, directed against the part, may file an application for an
facility by an enemy of the United early site permit with the Director, Of-
States, whether a foreign government fice of New Reactors, or the Director,
or other person; or Office of Nuclear Reactor Regulation,
(b) Use or deployment of weapons in- as appropriate. An application for an
cident to U.S. defense activities. early site permit may be filed notwith-
§ 52.11 Information collection require- standing the fact that an application
ments: OMB approval. for a construction permit or a com-
bined license has not been filed in con-
(a) The Nuclear Regulatory Commis-
nection with the site for which a per-
sion has submitted the information
mit is sought.
collection requirements contained in
this part to the Office of Management (b) The application must comply with
and Budget (OMB) for approval as re- the applicable filing requirements of
quired by the Paperwork Reduction §§ 52.3 and 50.30 of this chapter.
Act (44 U.S.C. 3501 et seq.). The NRC (c) The fees associated with the filing
may not conduct or sponsor, and a per- and review of an application for the
son is not required to respond to, a col- initial issuance or renewal of an early
lection of information unless it dis- site permit are set forth in 10 CFR part
plays a currently valid OMB control 170.
number. OMB has approved the infor-
§ 52.16 Contents of applications; gen-
mation collection requirements con- eral information.
tained in this part under Control Num-
ber 3150–0151. The application must contain all of
(b) The approved information collec- the information required by 10 CFR
tion requirements contained in this 50.33(a) through (d) and (j) of this chap-
part appear in §§ 52.7, 52.15, 52.16, 52.17, ter.
52.29, 52.35, 52.39, 52.45, 52.46, 52.47, 52.57,
52.63, 52.75, 52.77, 52.79, 52.80, 52.93, 52.99, § 52.17 Contents of applications; tech-
52.110, 52.135, 52.136, 52.137, 52.155, 52.156, nical information.
52.157, 52.158, 52.171, 52.177, and appen- (a) For applications submitted before
dices A, B, C, D, and N of part 52. September 27, 2007, the rule provisions
in effect at the date of docketing apply
Subpart A—Early Site Permits unless otherwise requested by the ap-
plicant in writing. The application
§ 52.12 Scope of subpart. must contain:
This subpart sets out the require- (1) A site safety analysis report. The
ments and procedures applicable to site safety analysis report shall include
Commission issuance of an early site the following:
permit for approval of a site for one or (i) The specific number, type, and
more nuclear power facilities separate thermal power level of the facilities, or
from the filing of an application for a range of possible facilities, for which
construction permit or combined li- the site may be used;
cense for the facility. (ii) The anticipated maximum levels
of radiological and thermal effluents
§ 52.13 Relationship to other subparts. each facility will produce;
This subpart applies when any person (iii) The type of cooling systems, in-
who may apply for a construction per- takes, and outflows that may be associ-
mit under 10 CFR part 50, or for a com- ated with each facility;
bined license under this part seeks an (iv) The boundaries of the site;
77
§ 52.17 10 CFR Ch. I (1–1–11 Edition)
(v) The proposed general location of onset of the postulated fission product
each facility on the site; release, would not receive a radiation
(vi) The seismic, meteorological, hy- dose in excess of 25 rem 2 total effective
drologic, and geologic characteristics dose equivalent (TEDE).
of the proposed site with appropriate (B) An individual located at any
consideration of the most severe of the point on the outer boundary of the low
natural phenomena that have been his- population zone, who is exposed to the
torically reported for the site and sur- radioactive cloud resulting from the
rounding area and with sufficient mar- postulated fission product release (dur-
gin for the limited accuracy, quantity, ing the entire period of its passage)
and period of time in which the histor- would not receive a radiation dose in
ical data have been accumulated; excess of 25 rem TEDE;
(vii) The location and description of (x) Information demonstrating that
any nearby industrial, military, or
site characteristics are such that ade-
transportation facilities and routes;
quate security plans and measures can
(viii) The existing and projected fu-
be developed;
ture population profile of the area sur-
rounding the site; (xi) For applications submitted after
(ix) A description and safety assess- September 27, 2007, a description of the
ment of the site on which a facility is quality assurance program applied to
to be located. The assessment must site-related activities for the future de-
contain an analysis and evaluation of sign, fabrication, construction, and
the major structures, systems, and testing of the structures, systems, and
components of the facility that bear components of a facility or facilities
significantly on the acceptability of that may be constructed on the site.
the site under the radiological con- Appendix B to 10 CFR part 50 sets forth
sequence evaluation factors identified the requirements for quality assurance
in paragraphs (a)(1)(ix)(A) and programs for nuclear power plants. The
(a)(1)(ix)(B) of this section. In per- description of the quality assurance
forming this assessment, an applicant program for a nuclear power plant site
shall assume a fission product release 1 shall include a discussion of how the
from the core into the containment as- applicable requirements of appendix B
suming that the facility is operated at to part 50 of this chapter will be satis-
the ultimate power level contemplated. fied; and
The applicant shall perform an evalua- (xii) An evaluation of the site against
tion and analysis of the postulated fis- applicable sections of the Standard Re-
sion product release, using the ex- view Plan (SRP) revision in effect 6
pected demonstrable containment leak months before the docket date of the
rate and any fission product cleanup application. The evaluation required by
systems intended to mitigate the con- this section shall include an identifica-
sequences of the accidents, together tion and description of all differences
with applicable site characteristics, in-
cluding site meteorology, to evaluate 2 A whole body dose of 25 rem has been stat-
the offsite radiological consequences. ed to correspond numerically to the once in

Site characteristics must comply with a lifetime accidental or emergency dose for
part 100 of this chapter. The evaluation radiation workers which, according to NCRP
must determine that: recommendations at the time could be dis-
(A) An individual located at any regarded in the determination of their radi-
ation exposure status (see NBS Handbook 69
point on the boundary of the exclusion
dated June 5, 1959). However, its use is not
area for any 2 hour period following the intended to imply that this number con-
stitutes an acceptable limit for an emer-
1 The fission product release assumed for gency dose to the public under accident con-
this evaluation should be based upon a major ditions. Rather, this dose value has been set
accident, hypothesized for purposes of site forth in this section as a reference value,
analysis or postulated from considerations of which can be used in the evaluation of plant
possible accidental events. Such accidents design features with respect to postulated re-
have generally been assumed to result in actor accidents, to assure that these designs
substantial meltdown of the core with subse- provide assurance of low risk of public expo-
quent release into the containment of appre- sure to radiation, in the event of an acci-
ciable quantities of fission products. dents.
78
in analytical techniques and proce- ance criteria that are necessary and
dural measures proposed for a site and sufficient to provide reasonable assur-
those corresponding techniques and ance that, if the inspections, tests, and
measures given in the SRP acceptance analyses are performed and the accept-
criteria. Where such a difference exists, ance criteria met, the facility has been
the evaluation shall discuss how the constructed and will be operated in
proposed alternative provides an ac- conformity with the emergency plans,
ceptable method of complying with the the provisions of the Act, and the Com-
Commission’s regulations, or portions mission’s rules and regulations. Major
thereof, that underlie the cor- features of an emergency plan sub-
responding SRP acceptance criteria. mitted under paragraph (b)(2)(i) of this
The SRP is not a substitute for the reg- section may include proposed inspec-
ulations, and compliance is not a re- tions, tests, analyses, and acceptance
quirement. criteria.
(2) A complete environmental report (4) Under paragraphs (b)(1) and
as required by 10 CFR 51.50(b). (b)(2)(i) of this section, the site safety
(b)(1) The site safety analysis report analysis report must include a descrip-
must identify physical characteristics tion of contacts and arrangements
of the proposed site, such as egress lim- made with Federal, State, and local
itations from the area surrounding the governmental agencies with emergency
site, that could pose a significant im- planning responsibilities. The site safe-
pediment to the development of emer- ty analysis report must contain any
gency plans. If physical characteristics certifications that have been obtained.
are identified that could pose a signifi- If these certifications cannot be ob-
cant impediment to the development of tained, the site safety analysis report
emergency plans, the application must must contain information, including a
identify measures that would, when utility plan, sufficient to show that the
implemented, mitigate or eliminate proposed plans provide reasonable as-
the significant impediment. surance that adequate protective meas-
(2) The site safety analysis report ures can and will be taken in the event
may also: of a radiological emergency at the site.
(i) Propose major features of the Under the option set forth in paragraph
emergency plans, in accordance with (b)(2)(ii) of this section, the applicant
the pertinent standards of 10 CFR 50.47, shall make good faith efforts to obtain
and the requirements of appendix E to from the same governmental agencies
10 CFR part 50, such as the exact size certifications that:
and configuration of the emergency (i) The proposed emergency plans are
planning zones, for review and approval practicable;
by NRC, in consultation with the De- (ii) These agencies are committed to
partment of Homeland Security (DHS) participating in any further develop-
in the absence of complete and inte- ment of the plans, including any re-
grated emergency plans; or quired field demonstrations, and
(ii) Propose complete and integrated (iii) That these agencies are com-
emergency plans for review and ap- mitted to executing their responsibil-
proval by the NRC, in consultation ities under the plans in the event of an
with DHS, in accordance with the ap- emergency.
plicable standards of 10 CFR 50.47, and (c) An applicant may request that a
the requirements of appendix E to 10 limited work authorization under 10
CFR part 50. To the extent approval of CFR 50.10 be issued in conjunction with
emergency plans is sought, the applica- the early site permit. The application
tion must contain the information re- must include the information other-
quired by §§ 50.33(g) and (j) of this chap- wise required by 10 CFR 50.10(d)(3). Ap-
ter. plications submitted before, and pend-
(3) Emergency plans submitted under ing as of November 8, 2007, must in-
paragraph (b)(2)(ii) of this section must clude the information required by
include the proposed inspections, tests, § 52.17(c) effective on the date of dock-
and analyses that the holder of a com- eting.

bined license referencing the early site (d) Each applicant for an early site
permit shall perform, and the accept- permit under this part shall protect
79
§ 52.18 10 CFR Ch. I (1–1–11 Edition)
Safeguards Information against unau- by any party concerning an assessment

thorized disclosure in accordance with of the benefits of construction and op-
the requirements in §§ 73.21 and 73.22 of eration of the reactor or reactors, or an
this chapter, as applicable. analysis of alternative energy sources
[72 FR 49517, Aug. 28, 2007, as amended at 72 if those issues were not addressed by
FR 57447, Oct. 9, 2007; 73 FR 63571, Oct. 24, the applicant in the early site permit
2008] application. All hearings conducted on
applications for early site permits filed
§ 52.18 Standards for review of appli- under this part are governed by the
cations. procedures contained in subparts C, G,
Applications filed under this subpart L, and N of 10 CFR part 2, as applica-
will be reviewed according to the appli- ble.
cable standards set out in 10 CFR part
50 and its appendices and 10 CFR part § 52.23 Referral to the Advisory Com-
100. In addition, the Commission shall mittee on Reactor Safeguards
prepare an environmental impact (ACRS).
statement during review of the applica- The Commission shall refer a copy of
tion, in accordance with the applicable the application for an early site permit
provisions of 10 CFR part 51. The Com- to the ACRS. The ACRS shall report on
mission shall determine, after con- those portions of the application which
sultation with DHS, whether the infor- concern safety.
mation required of the applicant by
§ 52.17(b)(1) shows that there is no sig- § 52.24 Issuance of early site permit.
nificant impediment to the develop- (a) After conducting a hearing under
ment of emergency plans that cannot § 52.21 and receiving the report to be
be mitigated or eliminated by meas- submitted by the ACRS under § 52.23,
ures proposed by the applicant, wheth- the Commission may issue an early
er any major features of emergency site permit, in the form the Commis-
plans submitted by the applicant under sion deems appropriate, if the Commis-
§ 52.17(b)(2)(i) are acceptable in accord- sion finds that:
ance with the applicable standards of
(1) An application for an early site
10 CFR 50.47 and the requirements of
permit meets the applicable standards
appendix E to 10 CFR part 50, and
and requirements of the Act and the
whether any emergency plans sub-
Commission’s regulations;
mitted by the applicant under
§ 52.17(b)(2)(ii) provide reasonable assur- (2) Notifications, if any, to other
ance that adequate protective meas- agencies or bodies have been duly
ures can and will be taken in the event made;
of a radiological emergency. (3) There is reasonable assurance
that the site is in conformity with the
§ 52.21 Administrative review of appli- provisions of the Act, and the Commis-
cations; hearings. sion’s regulations;
An early site permit is subject to all (4) The applicant is technically quali-
procedural requirements in 10 CFR part fied to engage in any activities author-
2, including the requirements for dock- ized;
eting in § 2.101(a)(1) through (4) of this (5) The proposed inspections, tests,
chapter, and the requirements for analyses and acceptance criteria, in-
issuance of a notice of hearing in cluding any on emergency planning,
§§ 2.104(a) and (d) of this chapter, pro- are necessary and sufficient, within the
vided that the designated sections may scope of the early site permit, to pro-
not be construed to require that the vide reasonable assurance that the fa-
environmental report, or draft or final cility has been constructed and will be
environmental impact statement in- operated in conformity with the li-
clude an assessment of the benefits of cense, the provisions of the Act, and
construction and operation of the reac- the Commission’s regulations;
tor or reactors, or an analysis of alter- (6) Issuance of the permit will not be
native energy sources. The presiding inimical to the common defense and se-
officer in an early site permit hearing curity or to the health and safety of
shall not admit contentions proffered the public;
80
(7) Any significant adverse environ- permit application or a combined li-

mental impact resulting from activi- cense application that references the
ties requested under § 52.17(c) can be re- early site permit and is docketed be-
dressed; and fore the date of expiration of the early
(8) The findings required by subpart site permit, or, if a timely application
A of 10 CFR part 51 have been made. for renewal of the permit has been
(b) The early site permit must speci- docketed, before the Commission has
fy the site characteristics, design pa- determined whether to renew the per-
rameters, and terms and conditions of mit.
the early site permit the Commission (c) An applicant for a construction
deems appropriate. Before issuance of permit or combined license may, at its
either a construction permit or com- own risk, reference in its application a
bined license referencing an early site site for which an early site permit ap-
permit, the Commission shall find that plication has been docketed but not
any relevant terms and conditions of granted.
the early site permit have been met. (d) Upon issuance of a construction
Any terms or conditions of the early permit or combined license, a ref-
site permit that could not be met by erenced early site permit is subsumed,
the time of issuance of the construc- to the extent referenced, into the con-
tion permit or combined license, must struction permit or combined license.
be set forth as terms or conditions of
the construction permit or combined [72 FR 49517, Aug. 28, 2007. Redesignated at 72
FR 57447, Oct. 9, 2007]
license.
(c) The early site permit shall specify § 52.27 Limited work authorization
those 10 CFR 50.10 activities requested after issuance of early site permit.
under § 52.17(c) that the permit holder
is authorized to perform. A holder of an early site permit may
request a limited work authorization
[72 FR 49517, Aug. 28, 2007, as amended at 72 in accordance with § 50.10 of this chap-
FR 57447, Oct. 9, 2007] ter.
§ 52.25 Extent of activities permitted. [72 FR 57447, Oct. 9, 2007]
If the activities authorized by
§ 52.28 Transfer of early site permit.
§ 52.24(c) are performed and the site is
not referenced in an application for a An application to transfer an early
construction permit or a combined li- site permit will be processed under 10
cense issued under subpart C of this CFR 50.80.
part while the permit remains valid,
then the early site permit remains in § 52.29 Application for renewal.
effect solely for the purpose of site re- (a) Not less than 12, nor more than 36
dress, and the holder of the permit months before the expiration date stat-
shall redress the site in accordance ed in the early site permit, or any later
with the terms of the site redress plan renewal period, the permit holder may
required by § 52.17(c). If, before redress apply for a renewal of the permit. An
is complete, a use not envisaged in the application for renewal must contain
redress plan is found for the site or all information necessary to bring up
parts thereof, the holder of the permit to date the information and data con-
shall carry out the redress plan to the tained in the previous application.
greatest extent possible consistent (b) Any person whose interests may
with the alternate use. be affected by renewal of the permit
may request a hearing on the applica-
§ 52.26 Duration of permit. tion for renewal. The request for a
(a) Except as provided in paragraph hearing must comply with 10 CFR 2.309.
(b) of this section, an early site permit If a hearing is granted, notice of the
issued under this subpart may be valid hearing will be published in accordance
for not less than 10, nor more than 20 with 10 CFR 2.309.
years from the date of issuance. (c) An early site permit, either origi-
(b) An early site permit continues to nal or renewed, for which a timely ap-
be valid beyond the date of expiration plication for renewal has been filed, re-
in any proceeding on a construction mains in effect until the Commission
81
§ 52.31 10 CFR Ch. I (1–1–11 Edition)
has determined whether to renew the location of other types of energy facili-
permit. If the permit is not renewed, it ties. The permit holder shall inform
continues to be valid in certain pro- the Director, Office of New Reactors or
ceedings in accordance with the provi- Director, Office of Nuclear Reactor
sions of § 52.27(b). Regulation, as appropriate, (Director)
(d) The Commission shall refer a copy of any significant uses for the site
of the application for renewal to the which have not been approved in the
ACRS. The ACRS shall report on those early site permit. The information
portions of the application which con- about the activities must be given to
cern safety and shall apply the criteria the Director at least 30 days in advance
set forth in § 52.31. of any actual construction or site
modification for the activities. The in-
§ 52.31 Criteria for renewal. formation provided could be the basis
(a) The Commission shall grant the for imposing new requirements on the
renewal if it determines that: permit, in accordance with the provi-
(1) The site complies with the Act, sions of § 52.39. If the permit holder in-
the Commission’s regulations, and or- forms the Director that the holder no
ders applicable and in effect at the longer intends to use the site for a nu-
time the site permit was originally clear power plant, the Director may
issued; and terminate the permit.
(2) Any new requirements the Com- [73 FR 5724, Jan. 31, 2008]
mission may wish to impose are:
(i) Necessary for adequate protection § 52.39 Finality of early site permit de-
to public health and safety or common terminations.
defense and security; (a) Commission finality. (1) Notwith-
(ii) Necessary for compliance with standing any provision in 10 CFR 50.109,
the Commission’s regulations, and or- while an early site permit is in effect
ders applicable and in effect at the under §§ 52.27 or 52.33, the Commission
time the site permit was originally may not change or impose new site
issued; or characteristics, design parameters, or
(iii) A substantial increase in overall terms and conditions, including emer-
protection of the public health and gency planning requirements, on the
safety or the common defense and secu- early site permit unless the Commis-
rity to be derived from the new re- sion:
quirements, and the direct and indirect (i) Determines that a modification is
costs of implementation of those re- necessary to bring the permit or the
quirements are justified in view of this site into compliance with the Commis-
increased protection. sion’s regulations and orders applicable
(b) A denial of renewal for failure to and in effect at the time the permit
comply with the provisions of § 52.31(a) was issued;
does not bar the permit holder or an- (ii) Determines the modification is
other applicant from filing a new appli- necessary to assure adequate protec-
cation for the site which proposes tion of the public health and safety or
changes to the site or the way that it the common defense and security;
is used to correct the deficiencies cited (iii) Determines that a modification
in the denial of the renewal. is necessary based on an update under
paragraph (b) of this section; or
§ 52.33 Duration of renewal. (iv) Issues a variance requested under
Each renewal of an early site permit paragraph (d) of this section.
may be for not less than 10, nor more (2) In making the findings required
than 20 years, plus any remaining for issuance of a construction permit
years on the early site permit then in or combined license, or the findings re-
effect before renewal. quired by § 52.103, or in any enforce-
ment hearing other than one initiated
§ 52.35 Use of site for other purposes. by the Commission under paragraph
A site for which an early site permit (a)(1) of this section, if the application
has been issued under this subpart may for the construction permit or com-
be used for purposes other than those bined license references an early site
described in the permit, including the permit, the Commission shall treat as
82
resolved those matters resolved in the stantially alters the bases for a pre-
proceeding on the application for vious NRC conclusion or constitutes a
issuance or renewal of the early site sufficient basis for the Commission to
permit, except as provided for in para- modify or impose new terms and condi-
graphs (b), (c), and (d) of this section. tions related to emergency prepared-
(i) If the early site permit approved ness; or
an emergency plan (or major features (v) Any significant environmental
thereof) that is in use by a licensee of issue that was not resolved in the early
a nuclear power plant, the Commission site permit proceeding, or any issue in-
shall treat as resolved changes to the volving the impacts of construction
early site permit emergency plan (or and operation of the facility that was
major features thereof) that are iden- resolved in the early site permit pro-
tical to changes made to the licensee’s
ceeding for which significant new in-
emergency plans in compliance with
formation has been identified.
§ 50.54(q) of this chapter occurring after
issuance of the early site permit. (2) Any person may file a petition re-
(ii) If the early site permit approved questing that the site characteristics,
an emergency plan (or major features design parameters, or terms and condi-
thereof) that is not in use by a licensee tions of the early site permit should be
of a nuclear power plant, the Commis- modified, or that the permit should be
sion shall treat as resolved changes suspended or revoked. The petition will
that are equivalent to those that could be considered in accordance with § 2.206
be made under § 50.54(q) of this chapter of this chapter. Before construction
without prior NRC approval had the commences, the Commission shall con-
emergency plan been in use by a li- sider the petition and determine
censee. whether any immediate action is re-
(b) Updating of early site permit-emer- quired. If the petition is granted, an
gency preparedness. An applicant for a appropriate order will be issued. Con-
construction permit, operating license, struction under the construction per-
or combined license who has filed an mit or combined license will not be af-
application referencing an early site fected by the granting of the petition
permit issued under this subpart shall unless the order is made immediately
update the emergency preparedness ineffective. Any change required by the
formation that was provided under Commission in response to the petition
§ 52.17(b), and discuss whether the up- must meet the requirements of para-
dated information materially changes graph (a)(1) of this section.
the bases for compliance with applica- (d) Variances. An applicant for a con-
ble NRC requirements. struction permit, operating license, or
(c) Hearings and petitions. (1) In any combined license referencing an early
proceeding for the issuance of a con- site permit may include in its applica-
struction permit, operating license, or
tion a request for a variance from one
combined license referencing an early
or more site characteristics, design pa-
site permit, contentions on the fol-
rameters, or terms and conditions of
lowing matters may be litigated in the
same manner as other issues material the early site permit, or from the site
to the proceeding: safety analysis report. In determining
(i) The nuclear power reactor pro- whether to grant the variance, the
posed to be built does not fit within Commission shall apply the same tech-
one or more of the site characteristics nically relevant criteria applicable to
or design parameters included in the the application for the original or re-
early site permit; newed early site permit. Once a con-
(ii) One or more of the terms and construction permit or combined license
ditions of the early site permit have referencing an early site permit is
not been met; issued, variances from the early site
(iii) A variance requested under para- permit will not be granted for that con-
graph (d) of this section is unwarranted struction permit or combined license.
or should be modified; (e) Early site permit amendment. The

(iv) New or additional information is holder of an early site permit may not
provided in the application that sub- make changes to the early site permit,
83
§ 52.41 10 CFR Ch. I (1–1–11 Edition)
including the site safety analysis re- filed under subpart C of this part for a
port, without prior Commission ap- nuclear power facility. An applicant for
proval. The request for a change to the a combined license may reference a
early site permit must be in the form standard design certification.
of an application for a license amend- (b) Subpart E of this part governs the
ment, and must meet the requirements NRC staff review and approval of a
of 10 CFR 50.90 and 50.92. final standard design. Subpart E may
(f) Information requests. Except for in- be used independently of the provisions
formation requests seeking to verify in this subpart.
compliance with the current licensing (c) Subpart F of this part governs the
basis of the early site permit, informa- issuance of licenses to manufacture nu-
tion requests to the holder of an early clear power reactors to be installed and
site permit must be evaluated before operated at sites not identified in the
issuance to ensure that the burden to manufacturing license application.
be imposed on respondents is justified Subpart F may be used independently
in view of the potential safety signifi- of the provisions in this subpart. How-
cance of the issue to be addressed in ever, an applicant for a manufacturing
the requested information. Each eval- license under subpart F may reference
uation performed by the NRC staff a design certification.
must be in accordance with 10 CFR
50.54(f), and must be approved by the § 52.45 Filing of applications.
Executive Director for Operations or (a) An application for design certifi-
his or her designee before issuance of cation may be filed notwithstanding
the request. the fact that an application for a con-
struction permit, combined license, or
Subpart B—Standard Design manufacturing license for such a facil-
Certifications ity has not been filed.
(b) The application must comply with
§ 52.41 Scope of subpart. the applicable filing requirements of
(a) This subpart sets forth the re- §§ 52.3 and §§ 2.811 through 2.819 of this
quirements and procedures applicable chapter.
to Commission issuance of rules grant- (c) The fees associated with the re-
ing standard design certifications for view of an application for the initial
nuclear power facilities separate from issuance or renewal of a standard de-
the filing of an application for a consign certification are set forth in 10
struction permit or combined license CFR part 170.
for such a facility.
(b)(1) Any person may seek a stand- § 52.46 Contents of applications; gen-
ard design certification for an essen- eral information.
tially complete nuclear power plant de- The application must contain all of
sign which is an evolutionary change the information required by 10 CFR
from light water reactor designs of 50.33(a) through (c) and (j).
plants which have been licensed and in
commercial operation before April 18, § 52.47 Contents of applications; tech-
1989. nical information.
(2) Any person may also seek a stand- The application must contain a level
ard design certification for a nuclear of design information sufficient to en-
power plant design which differs sig- able the Commission to judge the ap-
nificantly from the light water reactor plicant’s proposed means of assuring
designs described in paragraph (b)(1) of that construction conforms to the de-
this section or uses simplified, inher- sign and to reach a final conclusion on
ent, passive, or other innovative means all safety questions associated with the
to accomplish its safety functions. design before the certification is grant-
ed. The information submitted for a de-
§ 52.43 Relationship to other subparts. sign certification must include per-
(a) This subpart applies to a person formance requirements and design in-
that requests a standard design certifi- formation sufficiently detailed to per-

cation from the NRC separately from mit the preparation of acceptance and
an application for a combined license inspection requirements by the NRC,
84
and procurement specifications and (ii) The extent to which generally ac-
construction and installation specifica- cepted engineering standards are ap-
tions by an applicant. The Commission plied to the design of the reactor;
will require, before design certifi- (iii) The extent to which the reactor
cation, that information normally con- incorporates unique, unusual or en-
tained in certain procurement speci- hanced safety features having a signifi-
fications and construction and installa- cant bearing on the probability or con-
tion specifications be completed and sequences of accidental release of ra-
available for audit if the information is dioactive materials; and
necessary for the Commission to make (iv) The safety features that are to be
its safety determination. engineered into the facility and those
(a) The application must contain a barriers that must be breached as a re-
final safety analysis report (FSAR) sult of an accident before a release of
that describes the facility, presents the radioactive material to the environ-
design bases and the limits on its oper- ment can occur. Special attention
ation, and presents a safety analysis of must be directed to plant design fea-
the structures, systems, and compo- tures intended to mitigate the radio-
nents and of the facility as a whole, logical consequences of accidents. In
and must include the following infor- performing this assessment, an appli-
mation: cant shall assume a fission product re-
(1) The site parameters postulated for lease 3 from the core into the contain-
the design, and an analysis and evalua- ment assuming that the facility is op-
tion of the design in terms of those site erated at the ultimate power level con-
parameters; templated. The applicant shall perform
(2) A description and analysis of the an evaluation and analysis of the pos-
structures, systems, and components tulated fission product release, using
(SSCs) of the facility, with emphasis the expected demonstrable contain-
upon performance requirements, the ment leak rate and any fission product
bases, with technical justification cleanup systems intended to mitigate
therefor, upon which these require- the consequences of the accidents, to-
ments have been established, and the gether with applicable postulated site
evaluations required to show that safe- parameters, including site meteor-
ty functions will be accomplished. It is ology, to evaluate the offsite radio-
expected that the standard plant will logical consequences. The evaluation
reflect through its design, construc- must determine that:
tion, and operation an extremely low (A) An individual located at any
probability for accidents that could re- point on the boundary of the exclusion
sult in the release of significant quan- area for any 2-hour period following
tities of radioactive fission products. the onset of the postulated fission
The description shall be sufficient to product release, would not receive a ra-
permit understanding of the system de- diation dose in excess of 25 rem 4 total
signs and their relationship to the safe- effective dose equivalent (TEDE);
ty evaluations. Such items as the reac-
3 The fission product release assumed for
tor core, reactor coolant system, in-
strumentation and control systems, this evaluation should be based upon a major
electrical systems, containment sys- accident, hypothesized for purposes of site
analysis or postulated from considerations of
tem, other engineered safety features, possible accidental events. These accidents
auxiliary and emergency systems, have generally been assumed to result in
power conversion systems, radioactive substantial meltdown of the core with subse-
waste handling systems, and fuel han- quent release into the containment of appre-
dling systems shall be discussed insofar ciable quantities of fission products.
4 A whole body dose of 25 rem has been stat-
as they are pertinent. The following
power reactor design characteristics ed to correspond numerically to the once in
will be taken into consideration by the a lifetime accidental or emergency dose for
radiation workers which, according to NCRP
Commission: recommendations at the time could be dis-
(i) Intended use of the reactor includ-
regarded in the determination of their radi-

ing the proposed maximum power level ation exposure status (see NBS Handbook 69
and the nature and inventory of con- dated June 5, 1959). However, its use is not
tained radioactive materials; Continued
85
§ 52.47 10 CFR Ch. I (1–1–11 Edition)
(B) An individual located at any lowing postulated loss-of-coolant acci-

point on the outer boundary of the low dents shall be performed in accordance
population zone, who is exposed to the with the requirements of §§ 50.46 and
radioactive cloud resulting from the 50.46a of this chapter;
postulated fission product release (dur- (5) The kinds and quantities of radio-
ing the entire period of its passage) active materials expected to be pro-
would not receive a radiation dose in duced in the operation and the means
excess of 25 rem TEDE; for controlling and limiting radio-
(3) The design of the facility includ-
active effluents and radiation expo-
ing:
sures within the limits set forth in part
(i) The principal design criteria for
the facility. Appendix A to 10 CFR part 20 of this chapter;
50, general design criteria (GDC), estab- (6) The information required by
lishes minimum requirements for the § 20.1406 of this chapter;
principal design criteria for water- (7) The technical qualifications of the
cooled nuclear power plants similar in applicant to engage in the proposed ac-
design and location to plants for which tivities in accordance with the regula-
construction permits have previously tions in this chapter;
been issued by the Commission and (8) The information necessary to
provides guidance to applicants in es- demonstrate compliance with any tech-
tablishing principal design criteria for nically relevant portions of the Three
other types of nuclear power units; Mile Island requirements set forth in 10
(ii) The design bases and the relation CFR 50.34(f), except paragraphs
of the design bases to the principal de- (f)(1)(xii), (f)(2)(ix), and (f)(3)(v);
sign criteria; (9) For applications for light-water-
(iii) Information relative to mate- cooled nuclear power plants, an evalua-
rials of construction, general arrange-
tion of the standard plant design
ment, and approximate dimensions,
against the Standard Review Plan
sufficient to provide reasonable assur-
ance that the design will conform to (SRP) revision in effect 6 months be-
the design bases with an adequate mar- fore the docket date of the application.
gin for safety; The evaluation required by this section
(4) An analysis and evaluation of the shall include an identification and de-
design and performance of structures, scription of all differences in design
systems, and components with the ob- features, analytical techniques, and
jective of assessing the risk to public procedural measures proposed for the
health and safety resulting from oper- design and those corresponding fea-
ation of the facility and including de- tures, techniques, and measures given
termination of the margins of safety in the SRP acceptance criteria. Where
during normal operations and transient a difference exists, the evaluation shall
conditions anticipated during the life discuss how the proposed alternative
of the facility, and the adequacy of provides an acceptable method of com-
structures, systems, and components plying with the Commission’s regula-
provided for the prevention of acci- tions, or portions thereof, that underlie
dents and the mitigation of the con- the corresponding SRP acceptance cri-
sequences of accidents. Analysis and teria. The SRP is not a substitute for
evaluation of emergency core cooling the regulations, and compliance is not
system (ECCS) cooling performance a requirement.
and the need for high-point vents fol-
(10) The information with respect to
the design of equipment to maintain
intended to imply that this number con-
control over radioactive materials in
gency dose to the public under accident con- gaseous and liquid effluents produced
ditions. This dose value has been set forth in during normal reactor operations de-
this section as a reference value, which can scribed in 10 CFR 50.34a(e);
be used in the evaluation of plant design fea- (11) Proposed technical specifications
tures with respect to postulated reactor acci- prepared in accordance with the re-
dents, to assure that these designs provide
assurance of low risk of public exposure to
quirements of §§ 50.36 and 50.36a of this
radiation, in the event of an accident. chapter;
86
(12) An analysis and description of (22) The information necessary to

the equipment and systems for combus- demonstrate how operating experience
tible gas control as required by 10 CFR insights have been incorporated into
50.44; the plant design;
(13) The list of electric equipment (23) For light-water reactor designs, a
important to safety that is required by description and analysis of design fea-
10 CFR 50.49(d); tures for the prevention and mitigation
(14) A description of protection proof severe accidents, e.g., challenges to
vided against pressurized thermal containment integrity caused by core-
shock events, including projected val- concrete interaction, steam explosion,
ues of the reference temperature for re- high-pressure core melt ejection, hy-
actor vessel beltline materials as de- drogen combustion, and containment
fined in 10 CFR 50.60 and 50.61; bypass;
(15) Information demonstrating how (24) A representative conceptual de-
the applicant will comply with require- sign for those portions of the plant for
ments for reduction of risk from an- which the application does not seek
ticipated transients without scram certification, to aid the NRC in its re-
events in § 50.62; view of the FSAR and to permit assess-
ment of the adequacy of the interface
(16) A coping analysis, and any design
requirements in paragraph (a)(25) of
features necessary to address station
this section;
blackout, as required by 10 CFR 50.63;
(25) The interface requirements to be
(17) Information demonstrating how met by those portions of the plant for
the applicant will comply with require- which the application does not seek
ments for criticality accidents in certification. These requirements must
§ 50.68(b)(2)–(b)(4); be sufficiently detailed to allow com-
(18) A description and analysis of the pletion of the FSAR;
fire protection design features for the (26) Justification that compliance
standard plant necessary to comply with the interface requirements of
with 10 CFR part 50, appendix A, GDC paragraph (a)(25) of this section is
3, and § 50.48 of this chapter; verifiable through inspections, tests, or
(19) A description of the quality as- analyses. The method to be used for
surance program applied to the design verification of interface requirements
of the structures, systems, and compo- must be included as part of the pro-
nents of the facility. Appendix B to 10 posed ITAAC required by paragraph
CFR part 50, ‘‘Quality Assurance Cri- (b)(1) of this section; and
teria for Nuclear Power Plants and (27) A description of the design-spe-
Fuel Reprocessing Plants,’’ sets forth cific probabilistic risk assessment
the requirements for quality assurance (PRA) and its results.
programs for nuclear power plants. The (28) For applications for standard de-
description of the quality assurance sign certifications which are subject to
program for a nuclear power plant 10 CFR 50.150(a), the information re-
shall include a discussion of how the quired by 10 CFR 50.150(b).
applicable requirements of appendix B (b) The application must also con-
to 10 CFR part 50 were satisfied; tain:
(20) The information necessary to (1) The proposed inspections, tests,
demonstrate that the standard plant analyses, and acceptance criteria that
complies with the earthquake engi- are necessary and sufficient to provide
neering criteria in 10 CFR part 50, ap- reasonable assurance that, if the in-
pendix S; spections, tests, and analyses are per-
(21) Proposed technical resolutions of formed and the acceptance criteria
those Unresolved Safety Issues and met, a facility that incorporates the
medium- and high-priority generic design certification has been con-
safety issues which are identified in structed and will be operated in con-
the version of NUREG–0933 current on formity with the design certification,
the date up to 6 months before the the provisions of the Act, and the Com-
docket date of the application and mission’s rules and regulations; and
which are technically relevant to the (2) An environmental report as re-
design; quired by 10 CFR 51.55.
87
§ 52.48 10 CFR Ch. I (1–1–11 Edition)
(c) This paragraph applies, according § 52.51 Administrative review of appli-

to its provisions, to particular applica- cations.
tions: (a) A standard design certification is
(1) An application for certification of a rule that will be issued in accordance
a nuclear power reactor design that is with the provisions of subpart H of 10
an evolutionary change from light- CFR part 2, as supplemented by the
water reactor designs of plants that provisions of this section. The Commis-
have been licensed and in commercial sion shall initiate the rulemaking after
operation before April 18, 1989, must an application has been filed under
provide an essentially complete nu- § 52.45 and shall specify the procedures
clear power plant design except for to be used for the rulemaking. The no-
site-specific elements such as the serv-
tice of proposed rulemaking published
ice water intake structure and the ulti-
in the FEDERAL REGISTER must provide
mate heat sink;
an opportunity for the submission of
(2) An application for certification of
comments on the proposed design cer-
a nuclear power reactor design that dif-
tification rule. If, at the time a pro-
fers significantly from the light-water
posed design certification rule is pub-
reactor designs described in paragraph
lished in the FEDERAL REGISTER under
(c)(1) of this section or uses simplified,
this paragraph (a), the Commission de-
inherent, passive, or other innovative
means to accomplish its safety func- cides that a legislative hearing should
tions must provide an essentially com- be held, the information required by 10
plete nuclear power reactor design ex- CFR 2.1502(c) must be included in the
cept for site-specific elements such as FEDERAL REGISTER document for the
the service water intake structure and proposed design certification.
the ultimate heat sink, and must meet (b) Following the submission of com-
the requirements of 10 CFR 50.43(e); ments on the proposed design certifi-
and cation rule, the Commission may, at
(3) An application for certification of its discretion, hold a legislative hear-
a modular nuclear power reactor design ing under the procedures in subpart O
must describe and analyze the possible of part 2 of this chapter. The Commis-
operating configurations of the reactor sion shall publish a document in the
modules with common systems, inter- FEDERAL REGISTER of its decision to
face requirements, and system inter- hold a legislative hearing. The docu-
actions. The final safety analysis must ment shall contain the information
also account for differences among the specified in paragraph (c) of this sec-
configurations, including any restriction, and specify whether the Commis-
tions that will be necessary during the sion or a presiding officer will conduct
construction and startup of a given the legislative hearing.
module to ensure the safe operation of (c) Notwithstanding anything in 10
any module already operating. CFR 2.390 to the contrary, proprietary
(d) Each applicant for a standard de- information will be protected in the
sign certification under this part shall same manner and to the same extent as
protect Safeguards Information against proprietary information submitted in
unauthorized disclosure in accordance connection with applications for li-
with the requirements in §§ 73.21 and censes, provided that the design certifi-
73.22 of this chapter, as applicable. cation shall be published in Chapter I
of this title.
FR 63571, Oct. 24, 2008; 74 FR 28147, June 12,
2009] § 52.53 Referral to the Advisory Com-
mittee on Reactor Safeguards
§ 52.48 Standards for review of appli- (ACRS).
cations. The Commission shall refer a copy of
Applications filed under this subpart the application to the ACRS. The
will be reviewed for compliance with ACRS shall report on those portions of
the standards set out in 10 CFR parts the application which concern safety.
20, 50 and its appendices, 51, 73, and 100.
88
§ 52.54 Issuance of standard design tional Security Information until the

certification. individual and/or facility has been ap-
(a) After conducting a rulemaking proved for access under the provisions
proceeding under § 52.51 on an applica- of 10 CFR parts 25 and/or 95, as applica-
tion for a standard design certification ble.
and receiving the report to be sub-
mitted by the Advisory Committee on § 52.55 Duration of certification.
Reactor Safeguards under § 52.53, the (a) Except as provided in paragraph
Commission may issue a standard de- (b) of this section, a standard design
sign certification in the form of a rule certification issued under this subpart
for the design which is the subject of is valid for 15 years from the date of
the application, if the Commission de- issuance.
termines that: (b) A standard design certification
(1) The application meets the appli-
continues to be valid beyond the date
cable standards and requirements of
of expiration in any proceeding on an
the Atomic Energy Act and the Com-
application for a combined license or
mission’s regulations;
(2) Notifications, if any, to other an operating license that references
agencies or bodies have been duly the standard design certification and is
made; docketed either before the date of expi-
(3) There is reasonable assurance ration of the certification, or, if a
that the standard design conforms with timely application for renewal of the
the provisions of the Act, and the Com- certification has been filed, before the
mission’s regulations; Commission has determined whether to
(4) The applicant is technically quali- renew the certification. A design cer-
fied; tification also continues to be valid be-
(5) The proposed inspections, tests, yond the date of expiration in any
analyses, and acceptance criteria are hearing held under § 52.103 before oper-
necessary and sufficient, within the ation begins under a combined license
scope of the standard design, to provide that references the design certifi-
reasonable assurance that, if the in- cation.
spections, tests, and analyses are per- (c) An applicant for a construction
formed and the acceptance criteria permit or a combined license may, at
met, the facility has been constructed its own risk, reference in its applica-
and will be operated in accordance with tion a design for which a design certifi-
the design certification, the provisions cation application has been docketed
of the Act, and the Commission’s regu- but not granted.
lations;
(6) Issuance of the standard design § 52.57 Application for renewal.
certification will not be inimical to the
(a) Not less than 12 nor more than 36
common defense and security or to the
months before the expiration of the ini-
health and safety of the public;
(7) The findings required by subpart tial 15-year period, or any later re-
A of part 51 of this chapter have been newal period, any person may apply for
made; and renewal of the certification. An appli-
(8) The applicant has implemented cation for renewal must contain all in-
the quality assurance program deformation necessary to bring up to
scribed or referenced in the safety date the information and data con-
analysis report. tained in the previous application. The
(b) The design certification rule must Commission will require, before re-
specify the site parameters, design newal of certification, that informa-
characteristics, and any additional re- tion normally contained in certain pro-
quirements and restrictions of the de- curement specifications and construc-
sign certification rule. tion and installation specifications be
(c) After the Commission has adopted completed and available for audit if
a final design certification rule, the ap- this information is necessary for the
plicant shall not permit any individual Commission to make its safety deter-
to have access to or any facility to pos- mination. Notice and comment proce-
sess restricted data or classified Na- dures must be used for a rulemaking
89
§ 52.59 10 CFR Ch. I (1–1–11 Edition)
proceeding on the application for re- (c) In addition, the applicant for re-
newal. The Commission, in its discre- newal may request an amendment to
tion, may require the use of additional the design certification. The Commis-
procedures in individual renewal pro- sion shall grant the amendment re-
ceedings. quest if it determines that the amend-
(b) A design certification, either ment will comply with the Atomic En-
original or renewed, for which a timely ergy Act and the Commission’s regula-
application for renewal has been filed tions in effect at the time of renewal. If
remains in effect until the Commission the amendment request entails such an
has determined whether to renew the extensive change to the design certifi-
certification. If the certification is not cation that an essentially new stand-
renewed, it continues to be valid in cer- ard design is being proposed, an appli-
tain proceedings, in accordance with cation for a design certification must
the provisions of § 52.55. be filed in accordance with this sub-
(c) The Commission shall refer a copy part.
of the application for renewal to the (d) Denial of renewal does not bar the
Advisory Committee on Reactor Safe- applicant, or another applicant, from
guards (ACRS). The ACRS shall report
filing a new application for certifi-
on those portions of the application
cation of the design, which proposes de-
which concern safety and shall apply
sign changes that correct the defi-
the criteria set forth in § 52.59.
ciencies cited in the denial of the re-
§ 52.59 Criteria for renewal. newal.
(a) The Commission shall issue a rule [72 FR 49517, Aug. 28, 2007, as amended at 74
granting the renewal if the design, ei- FR 28147, June 12, 2009]
ther as originally certified or as modi-
fied during the rulemaking on the re- § 52.61 Duration of renewal.
newal, complies with the Atomic En- Each renewal of certification for a
ergy Act and the Commission’s regula- standard design will be for not less
tions applicable and in effect at the than 10, nor more than 15 years.
time the certification was issued, pro-
vided, however, that the first time the § 52.63 Finality of standard design cer-
Commission issues a rule granting the tifications.
renewal for a standard design certifi- (a)(1) Notwithstanding any provision
cation in effect on July 13, 2009, the in 10 CFR 50.109, while a standard de-
Commission shall, in addition, find
sign certification rule is in effect under
that the renewed design complies with
§§ 52.55 or 52.61, the Commission may
the applicable requirements of 10 CFR
not modify, rescind, or impose new re-
50.150.
quirements on the certification infor-
(b) The Commission may impose
mation, whether on its own motion, or
other requirements if it determines
that: in response to a petition from any per-
son, unless the Commission determines
(1) They are necessary for adequate
in a rulemaking that the change:
protection to public health and safety
or common defense and security; (i) Is necessary either to bring the
(2) They are necessary for compliance certification information or the ref-
with the Commission’s regulations and erencing plants into compliance with
orders applicable and in effect at the the Commission’s regulations applica-
time the design certification was ble and in effect at the time the certifi-
issued; or cation was issued;
(3) There is a substantial increase in (ii) Is necessary to provide adequate
overall protection of the public health protection of the public health and
and safety or the common defense and safety or the common defense and secu-
security to be derived from the new re- rity;
quirements, and the direct and indirect (iii) Reduces unnecessary regulatory
costs of implementing those require- burden and maintains protection to

ments are justified in view of this in- public health and safety and the com-
creased protection. mon defense and security;
90
(iv) Provides the detailed design in- to be present outweigh any decrease in
formation to be verified under those in- safety that may result from the reduc-
spections, tests, analyses, and accept- tion in standardization caused by the
ance criteria (ITAAC) which are di- plant-specific order.
rected at certification information (5) Except as provided in 10 CFR 2.335,
(i.e., design acceptance criteria); in making the findings required for
(v) Is necessary to correct material issuance of a combined license, con-
errors in the certification information; struction permit, operating license, or
(vi) Substantially increases overall manufacturing license, or for any hear-
safety, reliability, or security of facil- ing under § 52.103, the Commission shall
ity design, construction, or operation, treat as resolved those matters re-
and the direct and indirect costs of im- solved in connection with the issuance
plementation of the rule change are
or renewal of a design certification
justified in view of this increased safe-
rule.
ty, reliability, or security; or
(vii) Contributes to increased stand- (b)(1) An applicant or licensee who
ardization of the certification informa- references a design certification rule
tion. may request an exemption from one or
(2)(i) In a rulemaking under more elements of the certification in-
§ 52.63(a)(1), except for § 52.63(a)(1)(ii), formation. The Commission may grant
the Commission will give consideration such a request only if it determines
to whether the benefits justify the that the exemption will comply with
costs for plants that are already li- the requirements of § 52.7. In addition
censed or for which an application for a to the factors listed in § 52.7, the Com-
permit or license is under consider- mission shall consider whether the spe-
ation. cial circumstances that § 52.7 requires
(ii) The rulemaking procedures for to be present outweigh any decrease in
changes under § 52.63(a)(1) must provide safety that may result from the reduc-
for notice and opportunity for public tion in standardization caused by the
comment. exemption. The granting of an exemp-
(3) Any modification the NRC im- tion on request of an applicant is sub-
poses on a design certification rule ject to litigation in the same manner
under paragraph (a)(1) of this section as other issues in the operating license
will be applied to all plants referencing or combined license hearing.
the certified design, except those to (2) Subject to § 50.59 of this chapter, a
which the modification has been ren- licensee who references a design cer-
dered technically irrelevant by action tification rule may make departures
taken under paragraphs (a)(4) or (b)(1) from the design of the nuclear power
of this section. facility, without prior Commission ap-
(4) The Commission may not impose proval, unless the proposed departure
new requirements by plant-specific
involves a change to the design as de-
order on any part of the design of a
scribed in the rule certifying the de-
specific plant referencing the design
sign. The licensee shall maintain
certification rule if that part was ap-
proved in the design certification while records of all departures from the facil-
a design certification rule is in effect ity and these records must be main-
under § 52.55 or § 52.61, unless: tained and available for audit until the
(i) A modification is necessary to se- date of termination of the license.
cure compliance with the Commis- (c) The Commission will require, be-
sion’s regulations applicable and in ef- fore granting a construction permit,
fect at the time the certification was combined license, operating license, or
issued, or to assure adequate protec- manufacturing license which ref-
tion of the public health and safety or erences a design certification rule, that
the common defense and security; and information normally contained in cer-
(ii) Special circumstances as defined tain procurement specifications and
in 10 CFR 52.7 are present. In addition construction and installation specifica-
to the factors listed in § 52.7, the Com- tions be completed and available for
mission shall consider whether the spe- audit if the information is necessary
cial circumstances which § 52.7 requires for the Commission to make its safety
91
§ 52.71 10 CFR Ch. I (1–1–11 Edition)
determinations, including the deter- (b) The application must comply with
mination that the application is con- the applicable filing requirements of
sistent with the certification informa- §§ 52.3 and 50.30 of this chapter.
tion. This information may be acquired (c) The fees associated with the filing
by appropriate arrangements with the and review of the application are set
design certification applicant. forth in 10 CFR part 170.
Subpart C—Combined Licenses FR 5724, Jan. 31, 2008]
§ 52.71 Scope of subpart. § 52.77 Contents of applications; gen-

eral information.
This subpart sets out the require-
ments and procedures applicable to The application must contain all of
Commission issuance of combined li- the information required by 10 CFR
censes for nuclear power facilities. 50.33.
§ 52.73 Relationship to other subparts. § 52.79 Contents of applications; tech-

nical information in final safety
(a) An application for a combined li- analysis report.
cense under this subpart may, but need
(a) The application must contain a
not, reference a standard design certifi-
final safety analysis report that de-
cation, standard design approval, or
scribes the facility, presents the design
manufacturing license issued under
bases and the limits on its operation,
subparts B, E, or F of this part, respec- and presents a safety analysis of the
tively, or an early site permit issued structures, systems, and components of
under subpart A of this part. In the ab- the facility as a whole. The final safety
sence of a demonstration that an enti- analysis report shall include the fol-
ty other than the one originally spon- lowing information, at a level of infor-
soring and obtaining a design certifi- mation sufficient to enable the Com-
cation is qualified to supply a design, mission to reach a final conclusion on
the Commission will entertain an ap- all safety matters that must be re-
plication for a combined license that solved by the Commission before
references a standard design certifi- issuance of a combined license:
cation issued under subpart B of this (1)(i) The boundaries of the site;
part only if the entity that sponsored (ii) The proposed general location of
and obtained the certification supplies each facility on the site;
the design for the applicant’s use. (iii) The seismic, meteorological, hy-
(b) The Commission will require, be- drologic, and geologic characteristics
fore granting a combined license that of the proposed site with appropriate
references a standard design certifi- consideration of the most severe of the
cation, that information normally con- natural phenomena that have been his-
tained in certain procurement speci- torically reported for the site and sur-
fications and construction and installa- rounding area and with sufficient mar-
tion specifications be completed and gin for the limited accuracy, quantity,
available for audit if the information is and time in which the historical data
necessary for the Commission to make have been accumulated;
its safety determinations, including (iv) The location and description of
the determination that the application any nearby industrial, military, or
is consistent with the certification in- transportation facilities and routes;
formation. (v) The existing and projected future
population profile of the area sur-
§ 52.75 Filing of applications. rounding the site;
(a) Any person except one excluded (vi) A description and safety assess-
by § 50.38 of this chapter may file an ap- ment of the site on which the facility
plication for a combined license for a is to be located. The assessment must
nuclear power facility with the Direc- contain an analysis and evaluation of
tor, Office of New Reactors or Director, the major structures, systems, and
Office of Nuclear Reactor Regulation, components of the facility that bear
as appropriate. significantly on the acceptability of
92
the site under the radiological con- postulated fission product release (dur-
sequence evaluation factors identified ing the entire period of its passage)
in paragraphs (a)(1)(vi)(A) and would not receive a radiation dose in
(a)(1)(vi)(B) of this section. In per- excess of 25 rem TEDE; and
forming this assessment, an applicant (2) A description and analysis of the
shall assume a fission product release 5 structures, systems, and components of
from the core into the containment as- the facility with emphasis upon per-
suming that the facility is operated at formance requirements, the bases, with
the ultimate power level contemplated. technical justification therefor, upon
The applicant shall perform an evalua-
which these requirements have been es-
tion and analysis of the postulated fis-
tablished, and the evaluations required
sion product release, using the ex-
to show that safety functions will be
pected demonstrable containment leak
rate and any fission product cleanup accomplished. It is expected that reac-
systems intended to mitigate the con- tors will reflect through their design,
sequences of the accidents, together construction, and operation an ex-
with applicable site characteristics, in- tremely low probability for accidents
cluding site meteorology, to evaluate that could result in the release of sig-
the offsite radiological consequences. nificant quantities of radioactive fis-
Site characteristics must comply with sion products. The descriptions shall be
part 100 of this chapter. The evaluation sufficient to permit understanding of
must determine that: the system designs and their relation-
(A) An individual located at any ship to safety evaluations. Items such
point on the boundary of the exclusion as the reactor core, reactor coolant
area for any 2-hour period following system, instrumentation and control
the onset of the postulated fission systems, electrical systems, contain-
product release, would not receive a ra- ment system, other engineered safety
diation dose in excess of 25 rem 6 total features, auxiliary and emergency sys-
effective dose equivalent (TEDE). tems, power conversion systems, radio-
(B) An individual located at any active waste handling systems, and
point on the outer boundary of the low fuel handling systems shall be dis-
population zone, who is exposed to the cussed insofar as they are pertinent.
radioactive cloud resulting from the The following power reactor design
characteristics and proposed operation
will be taken into consideration by the
this evaluation should be based upon a major Commission:
accident, hypothesized for purposes of site
analysis or postulated from considerations of (i) Intended use of the reactor includ-
possible accidental events. These accidents ing the proposed maximum power level
have generally been assumed to result in and the nature and inventory of con-
substantial meltdown of the core with subse- tained radioactive materials;
quent release into the containment of appre- (ii) The extent to which generally ac-
ciable quantities of fission products.
6 A whole body dose of 25 rem has been stat-
cepted engineering standards are ap-
ed to correspond numerically to the once in plied to the design of the reactor;
a lifetime accidental or emergency dose for (iii) The extent to which the reactor
radiation workers which, according to NCRP incorporates unique, unusual or en-
recommendations at the time could be dis- hanced safety features having a signifi-
regarded in the determination of their radi- cant bearing on the probability or con-
ation exposure status (see NBS Handbook 69 sequences of accidental release of ra-
dated June 5, 1959). However, its use is not
intended to imply that this number con- dioactive materials;
stitutes an acceptable limit for an emer- (iv) The safety features that are to be
gency dose to the public under accident con- engineered into the facility and those
ditions. Rather, this dose value has been set barriers that must be breached as a re-
forth in this section as a reference value, sult of an accident before a release of
which can be used in the evaluation of plant radioactive material to the environ-
design features with respect to postulated re-
ment can occur. Special attention
actor accidents, to assure that these designs

provide assurance of low risk of public expo- must be directed to plant design fea-
sure to radiation, in the event of an acci- tures intended to mitigate the radio-
dent. logical consequences of accidents. In
93
§ 52.79 10 CFR Ch. I (1–1–11 Edition)
performing this assessment, an appli- sequences of accidents. Analysis and

cant shall assume a fission product reevaluation of ECCS cooling perform-
lease 7 from the core into the contain- ance and the need for high-point vents
ment assuming that the facility is op- following postulated loss-of-coolant ac-
erated at the ultimate power level con- cidents shall be performed in accord-
templated; ance with the requirements of §§ 50.46
(3) The kinds and quantities of radio- and 50.46a of this chapter;
active materials expected to be pro- (6) A description and analysis of the
duced in the operation and the means fire protection design features for the
for controlling and limiting radio- reactor necessary to comply with 10
active effluents and radiation expo- CFR part 50, appendix A, GDC 3, and
sures within the limits set forth in part § 50.48 of this chapter;
20 of this chapter; (7) A description of protection pro-
(4) The design of the facility includ-
vided against pressurized thermal
ing:
shock events, including projected val-
(i) The principal design criteria for
ues of the reference temperature for re-
the facility. Appendix A to part 50 of
actor vessel beltline materials as de-
this chapter, ‘‘General Design Criteria
fined in §§ 50.60 and 50.61(b)(1) and (b)(2)
for Nuclear Power Plants,’’ establishes
minimum requirements for the prin- of this chapter;
cipal design criteria for water-cooled (8) An analysis and description of the
nuclear power plants similar in design equipment and systems for combustible
and location to plants for which con- gas control as required by § 50.44 of this
struction permits have previously been chapter;
issued by the Commission and provides (9) The coping analyses, and any de-
guidance to applicants in establishing sign features necessary to address sta-
principal design criteria for other types tion blackout, as described in § 50.63 of
of nuclear power units; this chapter;
(ii) The design bases and the relation (10) A description of the program, and
of the design bases to the principal de- its implementation, required by
sign criteria; § 50.49(a) of this chapter for the envi-
(iii) Information relative to mate- ronmental qualification of electric
rials of construction, arrangement, and equipment important to safety and the
dimensions, sufficient to provide rea- list of electric equipment important to
sonable assurance that the design will safety that is required by 10 CFR
conform to the design bases with ade- 50.49(d);
quate margin for safety. (11) A description of the program(s),
(5) An analysis and evaluation of the and their implementation, necessary to
design and performance of structures, ensure that the systems and compo-
systems, and components with the ob- nents meet the requirements of the
jective of assessing the risk to public ASME Boiler and Pressure Vessel Code
health and safety resulting from oper- and the ASME Code for Operation and
ation of the facility and including de- Maintenance of Nuclear Power Plants
termination of the margins of safety in accordance with 50.55a of this chap-
during normal operations and transient ter;
conditions anticipated during the life (12) A description of the primary con-
of the facility, and the adequacy of tainment leakage rate testing pro-
structures, systems, and components gram, and its implementation, nec-
provided for the prevention of acci- essary to ensure that the containment
dents and the mitigation of the con- meets the requirements of appendix J
to 10 CFR part 50;
7 The fission product release assumed for (13) A description of the reactor ves-
this evaluation should be based upon a major sel material surveillance program re-
accident, hypothesized for purposes of site quired by appendix H to 10 CFR part 50
analysis or postulated from considerations of and its implementation;
possible accidental events. These accidents
(14) A description of the operator
have generally been assumed to result in

substantial meltdown of the core with subse- training program, and its implementa-
quent release into the containment of appre- tion, necessary to meet the require-
ciable quantities of fission products. ments of 10 CFR part 55;
94
(15) A description of the program, and cation must contain information, in-
its implementation, for monitoring the cluding a utility plan, sufficient to
effectiveness of maintenance necessary show that the proposed plans provide
to meet the requirements of § 50.65 of reasonable assurance that adequate
this chapter; protective measures can and will be
(16)(i) The information with respect taken in the event of a radiological
to the design of equipment to maintain emergency at the site.
control over radioactive materials in (23) [Reserved]
gaseous and liquid effluents produced (24) If the application is for a nuclear
during normal reactor operations, as power reactor design which differs sig-
described in § 50.34a(d) of this chapter; nificantly from light-water reactor de-
(ii) A description of the process and signs that were licensed before 1997 or
effluent monitoring and sampling pro- use simplified, inherent, passive, or
gram required by appendix I to 10 CFR other innovative means to accomplish
part 50 and its implementation. their safety functions, the application
(17) The information with respect to must describe how the design meets
compliance with technically relevant the requirements in § 50.43(e) of this
positions of the Three Mile Island re- chapter;
quirements in § 50.34(f) of this chapter, (25) A description of the quality as-
with the exception of §§ 50.34(f)(1)(xii), surance program, applied to the design,
(f)(2)(ix), and (f)(3)(v);
and to be applied to the fabrication,
(18) If the applicant seeks to use risk-
construction, and testing, of the struc-
informed treatment of SSCs in accord-
tures, systems, and components of the
ance with § 50.69 of this chapter, the in-
facility. Appendix B to 10 CFR part 50
formation required by § 50.69(b)(2) of
sets forth the requirements for quality
this chapter;
assurance programs for nuclear power
(19) Information necessary to dem-
plants. The description of the quality
onstrate that the plant complies with
assurance program for a nuclear power
the earthquake engineering criteria in
plant must include a discussion of how
10 CFR part 50, appendix S;
the applicable requirements of appen-
(20) Proposed technical resolutions of
dix B to 10 CFR part 50 have been and
those Unresolved Safety Issues and
will be satisfied, including a discussion
medium- and high-priority generic
of how the quality assurance program
safety issues which are identified in
will be implemented;
the version of NUREG–0933 current on
the date up to 6 months before the (26) The applicant’s organizational
docket date of the application and structure, allocations or responsibil-
which are technically relevant to the ities and authorities, and personnel
design; qualifications requirements for oper-
(21) Emergency plans complying with ation;
the requirements of § 50.47 of this chap- (27) Managerial and administrative
ter, and 10 CFR part 50, appendix E; controls to be used to assure safe oper-
(22)(i) All emergency plan certifi- ation. Appendix B to 10 CFR part 50
cations that have been obtained from sets forth the requirements for these
the State and local governmental agen- controls for nuclear power plants. The
cies with emergency planning respon- information on the controls to be used
sibilities must state that: for a nuclear power plant shall include
(A) The proposed emergency plans a discussion of how the applicable re-
are practicable; quirements of appendix B to 10 CFR
(B) These agencies are committed to part 50 will be satisfied;
participating in any further develop- (28) Plans for preoperational testing
ment of the plans, including any re- and initial operations;
quired field demonstrations; and (29)(i) Plans for conduct of normal
(C) These agencies are committed to operations, including maintenance,
executing their responsibilities under surveillance, and periodic testing of
the plans in the event of an emergency; structures, systems, and components;
(ii) If certifications cannot be ob- (ii) Plans for coping with emer-
tained after sustained, good faith ef- gencies, other than the plans required
forts by the applicant, then the appli- by § 52.79(a)(21);
95
§ 52.79 10 CFR Ch. I (1–1–11 Edition)
(30) Proposed technical specifications safeguards contingency plan. 8 (Imple-

prepared in accordance with the re- menting procedures required for this
quirements of §§ 50.36 and 50.36a of this plan need not be submitted for ap-
chapter; proval.)
(31) For nuclear power plants to be (ii) A training and qualification plan
operated on multi-unit sites, an eval- in accordance with the criteria set
uation of the potential hazards to the forth in appendix B to 10 CFR part 73.
structures, systems, and components (iii) A cyber security plan in accord-
important to safety of operating units ance with the criteria set forth in
resulting from construction activities, § 73.54 of this chapter;
as well as a description of the manage- (iv) A description of the implementa-
rial and administrative controls to be tion of the safeguards contingency
used to provide assurance that the lim- plan, training and qualification plan,
iting conditions for operation are not and cyber security plan; and
exceeded as a result of construction ac- (v) Each applicant who prepares a
tivities at the multi-unit sites; physical security plan, a safeguards
(32) The technical qualifications of contingency plan, a training and quali-
the applicant to engage in the proposed fication plan, or a cyber security plan,
activities in accordance with the regu- shall protect the plans and other re-
lations in this chapter; lated Safeguards Information against
(33) A description of the training pro- unauthorized disclosure in accordance
gram required by § 50.120 of this chapter with the requirements of § 73.21 of this
and its implementation; chapter.
(34) A description and plans for im- (37) The information necessary to
plementation of an operator requali- demonstrate how operating experience
fication program. The operator requali- insights have been incorporated into
fication program must as a minimum, the plant design;
meet the requirements for those pro- (38) For light-water reactor designs, a
grams contained in § 55.59 of this chap- description and analysis of design fea-
ter; tures for the prevention and mitigation
(35)(i) A physical security plan, de- of severe accidents, e.g., challenges to
scribing how the applicant will meet containment integrity caused by core-
the requirements of 10 CFR part 73 (and concrete interaction, steam explosion,
10 CFR part 11, if applicable, including high-pressure core melt ejection, hy-
the identification and description of drogen combustion, and containment
jobs as required by § 11.11(a) of this bypass;
chapter, at the proposed facility). The (39) A description of the radiation
plan must list tests, inspections, au- protection program required by § 20.1101
dits, and other means to be used to of this chapter and its implementation.
demonstrate compliance with the re- (40) A description of the fire protec-
quirements of 10 CFR parts 11 and 73, if tion program required by § 50.48 of this
applicable; chapter and its implementation.
(ii) A description of the implementa- (41) For applications for light-water-
tion of the physical security plan; cooled nuclear power plant combined
(36)(i) A safeguards contingency plan licenses, an evaluation of the facility
in accordance with the criteria set against the Standard Review Plan
forth in appendix C to 10 CFR part 73. (SRP) revision in effect 6 months be-
fore the docket date of the application.
The safeguards contingency plan shall
The evaluation required by this section
include plans for dealing with threats,
shall include an identification and de-
thefts, and radiological sabotage, as de-
scription of all differences in design
fined in part 73 of this chapter, relating
features, analytical techniques, and
to the special nuclear material and nu-
clear facilities licensed under this
8 A physical security plan that contains all
chapter and in the applicant’s posses-
the information required in both § 73.55 of

sion and control. Each application for
this chapter and appendix C to 10 CFR part
this type of license shall include the in- 73 satisfies the requirement for a contin-
formation contained in the applicant’s gency plan.
96
procedural measures proposed for a fa- (3) The final safety analysis report
cility and those corresponding fea- must demonstrate that all terms and
tures, techniques, and measures given conditions that have been included in
in the SRP acceptance criteria. Where the early site permit, other than those
a difference exists, the evaluation shall imposed under § 50.36b, will be satisfied
discuss how the proposed alternative by the date of issuance of the combined
provides an acceptable method of com- license. Any terms or conditions of the
plying with the Commission’s regula- early site permit that could not be met
tions, or portions thereof, that underlie by the time of issuance of the com-
the corresponding SRP acceptance cri- bined license, must be set forth as
teria. The SRP is not a substitute for terms or conditions of the combined li-
the regulations, and compliance is not
cense.
a requirement;
(42) Information demonstrating how (4) If the early site permit approves
the applicant will comply with require- complete and integrated emergency
ments for reduction of risk from an- plans, or major features of emergency
ticipated transients without scram plans, then the final safety analysis re-
(ATWS) events in § 50.62 of this chapter; port must include any new or addi-
(43) Information demonstrating how tional information that updates and
the applicant will comply with require- corrects the information that was pro-
ments for criticality accidents in § 50.68 vided under § 52.17(b), and discuss
of this chapter; whether the new or additional informa-
(44) A description of the fitness-for- tion materially changes the bases for
duty program required by 10 CFR part compliance with the applicable re-
26 and its implementation. quirements. The application must iden-
(45) The information required by tify changes to the emergency plans or
§ 20.1406 of this chapter. major features of emergency plans that
(46) A description of the plant-spe- have been incorporated into the pro-
cific probabilistic risk assessment posed facility emergency plans and
(PRA) and its results. that constitute or would constitute a
(47) For applications for combined li- decrease in effectiveness under
censes which are subject to 10 CFR § 50.54(q) of this chapter.
50.150(a), the information required by
(5) If complete and integrated emer-
10 CFR 50.150(b).
gency plans are approved as part of the
(b) If the combined license applica-
early site permit, new certifications
tion references an early site permit,
then the following requirements apply: meeting the requirements of paragraph
(1) The final safety analysis report (a)(22) of this section are not required.
need not contain information or anal- (c) If the combined license applica-
yses submitted to the Commission in tion references a standard design ap-
connection with the early site permit, proval, then the following require-
provided, however, that the final safety ments apply:
analysis report must either include or (1) The final safety analysis report
incorporate by reference the early site need not contain information or anal-
permit site safety analysis report and yses submitted to the Commission in
must contain, in addition to the infor- connection with the design approval,
mation and analyses otherwise re- provided, however, that the final safety
quired, information sufficient to dem- analysis report must either include or
onstrate that the design of the facility incorporate by reference the standard
falls within the site characteristics and design approval final safety analysis
design parameters specified in the report and must contain, in addition to
early site permit. the information and analyses otherwise
(2) If the final safety analysis report required, information sufficient to
does not demonstrate that design of demonstrate that the characteristics of
the facility falls within the site char-
the site fall within the site parameters
acteristics and design parameters, the
specified in the design approval. In ad-

application shall include a request for
a variance that complies with the re- dition, the plant-specific PRA informa-
quirements of §§ 52.39 and 52.93. tion must use the PRA information for
97
§ 52.80 10 CFR Ch. I (1–1–11 Edition)
the design approval and must be up- connection with the manufacturing li-
dated to account for site-specific de- cense, provided, however, that the final
sign information and any design safety analysis report must either in-
changes or departures. clude or incorporate by reference the
(2) The final safety analysis report manufacturing license final safety
must demonstrate that all terms and analysis report and must contain, in
conditions that have been included in addition to the information and anal-
the final design approval will be satis- yses otherwise required, information
fied by the date of issuance of the com- sufficient to demonstrate that the site
bined license. characteristics fall within the site pa-
(d) If the combined license applica- rameters specified in the manufac-
tion references a standard design cer- turing license. In addition, the plant-
tification, then the following require- specific PRA information must use the
ments apply: PRA information for the manufactured
(1) The final safety analysis report reactor and must be updated to ac-
need not contain information or anal- count for site-specific design informa-
yses submitted to the Commission in tion and any design changes or depar-
connection with the design certifi- tures.
cation, provided, however, that the final (2) The final safety analysis report
safety analysis report must either in- must demonstrate that the interface
clude or incorporate by reference the requirements established for the design
standard design certification final safe- have been met.
ty analysis report and must contain, in (3) The final safety analysis report
addition to the information and anal- must demonstrate that all terms and
yses otherwise required, information conditions that have been included in
sufficient to demonstrate that the site the manufacturing license, other than
characteristics fall within the site pa- those imposed under § 50.36b, will be
rameters specified in the design certifi- satisfied by the date of issuance of the
cation. In addition, the plant-specific combined license. Any terms or condi-
PRA information must use the PRA in- tions of the manufacturing license that
formation for the design certification could not be met by the time of
and must be updated to account for issuance of the combined license, must
site-specific design information and be set forth as terms or conditions of
any design changes or departures. the combined license.
(2) The final safety analysis report (f) Each applicant for a combined li-
must demonstrate that the interface cense under this subpart shall protect
requirements established for the design Safeguards Information against unau-
under § 52.47 have been met. thorized disclosure in accordance with
(3) The final safety analysis report the requirements in §§ 73.21 and 73.22 of
must demonstrate that all require- this chapter, as applicable.
ments and restrictions set forth in the
referenced design certification rule, [72 FR 49517, Aug. 28, 2007, as amended at 73
other than those imposed under FR 63571, Oct. 24, 2008; 74 FR 13970, Mar. 27,
§ 50.36b, must be satisfied by the date of 2009; 74 FR 28147, June 12, 2009]
issuance of the combined license. Any
requirements and restrictions set forth § 52.80 Contents of applications; addi-
tional technical information.
in the referenced design certification
rule that could not be satisfied by the The application must contain:
time of issuance of the combined li- (a) The proposed inspections, tests,
cense, must be set forth as terms or and analyses, including those applica-
conditions of the combined license. ble to emergency planning, that the li-
(e) If the combined license applica- censee shall perform, and the accept-
tion references the use of one or more ance criteria that are necessary and
manufactured nuclear power reactors sufficient to provide reasonable assur-
licensed under subpart F of this part, ance that, if the inspections, tests, and
then the following requirements apply: analyses are performed and the accept-
(1) The final safety analysis report ance criteria met, the facility has been
need not contain information or anal- constructed and will be operated in
yses submitted to the Commission in conformity with the combined license,
98
the provisions of the Act, and the Com- § 52.81 Standards for review of appli-
mission’s rules and regulations. cations.
(1) If the application references an Applications filed under this subpart
early site permit with ITAAC, the will be reviewed according to the
early site permit ITAAC must apply to standards set out in 10 CFR parts 20, 50,
those aspects of the combined license 51, 54, 55, 73, 100, and 140.
which are approved in the early site
permit. § 52.83 Finality of referenced NRC ap-
(2) If the application references a provals; partial initial decision on
standard design certification, the site suitability.
ITAAC contained in the certified de- (a) If the application for a combined
sign must apply to those portions of license under this subpart references
the facility design which are approved an early site permit, design certifi-
in the design certification. cation rule, standard design approval,
(3) If the application references an or manufacturing license, the scope
early site permit with ITAAC or a and nature of matters resolved for the
standard design certification or both, application and any combined license
the application may include a notifica- issued are governed by the relevant
tion that a required inspection, test, or
provisions addressing finality, includ-
analysis in the ITAAC has been suc-
ing §§ 52.39, 52.63, 52.98, 52.145, and 52.171.
cessfully completed and that the cor-
(b) While a partial decision on site
responding acceptance criterion has
suitability is in effect under 10 CFR
been met. The FEDERAL REGISTER noti-
fication required by § 52.85 must indi- 2.617(b)(2), the scope and nature of mat-
cate that the application includes this ters resolved in the proceeding are gov-
notification. erned by the finality provisions in 10
(b) An environmental report, either CFR 2.629.
in accordance with 10 CFR 51.50(c) if a § 52.85 Administrative review of appli-
limited work authorization under 10 cations; hearings.
CFR 50.10 is not requested in conjunc-
tion with the combined license applica- A proceeding on a combined license
tion, or in accordance with §§ 51.49 and is subject to all applicable procedural
51.50(c) of this chapter if a limited requirements contained in 10 CFR part
work authorization is requested in con- 2, including the requirements for dock-
junction with the combined license ap- eting (§ 2.101 of this chapter) and
plication. issuance of a notice of hearing (§ 2.104
(c) If the applicant wishes to request of this chapter). If an applicant re-
that a limited work authorization quests a Commission finding on certain
under 10 CFR 50.10 be issued before ITAAC with the issuance of the com-
issuance of the combined license, the bined license, then those ITAAC will be
application must include the informa- identified in the notice of hearing. All
tion otherwise required by 10 CFR 50.10, hearings on combined licenses are gov-
in accordance with either 10 CFR erned by the procedures contained in 10
2.101(a)(1) through (a)(4), or 10 CFR CFR part 2.
2.101(a)(9).
(d) A description and plans for imple- § 52.87 Referral to the Advisory Com-
mentation of the guidance and strate- mittee on Reactor Safeguards
(ACRS).
gies intended to maintain or restore
core cooling, containment, and spent The Commission shall refer a copy of
fuel pool cooling capabilities under the the application to the ACRS. The
circumstances associated with the loss ACRS shall report on those portions of
of large areas of the plant due to explo- the application that concern safety and
sions or fire as required by § 50.54(hh)(2) shall apply the standards referenced in
of this chapter. § 52.81, in accordance with the finality
provisions in § 52.83.
FR 57447, Oct. 9, 2007; 74 FR 13970, Mar. 27,
2009]
99
§ 52.89 10 CFR Ch. I (1–1–11 Edition)
§ 52.89 [Reserved] termining whether to grant the vari-

ance, the Commission shall apply the
§ 52.91 Authorization to conduct lim- same technically relevant criteria as
ited work authorization activities. were applicable to the application for
(a) If the application does not ref- the original or renewed site permit.
erence an early site permit which au- Once a construction permit or com-
thorizes the holder to perform the ac- bined license referencing an early site
tivities under 10 CFR 50.10(d), the ap- permit is issued, variances from the
plicant may not perform those activi- early site permit will not be granted
ties without obtaining the separate au- for that construction permit or com-
thorization required by 10 CFR 50.10(d). bined license.
Authorization may be granted only (c) An applicant for a combined li-
after the presiding officer in the pro-
cense who has filed an application ref-
ceeding on the application has made
erencing a nuclear power reactor man-
the findings and determination re-
quired by 10 CFR 50.10(e), and the Di- ufactured under a manufacturing li-
rector of New Reactors or the Director cense issued under subpart F of this
of Nuclear Reactor Regulation makes part may include in the application a
the determination required by 10 CFR request for a departure from one or
50.10(e). more design characteristics, site pa-
(b) If, after an applicant has per- rameters, terms and conditions, or ap-
formed the activities permitted by proved design of the manufactured re-
paragraph (a) of this section, the appli- actor. The Commission may grant a re-
cation for the combined license is with- quest only if it determines that the de-
drawn or denied, then the applicant parture will comply with the require-
shall implement the approved site re- ments of 10 CFR 52.7, and that the spe-
dress plan. cial circumstances outweigh any de-
[72 FR 57447, Oct. 9, 2007]
crease in safety that may result from
the reduction in standardization
§ 52.93 Exemptions and variances. caused by the departure.
(a) Applicants for a combined license (d) Issuance of a variance under para-
under this subpart, or any amendment graph (b) or a departure under para-
to a combined license, may include in graph (c) of this section is subject to
the application a request for an exemp- litigation during the combined license
tion from one or more of the Commis- proceeding in the same manner as
sion’s regulations. other issues material to that pro-
(1) If the request is for an exemption ceeding.
from any part of a referenced design
certification rule, the Commission may § 52.97 Issuance of combined licenses.
grant the request if it determines that (a)(1) After conducting a hearing in
the exemption complies with any ex- accordance with § 52.85 and receiving
emption provisions of the referenced the report submitted by the ACRS, the
design certification rule, or with § 52.63 Commission may issue a combined li-
if there are no applicable exemption cense if the Commission finds that:
provisions in the referenced design cer- (i) The applicable standards and re-
tification rule. quirements of the Act and the Commis-
(2) For all other requests for exemp-
sion’s regulations have been met;
tions, the Commission may grant a re-
quest if it determines that the exemp- (ii) Any required notifications to
tion complies with § 52.7. other agencies or bodies have been duly
(b) An applicant for a combined li- made;
cense who has filed an application ref- (iii) There is reasonable assurance
erencing an early site permit issued that the facility will be constructed
under subpart A of this part may in- and will operate in conformity with the
clude in the application a request for a license, the provisions of the Act, and
variance from one or more site charac- the Commission’s regulations.
teristics, design parameters, or terms (iv) The applicant is technically and

and conditions of the permit, or from financially qualified to engage in the
the site safety analysis report. In de- activities authorized; and
100
(v) Issuance of the license will not be the facility as described in the final
inimical to the common defense and se- safety analysis report (as updated),
curity or to the health and safety of make changes in the procedures as de-
the public; and scribed in the final safety analysis re-
(vi) The findings required by subpart port (as updated), and conduct tests or
A of part 51 of this chapter have been experiments not described in the final
made. safety analysis report (as updated)
(2) The Commission may also find, at under the applicable change processes
the time it issues the combined license, in 10 CFR part 50 (e.g., §§ 50.54, 50.59, or
that certain acceptance criteria in one 50.90 of this chapter).
or more of the inspections, tests, anal- (c) If the combined license references
yses, and acceptance criteria (ITAAC) a certified design, then—
in a referenced early site permit or
(1) Changes to or departures from in-
standard design certification have been
formation within the scope of the ref-
met. This finding will finally resolve
that those acceptance criteria have erenced design certification rule are
been met, those acceptance criteria subject to the applicable change proc-
will be deemed to be excluded from the esses in that rule; and
combined license, and findings under (2) Changes that are not within the
§ 52.103(g) with respect to those accept- scope of the referenced design certifi-
ance criteria are unnecessary. cation rule are subject to the applica-
(b) The Commission shall identify ble change processes in 10 CFR part 50,
within the combined license the inspec- unless they also involve changes to or
tions, tests, and analyses, including noncompliance with information with-
those applicable to emergency plan- in the scope of the referenced design
ning, that the licensee shall perform, certification rule. In these cases, the
and the acceptance criteria that, if applicable provisions of this section
met, are necessary and sufficient to and the design certification rule apply.
provide reasonable assurance that the (d) If the combined license references
facility has been constructed and will a reactor manufactured under a sub-
be operated in conformity with the li- part F of this part manufacturing li-
cense, the provisions of the Act, and cense, then—
the Commission’s rules and regula- (1) Changes to or departures from in-
tions. formation within the scope of the man-
(c) A combined license shall contain ufactured reactor’s design are subject
the terms and conditions, including to the change processes in § 52.171; and
technical specifications, as the Com- (2) Changes that are not within the
mission deems necessary and appro- scope of the manufactured reactor’s de-
priate. sign are subject to the applicable
§ 52.98 Finality of combined licenses; change processes in 10 CFR part 50.
information requests. (e) The Commission may issue and
(a) After issuance of a combined li- make immediately effective any
cense, the Commission may not mod- amendment to a combined license upon
ify, add, or delete any term or condi- a determination by the Commission
tion of the combined license, the de- that the amendment involves no sig-
sign of the facility, the inspections, nificant hazards consideration, not-
tests, analyses, and acceptance criteria withstanding the pendency before the
contained in the license which are not Commission of a request for a hearing
derived from a referenced standard de- from any person. The amendment may
sign certification or manufacturing li- be issued and made immediately effec-
cense, except in accordance with the tive in advance of the holding and com-
provisions of § 52.103 or § 50.109 of this pletion of any required hearing. The
chapter, as applicable. amendment will be processed in ac-
(b) If the combined license does not cordance with the procedures specified
reference a design certification or a re- in 10 CFR 50.91.
actor manufactured under a subpart F (f) Any modification to, addition to,
of this part manufacturing license, or deletion from the terms and condi-
then a licensee may make changes in tions of a combined license, including
101
§ 52.99 10 CFR Ch. I (1–1–11 Edition)
any modification to, addition to, or described inspections, tests, and analyses
letion from the inspections, tests, anal- have been performed and that the pre-
yses, or related acceptance criteria scribed acceptance criteria have been
contained in the license is a proposed met.
amendment to the license. There must (2) If the licensee has not provided,
be an opportunity for a hearing on the by the date 225 days before the sched-
amendment. uled date for initial loading of fuel, the
(g) Except for information sought to notification required by paragraph
verify licensee compliance with the (c)(1) of this section for all ITAAC,
current licensing basis for that facil- then the licensee shall notify the NRC
ity, information requests to the holder that the prescribed inspections, tests,
of a combined license must be evalu- or analyses for all uncompleted ITAAC
ated before issuance to ensure that the will be performed and that the pre-
burden to be imposed on the licensee is scribed acceptance criteria will be met
justified in view of the potential safety prior to operation. The notification
significance of the issue to be ad- must be provided no later than the
dressed in the requested information. date 225 days before the scheduled date
Each evaluation performed by the NRC for initial loading of fuel, and must
staff must be in accordance with 10 provide sufficient information to dem-
CFR 50.54(f) and must be approved by onstrate that the prescribed inspec-
the Executive Director for Operations tions, tests, or analyses will be per-
or his or her designee before issuance formed and the prescribed acceptance
of the request. criteria for the uncompleted ITAAC
§ 52.99 Inspection during construction. will be met, including, but not limited
to, a description of the specific proce-
(a) The licensee shall submit to the dures and analytical methods to be
NRC, no later that 1 year after used for performing the prescribed in-
issuance of the combined license or at spections, tests, and analyses and de-
the start of construction as defined in termining that the prescribed accept-
10 CFR 50.10(a), whichever is later, its ance criteria have been met.
schedule for completing the inspec- (d)(1) In the event that an activity is
tions, tests, or analyses in the ITAAC.
subject to an ITAAC derived from a ref-
The licensee shall submit updates to
erenced standard design certification
the ITAAC schedules every 6 months
and the licensee has not demonstrated
thereafter and, within 1 year of its
that the ITAAC has been met, the li-
scheduled date for initial loading of
censee may take corrective actions to
fuel, the licensee shall submit updates
successfully complete that ITAAC or
to the ITAAC schedule every 30 days
request an exemption from the stand-
until the final notification is provided
ard design certification ITAAC, as ap-
to the NRC under paragraph (c)(1) of
plicable. A request for an exemption
this section.
(b) With respect to activities subject must also be accompanied by a request
to an ITAAC, an applicant for a com- for a license amendment under
bined license may proceed at its own § 52.98(f).
risk with design and procurement ac- (2) In the event that an activity is
tivities, and a licensee may proceed at subject to an ITAAC not derived from a
its own risk with design, procurement, referenced standard design certifi-
construction, and pre-operational ac- cation and the licensee has not dem-
tivities, even though the NRC may not onstrated that the ITAAC has been
have found that any one of the pre- met, the licensee may take corrective
scribed acceptance criteria have been actions to successfully complete that
met. ITAAC or request a license amendment
(c)(1) The licensee shall notify the under § 52.98(f).
NRC that the prescribed inspections, (e) The NRC shall ensure that the
tests, and analyses have been per- prescribed inspections, tests, and anal-
formed and that the prescribed accept- yses in the ITAAC are performed.
ance criteria have been met. The noti- (1) At appropriate intervals until the
fication must contain sufficient infor- last date for submission of requests for
mation to demonstrate that the pre- hearing under § 52.103(a), the NRC shall
102
publish notices in the FEDERAL REG- siding officer, shall determine whether
ISTER of the NRC staff’s determination during a period of interim operation
of the successful completion of inspec- there will be reasonable assurance of
tions, tests, and analyses. adequate protection to the public
(2) The NRC shall make publicly health and safety. The Commission’s
available the licensee notifications determination must consider the peti-
under paragraph (c)(1), and, no later tioner’s prima facie showing and any
than the date of publication of the no- answers thereto. If the Commission de-
tice of intended operation required by termines there is such reasonable as-
§ 52.103(a), make available all licensee surance, it shall allow operation during
notifications under paragraphs (c)(1) an interim period under the combined
and (c)(2) of this section. license.
[72 FR 49517, Aug. 28, 2007, as amended at 72 (d) The Commission, in its discretion,
FR 57447, Oct. 9, 2007] shall determine appropriate hearing
procedures, whether informal or formal
§ 52.103 Operation under a combined adjudicatory, for any hearing under
license.
paragraph (a) of this section, and shall
(a) The licensee shall notify the NRC state its reasons therefore.
of its scheduled date for initial loading (e) The Commission shall, to the
of fuel no later than 270 days before the maximum possible extent, render a de-
scheduled date and shall notify the cision on issues raised by the hearing
NRC of updates to its schedule every 30 request within 180 days of the publica-
days thereafter. Not less than 180 days tion of the notice provided by para-
before the date scheduled for initial graph (a) of this section or by the an-
loading of fuel into a plant by a li- ticipated date for initial loading of fuel
censee that has been issued a combined into the reactor, whichever is later.
license under this part, the Commis- (f) A petition to modify the terms
sion shall publish notice of intended and conditions of the combined license
operation in the FEDERAL REGISTER.
will be processed as a request for ac-
The notice must provide that any per-
tion in accordance with 10 CFR 2.206.
son whose interest may be affected by
The petitioner shall file the petition
operation of the plant may, within 60
with the Secretary of the Commission.
days, request that the Commission
Before the licensed activity allegedly
hold a hearing on whether the facility
affected by the petition (fuel loading,
as constructed complies, or on comple-
low power testing, etc.) commences,
tion will comply, with the acceptance
the Commission shall determine
criteria in the combined license, except
whether any immediate action is re-
that a hearing shall not be granted for
quired. If the petition is granted, then
those ITAAC which the Commission
found were met under § 52.97(a)(2). an appropriate order will be issued.
(b) A request for hearing under para- Fuel loading and operation under the
graph (a) of this section must show, combined license will not be affected
prima facie, that— by the granting of the petition unless
(1) One or more of the acceptance cri- the order is made immediately effec-
teria of the ITAAC in the combined li- tive.
cense have not been, or will not be, (g) The licensee shall not operate the
met; and facility until the Commission makes a
(2) The specific operational con- finding that the acceptance criteria in
sequences of nonconformance that the combined license are met, except
would be contrary to providing reason- for those acceptance criteria that the
able assurance of adequate protection Commission found were met under
of the public health and safety. § 52.97(a)(2). If the combined license is
(c) The Commission, acting as the for a modular design, each reactor
presiding officer, shall determine module may require a separate finding
whether to grant or deny the request as construction proceeds.
for hearing in accordance with the ap- (h) After the Commission has made
plicable requirements of 10 CFR 2.309. the finding in paragraph (g) of this sec-
If the Commission grants the request, tion, the ITAAC do not, by virtue of
the Commission, acting as the pre- their inclusion in the combined license,
103
§ 52.104 10 CFR Ch. I (1–1–11 Edition)
constitute regulatory requirements ei- § 52.110 Termination of license.

ther for licensees or for renewal of the (a)(1) When a licensee has determined
license; except for the specific ITAAC to permanently cease operations the li-
for which the Commission has granted censee shall, within 30 days, submit a
a hearing under paragraph (a) of this written certification to the NRC, con-
section, all ITAAC expire upon final sistent with the requirements of
Commission action in the proceeding. § 52.3(b)(8);
However, subsequent changes to the fa- (2) Once fuel has been permanently
cility or procedures described in the removed from the reactor vessel, the li-
final safety analysis report (as up- censee shall submit a written certifi-
dated) must comply with the require- cation to the NRC that meets the re-
ments in §§ 52.98(e) or (f), as applicable. quirements of § 52.3(b)(9); and
(3) For licensees whose licenses have
§ 52.104 Duration of combined license. been permanently modified to allow
possession but not operation of the fa-
A combined license is issued for a
cility, before September 27, 2007, the
specified period not to exceed 40 years certification required in paragraph
from the date on which the Commis- (a)(1) of this section shall be deemed to
sion makes a finding that acceptance have been submitted.
criteria are met under § 52.103(g) or al- (b) Upon docketing of the certifi-
lowing operation during an interim pe- cations for permanent cessation of op-
riod under the combined license under erations and permanent removal of fuel
§ 52.103(c). from the reactor vessel, or when a final
legally effective order to permanently
§ 52.105 Transfer of combined license. cease operations has come into effect,
A combined license may be trans- the 10 CFR part 52 license no longer au-
ferred in accordance with § 50.80 of this thorizes operation of the reactor or em-
chapter. placement or retention of fuel into the
reactor vessel.
§ 52.107 Application for renewal. (c) Decommissioning will be com-
pleted within 60 years of permanent
The filing of an application for a re- cessation of operations. Completion of
newed license must be in accordance decommissioning beyond 60 years will
with 10 CFR part 54. be approved by the Commission only
when necessary to protect public
§ 52.109 Continuation of combined li- health and safety. Factors that will be
cense. considered by the Commission in eval-
Each combined license for a facility uating an alternative that provides for
that has permanently ceased oper- completion of decommissioning beyond
ations, continues in effect beyond the 60 years of permanent cessation of op-
expiration date to authorize ownership erations include unavailability of
and possession of the production or uti- waste disposal capacity and other site-
lization facility, until the Commission specific factors affecting the licensee’s
notifies the licensee in writing that the capability to carry out decommis-
license is terminated. During this pe- sioning, including presence of other nu-
riod of continued effectiveness the li- clear facilities at the site.
(d)(1) Before or within 2 years fol-
censee shall—
lowing permanent cessation of oper-
(1) Take actions necessary to decom- ations, the licensee shall submit a
mission and decontaminate the facility post-shutdown decommissioning activi-
and continue to maintain the facility, ties report (PSDAR) to the NRC, and a
including, where applicable, the stor- copy to the affected State(s). The re-
age, control and maintenance of the port must include a description of the
spent fuel, in a safe condition; and planned decommissioning activities
(2) Conduct activities in accordance along with a schedule for their accom-
with all other restrictions applicable to plishment, an estimate of expected
the facility in accordance with the costs, and a discussion that provides
NRC’s regulations and the provisions of the reasons for concluding that the en-
the combined license for the facility. vironmental impacts associated with
104
site-specific decommissioning activi- (ii) The expenditure would not reduce

ties will be bounded by appropriate pre- the value of the decommissioning trust
viously issued environmental impact below an amount necessary to place
statements. and maintain the reactor in a safe stor-
(2) The NRC shall notice receipt of age condition if unforeseen conditions
the PSDAR and make the PSDAR or expenses arise and;
available for public comment. The NRC (iii) The withdrawals would not in-
shall also schedule a public meeting in hibit the ability of the licensee to com-
the vicinity of the licensee’s facility plete funding of any shortfalls in the
upon receipt of the PSDAR. The NRC decommissioning trust needed to en-
shall publish a document in the FED- sure the availability of funds to ulti-
ERAL REGISTER and in a forum, such as mately release the site and terminate
local newspapers, that is readily acces- the license.
sible to individuals in the vicinity of (2) Initially, 3 percent of the generic
the site, announcing the date, time and amount specified in § 50.75 of this chap-
location of the meeting, along with a ter may be used for decommissioning
brief description of the purpose of the planning. For licensees that have sub-
meeting. mitted the certifications required
(e) Licensees shall not perform any under § 52.110(a) and commencing 90
major decommissioning activities, as days after the NRC has received the
defined in § 50.2 of this chapter, until 90 PSDAR, an additional 20 percent may
days after the NRC has received the li- be used. A site-specific decommis-
censee’s PSDAR submittal and until sioning cost estimate must be sub-
certifications of permanent cessation mitted to the NRC before the licensee
of operations and permanent removal may use any funding in excess of these
of fuel from the reactor vessel, as re- amounts.
quired under § 52.110(a)(1), have been (3) Within 2 years following perma-
submitted. nent cessation of operations, if not al-
ready submitted, the licensee shall sub-
(f) Licensees shall not perform any
mit a site-specific decommissioning
decommissioning activities, as defined
cost estimate.
in § 52.1, that—
(4) For decommissioning activities
(1) Foreclose release of the site for
that delay completion of decommis-
possible unrestricted use;
sioning by including a period of storage
(2) Result in significant environ- or surveillance, the licensee shall pro-
mental impacts not previously re- vide a means of adjusting cost esti-
viewed; or mates and associated funding levels
(3) Result in there no longer being over the storage or surveillance period.
reasonable assurance that adequate (i) All power reactor licensees must
funds will be available for decommis- submit an application for termination
sioning. of license. The application for termi-
(g) In taking actions permitted under nation of license must be accompanied
§ 50.59 of this chapter following sub- or preceded by a license termination
mittal of the PSDAR, the licensee shall plan to be submitted for NRC approval.
notify the NRC in writing and send a (1) The license termination plan must
copy to the affected State(s), before be a supplement to the FSAR or equiv-
performing any decommissioning ac- alent and must be submitted at least 2
tivity inconsistent with, or making years before termination of the license
any significant schedule change from, date.
those actions and schedules described (2) The license termination plan must
in the PSDAR, including changes that include—
significantly increase the decommis- (i) A site characterization;
sioning cost. (ii) Identification of remaining dis-
(h)(1) Decommissioning trust funds mantlement activities;
may be used by licensees if— (iii) Plans for site remediation;
(i) The withdrawals are for expenses (iv) Detailed plans for the final radi-
for legitimate decommissioning activi- ation survey;

ties consistent with the definition of (v) A description of the end use of the
decommissioning in § 52.1; site, if restricted;
105
§ 52.131 10 CFR Ch. I (1–1–11 Edition)
(vi) An updated site-specific estimate piration of its license, the collection

of remaining decommissioning costs; period for any shortfall of funds will be
(vii) A supplement to the environ- determined, upon application by the li-
mental report, under § 51.53 of this censee, on a case-by-case basis taking
chapter, describing any new informa- into account the specific financial situ-
tion or significant environmental ation of each licensee.
change associated with the licensee’s
proposed termination activities; and Subpart D [Reserved]
(viii) Identification of parts, if any,
of the facility or site that were re-
leased for use before approval of the li-
Subpart E—Standard Design
cense termination plan. Approvals
(3) The NRC shall notice receipt of § 52.131 Scope of subpart.
the license termination plan and make
the license termination plan available This subpart sets out procedures for
for public comment. The NRC shall the filing, NRC staff review, and refer-
also schedule a public meeting in the ral to the Advisory Committee on Re-
vicinity of the licensee’s facility upon actor Safeguards of standard designs
receipt of the license termination plan. for a nuclear power reactor of the type
The NRC shall publish a document in described in § 50.22 of this chapter or
the FEDERAL REGISTER and in a forum, major portions thereof.
such as local newspapers, which is
§ 52.133 Relationship to other sub-
readily accessible to individuals in the parts.
vicinity of the site, announcing the
date, time and location of the meeting, (a) This subpart applies to a person
along with a brief description of the that requests a standard design ap-
purpose of the meeting. proval from the NRC staff separately
(j) If the license termination plan from an application for a construction
demonstrates that the remainder of de- permit filed under 10 CFR part 50 or a
commissioning activities will be per- combined license filed under subpart C
formed in accordance with the regula- of this part. An applicant for a con-
tions in this chapter, will not be inim- struction permit or combined license
ical to the common defense and secu- may reference a standard design ap-
rity or to the health and safety of the proval.
public, and will not have a significant (b) Subpart B of this part governs the
effect on the quality of the environ- certification by rulemaking of the de-
ment and after notice to interested sign of a nuclear power plant. Subpart
persons, the Commission shall approve B may be used independently of the
the plan, by license amendment, sub- provisions in this subpart.
ject to terms and conditions as it (c) Subpart F of this part governs the
deems appropriate and necessary and issuance of licenses to manufacture nu-
authorize implementation of the li- clear power reactors to be installed and
cense termination plan. operated at sites not identified in the
(k) The Commission shall terminate manufacturing license application.
the license if it determines that— Subpart F of this part may be used
(1) The remaining dismantlement has independently of the provisions in this
been performed in accordance with the subpart.
approved license termination plan; and
(2) The final radiation survey and as- § 52.135 Filing of applications.
sociated documentation, including an (a) Any person may submit a pro-
assessment of dose contributions asso- posed standard design for a nuclear
ciated with parts released for use be- power reactor of the type described in
fore approval of the license termi- 10 CFR 50.22 to the NRC staff for its re-
nation plan, demonstrate that the fa- view. The submittal may consist of ei-
cility and site have met the criteria for ther the final design for the entire fa-
decommissioning in subpart E to 10 cility or the final design of major por-
CFR part 20. tions thereof.

(l) For a facility that has perma- (b) The submittal for review of the
nently ceased operation before the ex- proposed standard design must be made
106
in the same manner and in the same sion systems, radioactive waste han-
number of copies as provided in 10 CFR dling systems, and fuel handling sys-
50.30 and 52.3 for license applications. tems shall be discussed insofar as they
(c) The fees associated with the filing are pertinent. The following power re-
and review of the application are set actor design characteristics will be
forth in 10 CFR part 170. taken into consideration by the Com-
mission:
§ 52.136 Contents of applications; gen- (i) Intended use of the reactor includ-
eral information. ing the proposed maximum power level
The application must contain all of and the nature and inventory of con-
the information required by 10 CFR tained radioactive materials;
50.33(a) through (d) and (j). (ii) The extent to which generally ac-
cepted engineering standards are ap-
§ 52.137 Contents of applications; tech- plied to the design of the reactor;
nical information. (iii) The extent to which the reactor
If the applicant seeks review of a incorporates unique, unusual or en-
major portion of a standard design, the hanced safety features having a signifi-
application need only contain the in- cant bearing on the probability or con-
formation required by this section to sequences of accidental release of ra-
the extent the requirements are appli- dioactive materials; and
cable to the major portion of the stand- (iv) The safety features that are to be
ard design for which NRC staff ap- engineered into the facility and those
proval is sought. barriers that must be breached as a re-
(a) The application must contain a sult of an accident before a release of
final safety analysis report that de- radioactive material to the environ-
scribes the facility, presents the design ment can occur. Special attention
bases and the limits on its operation, must be directed to plant design fea-
and presents a safety analysis of the tures intended to mitigate the radio-
structures, systems, and components logical consequences of accidents. In
and of the facility, or major portion performing this assessment, an appli-
thereof, and must include the following cant shall assume a fission product re-
information: lease 9 from the core into the contain-
(1) The site parameters postulated for ment assuming that the facility is op-
the design, and an analysis and evalua- erated at the ultimate power level con-
tion of the design in terms of those site templated. The applicant shall perform
parameters; an evaluation and analysis of the pos-
(2) A description and analysis of the tulated fission product release, using
SSCs of the facility, with emphasis the expected demonstrable contain-
upon performance requirements, the ment leak rate and any fission product
bases, with technical justification, cleanup systems intended to mitigate
upon which the requirements have been the consequences of the accidents, to-
established, and the evaluations re- gether with applicable postulated site
quired to show that safety functions parameters, including site meteor-
will be accomplished. It is expected ology, to evaluate the offsite radio-
that the standard plant will reflect logical consequences. The evaluation
through its design, construction, and must determine that:
operation an extremely low probability (A) An individual located at any
for accidents that could result in the point on the boundary of the exclusion
release of significant quantities of ra- area for any 2-hour period following
dioactive fission products. The descrip- the onset of the postulated fission
tion shall be sufficient to permit un-
derstanding of the system designs and
their relationship to the safety evalua- this evaluation should be based upon a major
tions. Items such as the reactor core, accident, hypothesized for purposes of site
reactor coolant system, instrumenta- possible accidental events. These accidents
tion and control systems, electrical

systems, containment system, other substantial meltdown of the core with subse-
engineered safety features, auxiliary quent release into the containment of appre-
and emergency systems, power conver- ciable quantities of fission products.
107
§ 52.137 10 CFR Ch. I (1–1–11 Edition)
product release, would not receive a ra- during normal operations and transient
diation dose in excess of 25 rem 10 total conditions anticipated during the life
effective dose equivalent (TEDE); and of the facility, and the adequacy of
(B) An individual located at any SSCs provided for the prevention of ac-
point on the outer boundary of the low cidents and the mitigation of the con-
population zone, who is exposed to the sequences of accidents. Analysis and
radioactive cloud resulting from the evaluation of ECCS cooling perform-
postulated fission product release (durance and the need for high-point vents
ing the entire period of its passage) following postulated loss-of-coolant ac-
would not receive a radiation dose in cidents shall be performed in accord-
excess of 25 rem TEDE; ance with the requirements of 10 CFR
(3) The design of the facility includ- 50.46 and 50.46a;
ing: (5) The kinds and quantities of radio-
(i) The principal design criteria for active materials expected to be pro-
the facility. Appendix A to 10 CFR part duced in the operation and the means
50, general design criteria (GDC), estab- for controlling and limiting radio-
lishes minimum requirements for the active effluents and radiation expo-
principal design criteria for water- sures within the limits set forth in part
cooled nuclear power plants similar in 20 of this chapter;
design and location to plants for which (6) The information required by
construction permits have previously § 20.1406 of this chapter;
been issued by the Commission and (7) The technical qualifications of the
provides guidance to applicants in es- applicant to engage in the proposed ac-
tablishing principal design criteria for tivities in accordance with the regula-
other types of nuclear power units; tions in this chapter;
(ii) The design bases and the relation (8) The information necessary to
of the design bases to the principal de- demonstrate compliance with any tech-
sign criteria; and nically relevant portions of the Three
(iii) Information relative to mate- Mile Island requirements set forth in 10
rials of construction, general arrange- CFR 50.34(f), except paragraphs
ment, and approximate dimensions, (f)(1)(xii), (f)(2)(ix), and (f)(3)(v) of 10
sufficient to provide reasonable assur- CFR 50.34(f);
ance that the design will conform to (9) For applications for light-water-
the design bases with adequate margin cooled nuclear power plants, an evalua-
for safety; tion of the standard plant design
(4) An analysis and evaluation of the against the Standard Review Plan
design and performance of SSC with (SRP) revision in effect 6 months be-
the objective of assessing the risk to fore the docket date of the application.
public health and safety resulting from The evaluation required by this section
operation of the facility and including shall include an identification and de-
determination of the margins of safety scription of all differences in design
features, analytical techniques, and
10 A whole body dose of 25 rem has been procedural measures proposed for the
stated to correspond numerically to the once design and those corresponding fea-
in a lifetime accidental or emergency dose tures, techniques, and measures given
for radiation workers which, according to in the SRP acceptance criteria. Where
NCRP recommendations at the time could be
disregarded in the determination of their ra-
a difference exists, the evaluation shall
diation exposure status (see NBS Handbook discuss how the proposed alternative
69 dated June 5, 1959). However, its use is not provides an acceptable method of com-
intended to imply that this number con- plying with the Commission’s regula-
stitutes an acceptable limit for an emer- tions, or portions thereof, that underlie
gency dose to the public under accident con- the corresponding SRP acceptance cri-
ditions. Rather, this dose value has been set teria. The SRP is not a substitute for
forth in this section as a reference value, the regulations, and compliance is not
which can be used in the evaluation of plant
a requirement;

provide assurance of low risk of public expo- the design of equipment to maintain
sure to radiation, in the event of an acci- control over radioactive materials in
dent. gaseous and liquid effluents produced
108
during normal reactor operations de- safety issues which are identified in
scribed in 10 CFR 50.34a(e); the version of NUREG–0933 current on
(11) The information pertaining to the date up to 6 months before the
design features that affect plans for docket date of the application and
coping with emergencies in the oper- which are technically relevant to the
ation of the reactor facility or a major design;
portion thereof; (22) The information necessary to
(12) An analysis and description of demonstrate how operating experience
the equipment and systems for combus- insights have been incorporated into
tible gas control as required by § 50.44 the plant design;
of this chapter; (23) For light-water reactor designs, a
(13) The list of electric equipment description and analysis of design fea-
important to safety that is required by tures for the prevention and mitigation
10 CFR 50.49(d); of severe accidents, e.g., challenges to
(14) A description of protection pro- containment integrity caused by core-
vided against pressurized thermal concrete interaction, steam explosion,
shock events, including projected val- high-pressure core melt ejection, hy-
ues of the reference temperature for re- drogen combustion, and containment
actor vessel beltline materials as de- bypass;
fined in 10 CFR 50.60 and 50.61; (24) A description, analysis, and eval-
(15) Information demonstrating how uation of the interfaces between the
the applicant will comply with require- standard design and the balance of the
ments for reduction of risk from an- nuclear power plant; and
ticipated transients without scram (25) A description of the design-spe-
(ATWS) events in § 50.62; cific probabilistic risk assessment and
(16) The coping analysis, and any de- its results.
sign features necessary to address sta- (26) For applications for standard de-
tion blackout, as described in § 50.63 of sign approvals which are subject to 10
this chapter; CFR 50.150(a), the information required
(17) Information demonstrating how by 10 CFR 50.150(b).
the applicant will comply with require- (b) An application for approval of a
ments for criticality accidents in standard design, which differs signifi-
§ 50.68(b)(2)–(b)(4); cantly from the light-water reactor de-
(18) A description and analysis of the signs of plants that have been licensed
fire protection design features for the and in commercial operation before
standard plant necessary to comply April 18, 1989, or uses simplified, inher-
with part 50, appendix A, GDC 3, and ent, passive, or other innovative means
§ 50.48 of this chapter; to accomplish its safety functions,
(19) A description of the quality as- must meet the requirements of 10 CFR
surance program applied to the design 50.43(e).
of the SSCs of the facility. Appendix B
to 10 CFR part 50, ‘‘Quality Assurance [72 FR 49517, Aug. 28, 2007, as amended at 74
Criteria for Nuclear Power Plants and FR 28147, June 12, 2009]
Fuel Reprocessing Plants,’’ sets forth
the requirements for quality assurance § 52.139 Standards for review of appli-
programs for nuclear power plants. The cations.
description of the quality assurance Applications filed under this subpart
program for a nuclear power plant will be reviewed for compliance with
shall include a discussion of how the the standards set out in 10 CFR parts
applicable requirements of appendix B 20, 50 and its appendices, and 10 CFR
to 10 CFR part 50 were satisfied; parts 73 and 100.
(20) The information necessary to
demonstrate that the standard plant § 52.141 Referral to the Advisory Com-
complies with the earthquake engi- mittee on Reactor Safeguards
neering criteria in 10 CFR part 50, ap- (ACRS).
pendix S; The Commission shall refer a copy of
(21) Proposed technical resolutions of the application to the ACRS. The

those Unresolved Safety Issues and ACRS shall report on those portions of
medium- and high-priority generic the application which concern safety.
109
§ 52.143 10 CFR Ch. I (1–1–11 Edition)
§ 52.143 Staff approval of design. plication for a construction permit or

Upon completion of its review of a an operating license under part 50 or a
submittal under this subpart and re- combined license or manufacturing li-
ceipt of a report by the Advisory Com- cense under part 52 that references the
mittee on Reactor Safeguards under final design approval and is docketed
§ 52.141 of this subpart, the NRC staff before the date of expiration of the de-
shall publish a determination in the sign approval.
FEDERAL REGISTER as to whether or
not the design is acceptable, subject to Subpart F—Manufacturing
appropriate terms and conditions, and Licenses
make an analysis of the design in the
form of a report available at the NRC § 52.151 Scope of subpart.
Web site, http://www.nrc.gov.
This subpart sets out the require-
§ 52.145 Finality of standard design ap- ments and procedures applicable to
provals; information requests. Commission issuance of a license au-
(a) An approved design must be used thorizing manufacture of nuclear
by and relied upon by the NRC staff power reactors to be installed at sites
and the ACRS in their review of any in- not identified in the manufacturing li-
dividual facility license application cense application.
that incorporates by reference a stand-
ard design approved in accordance with § 52.153 Relationship to other sub-
this paragraph unless there exists sig- parts.
nificant new information that substan- (a) A nuclear power reactor manufac-
tially affects the earlier determination tured under a manufacturing license
or other good cause.
issued under this subpart may only be
(b) The determination and report by
transported to and installed at a site
the NRC staff do not constitute a com-
mitment to issue a permit or license, for which either a construction permit
or in any way affect the authority of under part 50 of this chapter or a com-
the Commission, Atomic Safety and bined license under subpart C of this
Licensing Board Panel, or presiding of- part has been issued.
ficers in any proceeding under part 2 of (b) Subpart B of this part governs the
this chapter. certification by rulemaking of the de-
(c) Except for information requests sign of standard nuclear power facili-
seeking to verify compliance with the ties. Subpart E of this part governs the
current licensing basis of the standard NRC staff review and approval of
design approval, information requests standard designs for a nuclear power
to the holder of a standard design ap- facility. A manufacturing license appli-
proval must be evaluated before cant may reference a standard design
issuance to ensure that the burden to certification or a standard design ap-
be imposed on respondents is justified proval in its application. These sub-
in view of the potential safety signifi- parts may also be used independently
cance of the issue to be addressed in of the provisions in this subpart.
the requested information. Each eval-
uation performed by the NRC staff § 52.155 Filing of applications.
must be in accordance with 10 CFR
50.54(f) and must be approved by the (a) Any person, except one excluded
Executive Director for Operations or by 10 CFR 50.38, may file an application
his or her designee before issuance of for a manufacturing license under this
the request. subpart with the Director of New Reac-
tors or the Director of Nuclear Reactor
§ 52.147 Duration of design approval. Regulation, as appropriate.
A standard design approval issued (b) The application must comply with
under this subpart is valid for 15 years the applicable filing requirements of
from the date of issuance and may not §§ 52.3 and 50.30 of this chapter.
be renewed. A design approval con- (c) The fees associated with the filing
tinues to be valid beyond the date of and review of the application are set
expiration in any proceeding on an ap- forth in 10 CFR part 170.
110
§ 52.156 Contents of applications; gen- tures, auxiliary and emergency sys-

eral information. tems, power conversion systems, radio-
The application must contain all of active waste handling systems, and
the information required by 10 CFR fuel handling systems shall be dis-
50.33(a) through (d), and (j). cussed insofar as they are pertinent.
The following power reactor design
§ 52.157 Contents of applications; tech- characteristics will be taken into con-
nical information in final safety sideration by the Commission:
analysis report. (1) Intended use of the manufactured
The application must contain a final reactor including the proposed max-
safety analysis report containing the imum power level and the nature and
information set forth below, with a inventory of contained radioactive ma-
level of design information sufficient terials;
to enable the Commission to judge the (2) The extent to which generally ac-
applicant’s proposed means of assuring cepted engineering standards are ap-
that the manufacturing conforms to plied to the design of the reactor; and
the design and to reach a final conclu- (3) The extent to which the reactor
sion on all safety questions associated incorporates unique, unusual or en-
with the design, permit the preparation hanced safety features having a signifi-
of construction and installation speci- cant bearing on the probability or con-
fications by an applicant who seeks to sequences of accidental release of ra-
use the manufactured reactor, and per- dioactive materials;
mit the preparation of acceptance and (d) The safety features that are engi-
inspection requirements by the NRC: neered into the reactor and those bar-
(a) The principal design criteria for riers that must be breached as a result
the reactor to be manufactured. Appen- of an accident before a release of radio-
dix A of 10 CFR part 50, ‘‘General De- active material to the environment can
sign Criteria for Nuclear Power occur. Special attention must be di-
Plants,’’ establishes minimum require- rected to reactor design features in-
ments for the principal design criteria tended to mitigate the radiological
for water-cooled nuclear power plants consequences of accidents. In per-
similar in design and location to plants forming this assessment, an applicant
for which construction permits have shall assume a fission product release 11
previously been issued by the Commis- from the core into the containment as-
sion and provides guidance to appli- suming that the facility is operated at
cants in establishing principal design the ultimate power level contemplated.
criteria for other types of nuclear The applicant shall perform an evalua-
power units; tion and analysis of the postulated fis-
(b) The design bases and the relation sion product release, using the ex-
of the design bases to the principal de- pected demonstrable containment leak
sign criteria; rate and any fission product cleanup
(c) A description and analysis of the systems intended to mitigate the con-
structures, systems, and components of sequences of the accidents, together
the reactor to be manufactured, with with applicable postulated site param-
emphasis upon the materials of manu- eters, including site meteorology, to
facture, performance requirements, the evaluate the offsite radiological con-
bases, with technical justification sequences. The evaluation must deter-
therefor, upon which the performance mine that:
requirements have been established, (1) An individual located at any point
and the evaluations required to show on the boundary of the exclusion area
that safety functions will be accom-
plished. The description shall be suffi-
cient to permit understanding of the this evaluation should be based upon a major
system designs and their relationship accident, hypothesized for purposes of site
to safety evaluations. Items such as possible accidental events. These accidents
the reactor core, reactor coolant sys-

tem, instrumentation and control sys- substantial meltdown of the core with subse-
tems, electrical systems, containment quent release into the containment of appre-
system, other engineered safety fea- ciable quantities of fission products.
111
§ 52.157 10 CFR Ch. I (1–1–11 Edition)
for any 2 hour period following the following postulated loss-of-coolant ac-
onset of the postulated fission product cidents shall be performed in accord-
release, would not receive a radiation ance with the requirements of §§ 50.46
dose in excess of 25 rem 12 total effec- and 50.46a of this chapter;
tive dose equivalent (TEDE); (2) A description and analysis of the
(2) An individual located at any point fire protection design features for the
on the outer boundary of the low popu- reactor necessary to comply with 10
lation zone, who is exposed to the ra- CFR part 50, appendix A, GDC 3 and
dioactive cloud resulting from the pos-
§ 50.48 of this chapter;
tulated fission product release (during
the entire period of its passage) would (3) A description of protection pro-
not receive a radiation dose in excess vided against pressurized thermal
of 25 rem TEDE; and shock events, including projected val-
(e) The kinds and quantities of radio- ues of the reference temperature for re-
active materials expected to be pro- actor vessel beltline materials as de-
duced in the operation and the means fined in §§ 50.60 and 50.61 of this chap-
for controlling and limiting radio- ter;
active effluents and radiation expo- (4) An analysis and description of the
sures within the limits set forth in part equipment and systems for combustible
20 of this chapter. gas control as required by § 50.44 of this
(f) Information necessary to establish chapter;
that the design of the reactor to be (5) The coping analysis, and any de-
manufactured complies with the tech- sign features necessary to address sta-
nical requirements in 10 CFR Chapter tion blackout, as described in § 50.63 of
I, including: this chapter;
(1) An analysis and evaluation of the
(6) The list of electric equipment im-
design and performance of structures,
portant to safety that is required by 10
systems, and components with the ob-
CFR 50.49(d);
jective of assessing the risk to public
health and safety resulting from oper- (7) Information demonstrating how
ation of the facility and including de- the applicant will comply with require-
termination of the margins of safety ments for reduction of risk from an-
during normal operations and transient ticipated transients without scram
conditions anticipated during the life (ATWS) events in § 50.62;
of the facility, and the adequacy of (8) Information demonstrating how
structures, systems, and components the applicant will comply with require-
provided for the prevention of acci- ments for criticality accidents in
dents and the mitigation of the con- § 50.68(b)(2)–(b)(4);
sequences of accidents. Analysis and (9) The information required by
evaluation of ECCS cooling perform- § 20.1406 of this chapter;
ance and the need for high-point vents (10) [Reserved]
12 A whole body dose of 25 rem has been
the design of equipment to maintain
stated to correspond numerically to the once control over radioactive materials in
in a lifetime accidental or emergency dose
for radiation workers which, according to gaseous and liquid effluents produced
NCRP recommendations at the time could be during normal reactor operations, as
disregarded in the determination of their ra- described in § 50.34a(e) of this chapter;
diation exposure status (see NBS Handbook (12) The information necessary to
69 dated June 5, 1959). However, its use is not demonstrate compliance with any tech-
intended to imply that this number con-
nically relevant portions of the Three
gency dose to the public under accident con- Mile Island requirements set forth in
ditions. Rather, this dose value has been set § 50.34(f) of this chapter, except para-
forth in this section as a reference value, graphs (f)(1)(xii), (f)(2)(ix), and (f)(3)(v);
which can be used in the evaluation of plant (13) If the applicant seeks to use risk-
informed treatment of SSCs in accord-

provide assurance of low risk of public expo- ance with § 50.69 of this chapter, the in-
sure to radiation, in the event of an acci- formation required by § 50.69(b)(2) of
dent. this chapter;
112
(14) The information necessary to the interface requirements in para-

demonstrate that the manufactured re- graph (f)(20) of this section;
actor complies with the earthquake en- (23) For light-water reactor designs, a
gineering criteria in appendix S to 10 description and analysis of design fea-
CFR part 50; tures for the prevention and mitigation
(15) Information sufficient to dem- of severe accidents, e.g., challenges to
onstrate compliance with the applica- containment integrity caused by core-
ble requirements regarding testing, concrete interaction, steam explosion,
analysis, and prototypes as set forth in high-pressure core melt ejection, hy-
§ 50.43(e) of this chapter; drogen combustion, and containment
(16) The technical qualifications of bypass;
the applicant to engage in the proposed (24) [Reserved]
activities in accordance with the regu- (25) If the reactor is to be used in
lations in this chapter; modular plant design, a description of
(17) A description of the quality as- the possible operating configurations
surance program applied to the design, of the reactor modules with common
and to be applied to the manufacture systems, interface requirements, and
of, the structures, systems, and compo- system interactions. The final safety
nents of the reactor. Appendix B to 10 analysis must also account for dif-
CFR part 50, ‘‘Quality Assurance Cri- ferences among the configurations, in-
cluding any restrictions that will be
teria for Nuclear Power Plants and
necessary during the construction and
Fuel Reprocessing Plants,’’ sets forth
startup of a given module to ensure the
the requirements for quality assurance
safe operation of any module already
programs for nuclear power plants. The
operating;
description of the quality assurance
(26) A description of the management
program must include a discussion of
plan for design and manufacturing ac-
how the applicable requirements of ap-
tivities, including:
pendix B to 10 CFR part 50 have been
(i) The organizational and manage-
and will be satisfied; and
ment structure singularly responsible
(18) Proposed technical specifications for direction of design and manufacture
applicable to the reactor being manu- of the reactor;
factured, prepared in accordance with (ii) Technical resources directed by
the requirements of §§ 50.36 and 50.36a the applicant, and the qualifications
of this chapter; requirements;
(19) The site parameters postulated (iii) Details of the interaction of de-
for the design, and an analysis and sign and manufacture within the appli-
evaluation of the reactor design in cant’s organization and the manner by
terms of those site parameters; which the applicant will ensure close
(20) The interface requirements be- integration of the architect engineer
tween the manufactured reactor and and the nuclear steam supply vendor,
the remaining portions of the nuclear as applicable;
power plant. These requirements must (iv) Proposed procedures governing
be sufficiently detailed to allow for the preparation of the manufactured
completion of the final safety analysis; reactor for shipping to the site where it
(21) Justification that compliance is to be operated, the conduct of ship-
with the interface requirements of ping, and verifying the condition of the
paragraph (f)(20) of this section is manufactured reactor upon receipt at
verifiable through inspections, testing, the site; and
or analysis. The method to be used for (v) The degree of top level manage-
verification of interface requirements ment oversight and technical control
must be included as part of the pro- to be exercised by the applicant during
posed ITAAC required by § 52.158(a); design and manufacture, including the
(22) A representative conceptual de- preparation and implementation of
sign for a nuclear power facility using procedures necessary to guide the ef-
the manufactured reactor, to aid the fort;
NRC in its review of the final safety (27) Necessary parameters to be used
analysis required by this section and to in developing plans for preoperational
permit assessment of the adequacy of testing and initial operation;
113
§ 52.158 10 CFR Ch. I (1–1–11 Edition)
(28) Proposed technical resolutions of (i) The reactor has been manufac-
those Unresolved Safety Issues and tured in conformity with the manufac-
medium- and high-priority generic turing license; the provisions of the
safety issues which are identified in Act, and the Commission’s rules and
the version of NUREG–0933 current on regulations; and
the date up to 6 months before the (ii) The manufactured reactor will be
docket date of the application and operated in conformity with the ap-
which are technically relevant to the proved design and any license author-
design; izing operation of the manufactured re-
(29) The information necessary to actor.
demonstrate how operating experience (2) If the application references a
insights have been incorporated into standard design certification, the
the manufactured reactor design; ITAAC contained in the certified de-
(30) For applications for light-water- sign must apply to those portions of
cooled nuclear power plants, an evalua- the facility design which are covered
tion of the design to be manufactured by the design certification.
against the Standard Review Plan (3) If the application references a
(SRP) revision in effect 6 months be- standard design certification, the ap-
fore the docket date of the application. plication may include a notification
The evaluation required by this section that a required inspection, test, or
shall include an identification and de- analysis in the design certification
scription of all differences in design ITAAC has been successfully completed
features, analytical techniques, and and that the corresponding acceptance
procedural measures proposed for the criterion has been met. The FEDERAL
design and those corresponding fea- REGISTER notification required by
tures, techniques, and measures given § 52.163 must indicate that the applica-
in the SRP acceptance criteria. Where tion includes this notification.
a difference exists, the evaluation shall (b)(1) An environmental report as re-
discuss how the proposed alternative quired by 10 CFR 51.54.
provides an acceptable method of com- (2) If the manufacturing license ap-
plying with the Commission’s regula- plication references a standard design
tions, or portions thereof, that underlie certification, the environmental report
the corresponding SRP acceptance cri- need not contain a discussion of severe
teria. The SRP is not a substitute for accident mitigation design alternatives
the regulations, and compliance is not for the reactor.
a requirement; and
(31) A description of the design-spe- § 52.159 Standards for review of appli-
cific probabilistic risk assessment and cation.
its results. Applications filed under this subpart
(32) For applications for manufac- will be reviewed according to the appli-
turing licenses which are subject to 10 cable standards set out in 10 CFR parts
CFR 50.150(a), the information required 20, 50 and its appendices, 51, 73, and 100
by 10 CFR 50.150(b). and its appendices.
FR 28147, June 12, 2009] § 52.161 [Reserved]
§ 52.158 Contents of application; addi- § 52.163 Administrative review of ap-

tional technical information. plications; hearings.
The application must contain: A proceeding on a manufacturing li-
(a)(1) Inspections, tests, analyses, and cense is subject to all applicable proce-
acceptance criteria (ITAAC). The pro- dural requirements contained in 10
posed inspections, tests, and analyses CFR part 2, including the requirements
that the licensee who will be operating for docketing in § 2.101(a)(1) through (4)
the reactor shall perform, and the ac- of this chapter, and the requirements
ceptance criteria that are necessary for issuance of a notice of proposed ac-
and sufficient to provide reasonable as- tion in § 2.105 of this chapter, provided,
surance that, if the inspections, tests, however, that the designated sections
and analyses are performed and the ac- may not be construed to require that
ceptance criteria met: the environmental report or draft or
114
final environmental impact statement common defense and security or to the

include an assessment of the benefits of health and safety of the public; and
constructing and/or operating the man- (7) The findings required by subpart
ufactured reactor or an evaluation of A of part 51 of this chapter have been
alternative energy sources. All hear- made.
ings on manufacturing licenses are (b) Each manufacturing license
governed by the hearing procedures issued under this subpart shall specify:
contained in 10 CFR part 2, subparts C, (1) Terms and conditions as the Com-
G, L, and N. mission deems necessary and appro-
priate;
§ 52.165 Referral to the Advisory Com- (2) Technical specifications for oper-
mittee on Reactor Safeguards ation of the manufactured reactor, as
(ACRS). the Commission deems necessary and
The Commission shall refer a copy of appropriate;
the application to the ACRS. The (3) Site parameters and design char-
ACRS shall report on those portions of acteristics for the manufactured reac-
the application which concern safety. tor; and
(4) The interface requirements to be
§ 52.167 Issuance of manufacturing li- met by the site-specific elements of the
cense. facility, such as the service water in-
(a) After completing any hearing take structure and the ultimate heat
under § 52.163, and receiving the report sink, not within the scope of the manu-
submitted by the ACRS, the Commis- factured reactor.
sion may issue a manufacturing license (c)(1) A holder of a manufacturing li-
if the Commission finds that: cense may not transport or allow to be
(1) Applicable standards and require- removed from the place of manufacture
ments of the Act and the Commission’s the manufactured reactor except to the
regulations have been met; site of a licensee with either a con-
struction permit under part 50 of this
(2) There is reasonable assurance
chapter or a combined license under
that the reactor(s) will be manufac-
subpart C of this part. The construc-
tured, and can be transported, incor-
tion permit or combined license must
porated into a nuclear power plant, and
authorize the construction of a nuclear
operated in conformity with the manu-
power facility using the manufactured
facturing license, the provision of the
reactor(s).
Act, and the Commission’s regulations;
(2) A holder of a manufacturing li-
(3) The proposed reactor(s) can be in- cense shall include, in any contract
corporated into a nuclear power plant governing the transport of a manufac-
and operated at sites having character- tured reactor from the place of manu-
istics that fall within the site param- facture to any other location, a provi-
eters postulated for the design of the sion requiring that the person or entity
manufactured reactor(s) without undue transporting the manufactured reactor
risk to the health and safety of the to comply with all NRC-approved ship-
public; ping requirements in the manufac-
(4) The applicant is technically quali- turing license.
fied to design and manufacture the pro-
posed nuclear power reactor(s); § 52.169 [Reserved]
(5) The proposed inspections, tests,
analyses and acceptance criteria are § 52.171 Finality of manufacturing li-
necessary and sufficient, within the censes; information requests.
scope of the manufacturing license, to (a)(1) Notwithstanding any provision
provide reasonable assurance that the in 10 CFR 50.109, during the term of a
manufactured reactor has been manu- manufacturing license the Commission
factured and will be operated in con- may not modify, rescind, or impose
formity with the license, the provisions new requirements on the design of the
of the Act, and the Commission’s regu- nuclear power reactor being manufac-
lations; tured, or the requirements for the man-

(6) The issuance of a license to the ufacture of the nuclear power reactor,
applicant will not be inimical to the unless the Commission determines that
115
§ 52.173 10 CFR Ch. I (1–1–11 Edition)
a modification is necessary to bring may grant a request only if it deter-

the design of the reactor or its manu- mines that the departure will comply
facture into compliance with the Com- with the requirements of 10 CFR 52.7,
mission’s requirements applicable and and that the special circumstances out-
in effect at the time the manufacturing weigh any decrease in safety that may
license was issued, or to provide rea- result from the reduction in standard-
sonable assurance of adequate protec- ization caused by the departure. The
tion to public health and safety or granting of a departure on request of
common defense and security. an applicant is subject to litigation in
(2) Any modification to the design of the same manner as other issues in the
a manufactured nuclear power reactor construction permit or combined li-
which is imposed by the Commission cense hearing.
under paragraph (a)(1) of this section (c) Except for information requests
will be applied to all reactors manufac- seeking to verify compliance with the
tured under the license, including current licensing basis of either the
those that have already been trans- manufacturing license or the manufac-
ported and sited, except those reactors tured reactor, information requests to
to which the modification has been the holder of a manufacturing license
rendered technically irrelevant by ac- or an applicant or licensee using a
tion taken under paragraph (b) of this manufactured reactor must be evalu-
section. ated before issuance to ensure that the
(3) In making the findings required burden to be imposed on respondents is
for issuance of a construction permit, justified in view of the potential safety
operating license, combined license, in significance of the issue to be ad-
any hearing under § 52.103, or in any en- dressed in the requested information.
forcement hearing other than one initi- Each evaluation performed by the NRC
ated by the Commission under para- staff must be in accordance with 10
graph (a)(1) of this section, for which a CFR 50.54(f) and must be approved by
nuclear power reactor manufactured the Executive Director for Operations
under this subpart is referenced or or his or her designee before issuance
used, the Commission shall treat as re- of the request.
solved those matters resolved in the
proceeding on the application for § 52.173 Duration of manufacturing li-
issuance or renewal of the manufac- cense.
turing license, including the adequacy A manufacturing license issued under
of design of the manufactured reactor, this subpart may be valid for not less
the costs and benefits of severe acci- than 5, nor more than 15 years from the
dent mitigation design alternatives, date of issuance. A holder of a manu-
and the bases for not incorporating se- facturing license may not initiate the
vere accident mitigation design alter- manufacture of a reactor less than 3
natives into the design of the reactor years before the expiration of the li-
to be manufactured. cense even though a timely application
(b)(1) The holder of a manufacturing for renewal has been docketed with the
license may not make changes to the NRC. Upon expiration of the manufac-
design of the nuclear power reactor au- turing license, the manufacture of any
thorized to be manufactured without uncompleted reactors must cease un-
prior Commission approval. The re- less a timely application for renewal
quest for a change to the design must has been docketed with the NRC.
be in the form of an application for a
license amendment, and must meet the § 52.175 Transfer of manufacturing li-
requirements of 10 CFR 50.90 and 50.92. cense.
(2) An applicant or licensee who ref- A manufacturing license may be
erences or uses a nuclear power reactor transferred in accordance with § 50.80 of
manufactured under a manufacturing this chapter.
license under this subpart may request
a departure from the design character- § 52.177 Application for renewal.
istics, site parameters, terms and con- (a) Not less than 12 months, nor more
ditions, or approved design of the man- than 5 years before the expiration of
ufactured reactor. The Commission the manufacturing license, or any later
116
renewal period, the holder of the manu- safety or the common defense and secu-
facturing license may apply for a re- rity to be derived from the new re-
newal of the license. An application for quirements, and the direct and indirect
renewal must contain all information costs of implementation of those re-
necessary to bring up to date the infor- quirements are justified in view of this
mation and data contained in the pre- increased protection.
vious application.
(b) The filing of an application for a § 52.181 Duration of renewal.
renewed license must be in accordance A renewed manufacturing license
with subpart A of 10 CFR part 2 and 10 may be issued for a term of not less
CFR 52.3 and 50.30. than 5, nor more than 15 years, plus
(c) A manufacturing license, either any remaining years on the manufac-
original or renewed, for which a timely turing license then in effect before re-
application for renewal has been filed, newal. The renewed license shall be
remains in effect until the Commission subject to the requirements of §§ 52.171
has made a final determination on the and 52.175.
renewal application, provided, however,
that in accordance with § 52.173, the Subpart G [Reserved]
holder of a manufacturing license may
not begin manufacture of a reactor less Subpart H—Enforcement
than 3 years before the expiration of
the license. § 52.301 Violations.
(d) Any person whose interest may be (a) The Commission may obtain an
affected by renewal of the permit may injunction or other court order to pre-
request a hearing on the application vent a violation of the provisions of—
for renewal. The request for a hearing (1) The Atomic Energy Act of 1954, as
must comply with 10 CFR 2.309. If a amended;
hearing is granted, notice of the hear- (2) Title II of the Energy Reorganiza-
ing will be published in accordance tion Act of 1974, as amended; or
with 10 CFR 2.104. (3) A regulation or order issued under
(e) The Commission shall refer a copy those Acts.
of the application for renewal to the (b) The Commission may obtain a
Advisory Committee on Reactor Safe- court order for the payment of a civil
guards (ACRS). The ACRS shall report penalty imposed under Section 234 of
on those portions of the application the Atomic Energy Act:
which concern safety and shall apply (1) For violations of—
the criteria set forth in § 52.159. (i) Sections 53, 57, 62, 63, 81, 82, 101,
103, 104, 107, or 109 of the Atomic En-
§ 52.179 Criteria for renewal. ergy Act of 1954, as amended;
The Commission may grant the re- (ii) Section 206 of the Energy Reorga-
newal if the Commission determines: nization Act;
(a) The manufacturing license com- (iii) Any regulation, or order issued
plies with the Atomic Energy Act and under the sections specified in para-
the Commission’s regulations and or- graph (b)(1)(i) of this section;
ders applicable and in effect at the (iv) Any term, condition, or limita-
time the manufacturing license was tion of any license issued under the
originally issued; and sections specified in paragraph (b)(1)(i)
(b) Any new requirements the Com- of this section.
mission may wish to impose are: (2) For any violation for which a li-
(1) Necessary for adequate protection cense may be revoked under Section
to public health and safety or common 186 of the Atomic Energy Act of 1954, as
defense and security; amended.
(2) Necessary for compliance with the
Commission’s regulations and orders § 52.303 Criminal penalties.
applicable and in effect at the time the (a) Section 223 of the Atomic Energy
manufacturing license was originally Act of 1954, as amended, provides for
issued; or criminal sanctions for willful violation

(3) A substantial increase in overall of, attempted violation of, or con-
protection of the public health and spiracy to violate, any regulation
117
Pt. 52, App. A 10 CFR Ch. I (1–1–11 Edition)
issued under Sections 161b, 161i, or 161o 3. Inspections, tests, analyses, and accept-
of the Act. For purposes of Section 223, ance criteria (ITAAC);
all the regulations in part 52 are issued 4. Significant site parameters; and
under one or more of Sections 161b, 5. Significant interface requirements.
E. Tier 2 means the portion of the design-
161i, or 160o, except for the sections related information contained in the generic
listed in paragraph (b) of this section. DCD that is approved but not certified by
(b) The regulations in part 52 that this appendix (Tier 2 information). Compli-
are not issued under Sections 161b, 161i, ance with Tier 2 is required, but generic
or 161o for the purposes of Section 223 changes to and plant-specific departures
are as follows: §§ 52.0, 52.1, 52.2, 52.3, from Tier 2 are governed by Section VIII of
52.7, 52.8, 52.9, 52.10, 52.11, 52.12, 52.13, this appendix. Compliance with Tier 2 pro-
52.15, 52.16, 52.17, 52.18, 52.21, 52.23, 52.24, vides a sufficient, but not the only accept-
able, method for complying with Tier 1.
52.27, 52.28, 52.29, 52.31, 52.33, 52.39, 52.41,
Compliance methods differing from Tier 2
52.43, 52.45, 52.46, 52.47, 52.48, 52.51, 52.53, must satisfy the change process in Section
52.54, 52.55, 52.57, 52.59, 52.61, 52.63, 52.71, VIII of this appendix. Regardless of these dif-
52.73, 52.75, 52.77, 52.79, 52.80, 52.81, 52.83, ferences, an applicant or licensee must meet
52.85, 52.87, 52.93, 52.97, 52.98, 52.103, the requirement in Section III.B of this ap-
52.104, 52.105, 52.107, 52.109, 52.131, 52.133, pendix to reference Tier 2 when referencing
52.135, 52.136, 52.137, 52.139, 52.141, 52.143, Tier 1. Tier 2 information includes:
52.145, 52.147, 52.151, 52.153, 52.155, 52.156, 1. Information required by §§ 52.47(a) and
52.47(c), with the exception of generic tech-
52.157, 52.158, 52.159, 52.161, 52.163, 52.165,
nical specifications and conceptual design
52.167, 52.171, 52.173, 52.175, 52.177, 52.179, information;
52.181, 52.301, and 52.303. 2. Supporting information on the inspec-
tions, tests, and analyses that will be per-
APPENDIX A TO PART 52—DESIGN CER- formed to demonstrate that the acceptance
TIFICATION RULE FOR THE U.S. AD- criteria in the ITAAC have been met; and
VANCED BOILING WATER REACTOR 3. Combined license (COL) action items
(COL license information), which identify
I. INTRODUCTION certain matters that must be addressed in
Appendix A constitutes the standard de- the site-specific portion of the final safety
sign certification for the U.S. Advanced Boil- analysis report (FSAR) by an applicant who
ing Water Reactor (ABWR) design, in accord- references this appendix. These items con-
ance with 10 CFR part 52, subpart B. The ap- stitute information requirements but are not
plicant for certification of the U.S. ABWR the only acceptable set of information in the
design was GE Nuclear Energy. FSAR. An applicant may depart from or
omit these items, provided that the depar-
II. DEFINITIONS ture or omission is identified and justified in
A. Generic design control document (ge- the FSAR. After issuance of a construction
neric DCD) means the document containing permit or COL, these items are not require-
the Tier 1 and Tier 2 information and generic ments for the licensee unless such items are
technical specifications that is incorporated restated in the FSAR.
by reference into this appendix. F. Tier 2* means the portion of the Tier 2
B. Generic technical specifications means information, designated as such in the ge-
the information, required by 10 CFR 50.36 and neric DCD, which is subject to the change
50.36a, for the portion of the plant that is process in Section VIII.B.6 of this appendix.
within the scope of this appendix. This designation expires for some Tier 2* in-
C. Plant-specific DCD means the docu- formation under Section VIII.B.6.
ment, maintained by an applicant or licensee G. Departure from a method of evaluation
who references this appendix, consisting of described in the plant-specific DCD used in
the information in the generic DCD, as modi- establishing the design bases or in the safety
fied and supplemented by the plant-specific analyses means:
departures and exemptions made under Sec- (1) Changing any of the elements of the
tion VIII of this appendix. method described in the plant-specific DCD
D. Tier 1 means the portion of the design- unless the results of the analysis are con-
related information contained in the generic servative or essentially the same; or
DCD that is approved and certified by this (2) Changing from a method described in
appendix (hereinafter Tier 1 information). the plant-specific DCD to another method
The design descriptions, interface require- unless that method has been approved by
ments, and site parameters are derived from NRC for the intended application.
Tier 2 information. Tier 1 information in- H. All other terms in this appendix have
cludes: the meaning set out in 10 CFR 50.2 or 52.1, or
1. Definitions and general provisions; Section 11 of the Atomic Energy Act of 1954,
2. Design descriptions; as amended, as applicable.
118
Nuclear Regulatory Commission Pt. 52, App. A
III. SCOPE AND CONTENTS and supplemented by the applicant’s exemp-
tions and departures;
A. Tier 1, Tier 2, and the generic technical
b. The reports on departures from and up-
specifications in the U.S. ABWR Design Con-
dates to the plant-specific DCD required by
trol Document, GE Nuclear Energy, Revision
paragraph X.B of this appendix;
4 dated March 1997, are approved for incorpo-
c. Plant-specific technical specifications,
ration by reference by the Director of the Of-
fice of the Federal Register in accordance consisting of the generic and site-specific
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies technical specifications, that are required by
of the generic DCD may be obtained from the 10 CFR 50.36 and 50.36a;
National Technical Information Service, 5285 d. Information demonstrating compliance
Port Royal Road, Springfield, Virginia 22161. with the site parameters and interface re-
A copy is available for examination and quirements;
copying at the NRC Public Document Room e. Information that addresses the COL ac-
located at One White Flint North, 11555 tion items; and
Rockville Pike (first floor), Rockville, Mary- f. Information required by 10 CFR 52.47
land 20852. Copies are also available for ex- that is not within the scope of this appendix.
amination at the NRC Library located at 3. Include, in the plant-specific DCD, the
Two White Flint North, 11545 Rockville Pike, proprietary information and safeguards in-
Rockville, Maryland 20582 and the Office of formation referenced in the U.S. ABWR DCD.
the Federal Register, 800 North Capitol B. The Commission reserves the right to
Street, NW., Suite 700, Washington, DC. determine in what manner this appendix
B. An applicant or licensee referencing this may be referenced by an applicant for a con-
appendix, in accordance with Section IV of struction permit or operating license under
this appendix, shall incorporate by reference 10 CFR part 50.
and comply with the requirements of this ap- V. APPLICABLE REGULATIONS
pendix, including Tier 1, Tier 2, and the ge-
neric technical specifications except as oth- A. Except as indicated in paragraph B of
erwise provided in this appendix. Conceptual this section, the regulations that apply to
design information, as set forth in the ge- the U.S. ABWR design are in 10 CFR parts 20,
neric DCD, and the ‘‘Technical Support Docu- 50, 73, and 100, codified as of May 2, 1997, that
ment for the ABWR’’ are not part of this ap- are applicable and technically relevant, as
pendix. Tier 2 references to the probabilistic described in the FSER (NUREG–1503) and
risk assessment (PRA) in the ABWR stand- Supplement No. 1.
ard safety analysis report do not incorporate B. The U.S. ABWR design is exempt from
the PRA into Tier 2. portions of the following regulations:
C. If there is a conflict between Tier 1 and 1. Paragraph (f)(2)(iv) of 10 CFR 50.34—Sep-
Tier 2 of the DCD, then Tier 1 controls. arate Plant Safety Parameter Display Con-
D. If there is a conflict between the generic sole;
DCD and either the application for design 2. Paragraph (f)(2)(viii) of 10 CFR 50.34—
certification of the U.S. ABWR design or Post-Accident Sampling for Boron, Chloride,
NUREG–1503, ‘‘Final Safety Evaluation Re- and Dissolved Gases; and
port related to the Certification of the Ad- 3. Paragraph (f)(3)(iv) of 10 CFR 50.34—
vanced Boiling Water Reactor Design’’ Dedicated Containment Penetration.
(FSER), and Supplement No. 1, then the ge-
neric DCD controls. VI. ISSUE RESOLUTION
E. Design activities for structures, sys- A. The Commission has determined that
tems, and components that are wholly out- the structures, systems, components, and de-
side the scope of this appendix may be per- sign features of the U.S. ABWR design com-
formed using site characteristics, provided ply with the provisions of the Atomic Energy
the design activities do not affect the DCD Act of 1954, as amended, and the applicable
or conflict with the interface requirements. regulations identified in Section V of this
appendix; and therefore, provide adequate
IV. ADDITIONAL REQUIREMENTS AND protection to the health and safety of the
RESTRICTIONS public. A conclusion that a matter is re-
A. An applicant for a combined license solved includes the finding that additional or
that wishes to reference this appendix shall, alternative structures, systems, components,
in addition to complying with the require- design features, design criteria, testing,
ments of 10 CFR 52.77, 52.79, and 52.80, comply analyses, acceptance criteria, or justifica-
with the following requirements: tions are not necessary for the U.S. ABWR
1. Incorporate by reference, as part of its design.
application, this appendix; B. The Commission considers the following
2. Include, as part of its application: matters resolved within the meaning of 10
a. A plant-specific DCD containing the CFR 52.63(a)(5) in subsequent proceedings for

same type of information and using the same issuance of a combined license, amendment
organization and numbering as the generic of a combined license, or renewal of a com-
DCD for the U.S. ABWR design, as modified bined license, proceedings held under 10 CFR
119
52.103, and enforcement proceedings involv- tems, components, or design features dis-
ing plants referencing this appendix: cussed in the generic DCD.
1. All nuclear safety issues, except for the E.1. Persons who wish to review propri-
generic technical specifications and other etary and safeguards information or other
operational requirements, associated with secondary references in the DCD for the U.S.
the information in the FSER and Supple- ABWR design, in order to request or partici-
ment No. 1, Tier 1, Tier 2 (including ref- pate in the hearing required by 10 CFR 52.85
erenced information which the context indi- or the hearing provided under 10 CFR 52.103,
cates is intended as requirements), and the or to request or participate in any other
rulemaking record for certification of the hearing relating to this appendix in which
U.S. ABWR design;
interested persons have adjudicatory hearing
2. All nuclear safety and safeguards issues
rights, shall first request access to such in-
associated with the information in propri-
etary and safeguards documents, referenced formation from GE Nuclear Energy. The re-
and in context, are intended as requirements quest must state with particularity:
in the generic DCD for the U.S. ABWR de- a. The nature of the proprietary or other
sign; information sought;
3. All generic changes to the DCD under b. The reason why the information cur-
and in compliance with the change processes rently available to the public at the NRC
in Sections VIII.A.1 and VIII.B.1 of this ap- Web site, http://www.nrc.gov, and/or at the
pendix; NRC Public Document Room, is insufficient;
4. All exemptions from the DCD under and c. The relevance of the requested informa-
in compliance with the change processes in tion to the hearing issue(s) which the person
Sections VIII.A.4 and VIII.B.4 of this appen- proposes to raise; and
dix, but only for that plant; d. A showing that the requesting person
5. All departures from the DCD that are ap- has the capability to understand and utilize
proved by license amendment, but only for the requested information.
that plant;
2. If a person claims that the information
6. Except as provided in paragraph
VIII.B.5.f of this appendix, all departures is necessary to prepare a request for hearing,
from Tier 2 pursuant to and in compliance the request must be filed no later than 15
with the change processes in paragraph days after publication in the FEDERAL REG-
VIII.B.5 of this appendix that do not require ISTER of the notice required either by 10 CFR
prior NRC approval, but only for that plant; 52.85 or 10 CFR 52.103. If GE Nuclear Energy
7. All environmental issues concerning se- declines to provide the information sought,
vere accident mitigation design alternatives GE Nuclear Energy shall send a written re-
associated with the information in the NRC’s sponse within 10 days of receiving the re-
final environmental assessment for the U.S. quest to the requesting person setting forth
ABWR design and Revision 1 of the technical with particularity the reasons for its refusal.
support document for the U.S. ABWR, dated The person may then request the Commis-
December 1994, for plants referencing this ap- sion (or presiding officer, if a proceeding has
pendix whose site parameters are within been established) to order disclosure. The
those specified in the technical support doc- person shall include copies of the original re-
ument. quest (and any subsequent clarifying infor-
C. The Commission does not consider oper- mation provided by the requesting party to
ational requirements for an applicant or li- the applicant) and the applicant’s response.
censee who references this appendix to be The Commission and presiding officer shall
matters resolved within the meaning of 10 base their decisions solely on the person’s
CFR 52.63(a)(5). The Commission reserves the original request (including any clarifying in-
right to require operational requirements for formation provided by the requesting person
an applicant or licensee who references this to GE Nuclear Energy), and GE Nuclear En-
appendix by rule, regulation, order, or li- ergy’s response. The Commission and pre-
cense condition. siding officer may order GE Nuclear Energy
D. Except in accordance with the change to provide access to some or all of the re-
processes in Section VIII of this appendix, quested information, subject to an appro-
the Commission may not require an appli- priate non-disclosure agreement.
cant or licensee who references this appendix
to: VII. DURATION OF THIS APPENDIX
1. Modify structures, systems, components,
or design features as described in the generic This appendix may be referenced for a pe-
DCD; riod of 15 years from June 11, 1997, except as
2. Provide additional or alternative struc- provided for in 10 CFR 52.55(b) and 52.57(b).
tures, systems, components, or design fea- This appendix remains valid for an applicant
tures not discussed in the generic DCD; or or licensee who references this appendix
3. Provide additional or alternative design until the application is withdrawn or the li-
criteria, testing, analyses, acceptance cri- cense expires, including any period of ex-
teria, or justification for structures, sys- tended operation under a renewed license.
120
VIII. PROCESSES FOR CHANGES AND 5.a. An applicant or licensee who ref-
DEPARTURES erences this appendix may depart from Tier
2 information, without prior NRC approval,
A. Tier 1 information. unless the proposed departure involves a
1. Generic changes to Tier 1 information change to or departure from Tier 1 informa-
are governed by the requirements in 10 CFR tion, Tier 2* information, or the technical
52.63(a)(1). specifications, or requires a license amend-
2. Generic changes to Tier 1 information ment under paragraphs B.5.b or B.5.c of this
are applicable to all applicants or licensees section. When evaluating the proposed depar-
who reference this appendix, except those for ture, an applicant or licensee shall consider
which the change has been rendered tech- all matters described in the plant-specific
nically irrelevant by action taken under DCD.
paragraphs A.3 or A.4 of this section. b. A proposed departure from Tier 2, other
3. Departures from Tier 1 information that than one affecting resolution of a severe ac-
are required by the Commission through cident issue identified in the plant-specific
plant-specific orders are governed by the re- DCD, requires a license amendment if it
quirements in 10 CFR 52.63(a)(4). would:
4. Exemptions from Tier 1 information are (1) Result in more than a minimal increase
governed by the requirements in 10 CFR in the frequency of occurrence of an accident
52.63(b)(1) and 52.98(f). The Commission will previously evaluated in the plant-specific
deny a request for an exemption from Tier 1, DCD;
if it finds that the design change will result (2) Result in more than a minimal increase
in a significant decrease in the level of safe- in the likelihood of occurrence of a malfunc-
ty otherwise provided by the design. tion of a structure, system, or component
B. Tier 2 information. (SSC) important to safety previously evalu-
1. Generic changes to Tier 2 information ated in the plant-specific DCD;
are governed by the requirements in 10 CFR (3) Result in more than a minimal increase
52.63(a)(1). in the consequences of an accident pre-
viously evaluated in the plant-specific DCD;
2. Generic changes to Tier 2 information
(4) Result in more than a minimal increase
are applicable to all applicants or licensees
in the consequences of a malfunction of a
who reference this appendix, except those for
SSC important to safety previously evalu-
which the change has been rendered tech-
ated in the plant-specific DCD;
nically irrelevant by action taken under
(5) Create a possibility for an accident of a
paragraphs B.3, B.4, B.5, or B.6 of this sec-
different type than any evaluated previously
tion.
in the plant-specific DCD;
3. The Commission may not require new re- (6) Create a possibility for a malfunction of
quirements on Tier 2 information by plant- an SSC important to safety with a different
specific order while this appendix is in effect result than any evaluated previously in the
under §§ 52.55 or 52.61, unless: plant-specific DCD;
a. A modification is necessary to secure (7) Result in a design basis limit for a fis-
compliance with the Commission’s regula- sion product barrier as described in the
tions applicable and in effect at the time plant-specific DCD being exceeded or altered;
this appendix was approved, as set forth in or
Section V of this appendix, or to assure ade- (8) Result in a departure from a method of
quate protection of the public health and evaluation described in the plant-specific
safety or the common defense and security; DCD used in establishing the design bases or
and in the safety analyses.
b. Special circumstances as defined in 10 c. A proposed departure from Tier 2 affect-
CFR 52.7 are present. ing resolution of an ex-vessel severe accident
4. An applicant or licensee who references design feature identified in the plant-specific
this appendix may request an exemption DCD, requires a license amendment if:
from Tier 2 information. The Commission (1) There is a substantial increase in the
may grant such a request only if it deter- probability of an ex-vessel severe accident
mines that the exemption will comply with such that a particular ex-vessel severe acci-
the requirements of 10 CFR 52.7. The Com- dent previously reviewed and determined to
mission will deny a request for an exemption be not credible could become credible; or
from Tier 2, if it finds that the design change (2) There is a substantial increase in the
will result in a significant decrease in the consequences to the public of a particular ex-
level of safety otherwise provided by the de- vessel severe accident previously reviewed.
sign. The grant of an exemption to an appli- d. If a departure requires a license amend-
cant must be subject to litigation in the ment pursuant to paragraphs B.5.b or B.5.c of
same manner as other issues material to the this section, it is governed by 10 CFR 50.90.
license hearing. The grant of an exemption e. A departure from Tier 2 information

to a licensee must be subject to an oppor- that is made under paragraph B.5 of this sec-
tunity for a hearing in the same manner as tion does not require an exemption from this
license amendments. appendix.
121
f. A party to an adjudicatory proceeding (6) Fuel system and assembly design (4.2),
for either the issuance, amendment, or re- except burnup limit.
newal of a license or for operation under 10 (7) Nuclear design (4.3).
CFR 52.103(a), who believes that an applicant (8) Equilibrium cycle and control rod pat-
or licensee who references this appendix has terns (App. 4A).
not complied with paragraph VIII.B.5 of this (9) Control rod licensing acceptance cri-
appendix when departing from Tier 2 infor- teria (App. 4C).
mation, may petition the NRC to admit into (10) Instrument setpoint methodology.
the proceeding such a contention. In addi- (11) EMS performance specifications and
tion to compliance with the general require- architecture.
ments of 10 CFR 2.309, the petition must (12) SSLC hardware and software qualifica-
demonstrate that the departure does not tion.
comply with paragraph VIII.B.5 of this ap- (13) Self-test system design testing fea-
pendix. Further, the petition must dem- tures and commitments.
onstrate that the change bears on an as- (14) Human factors engineering design and
serted noncompliance with an ITAAC accept- implementation process.
ance criterion in the case of a 10 CFR 52.103 d. Departures from Tier 2* information
preoperational hearing, or that the change that are made under paragraph B.6 of this
bears directly on the amendment request in section do not require an exemption from
the case of a hearing on a license amend- this appendix.
ment. Any other party may file a response. C. Operational requirements.
If, on the basis of the petition and any re- 1. Generic changes to generic technical
sponse, the presiding officer determines that specifications and other operational require-
a sufficient showing has been made, the pre- ments that were completely reviewed and ap-
siding officer shall certify the matter di- proved in the design certification rule-
making and do not require a change to a de-
rectly to the Commission for determination
sign feature in the generic DCD are governed
of the admissibility of the contention. The
by the requirements in 10 CFR 50.109. Ge-
Commission may admit such a contention if
neric changes that do require a change to a
it determines the petition raises a genuine
design feature in the generic DCD are gov-
issue of material fact regarding compliance
erned by the requirements in paragraphs A
with paragraph VIII.B.5 of this appendix.
or B of this section.
6.a. An applicant who references this ap- 2. Generic changes to generic TS and other
pendix may not depart from Tier 2* informa- operational requirements are applicable to
tion, which is designated with italicized text all applicants who reference this appendix,
or brackets and an asterisk in the generic except those for which the change has been
DCD, without NRC approval. The departure rendered technically irrelevant by action
will not be considered a resolved issue, with- taken under paragraphs C.3 or C.4 of this sec-
in the meaning of Section VI of this appen- tion.
dix and 10 CFR 52.63(a)(5). 3. The Commission may require plant-spe-
b. A licensee who references this appendix cific departures on generic technical speci-
may not depart from the following Tier 2* fications and other operational requirements
matters without prior NRC approval. A re- that were completely reviewed and approved,
quest for a departure will be treated as a re- provided a change to a design feature in the
quest for a license amendment under 10 CFR generic DCD is not required and special cir-
50.90. cumstances as defined in 10 CFR 2.335 are
(1) Fuel burnup limit (4.2). present. The Commission may modify or sup-
(2) Fuel design evaluation (4.2.3). plement generic technical specifications and
(3) Fuel licensing acceptance criteria (ap- other operational requirements that were
pendix 4B). not completely reviewed and approved or re-
c. A licensee who references this appendix quire additional technical specifications and
may not, before the plant first achieves full other operational requirements on a plant-
power following the finding required by 10 specific basis, provided a change to a design
CFR 52.103(g), depart from the following Tier feature in the generic DCD is not required.
2* matters except in accordance with para- 4. An applicant who references this appen-
graph B.6.b of this section. After the plant dix may request an exemption from the ge-
first achieves full power, the following Tier neric technical specifications or other oper-
2* matters revert to Tier 2 status and are ational requirements. The Commission may
thereafter subject to the departure provi- grant such a request only if it determines
sions in paragraph B.5 of this section. that the exemption will comply with the re-
(1) ASME Boiler & Pressure Vessel Code, quirements of 10 CFR 52.7. The grant of an
Section III. exemption must be subject to litigation in
(2) ACI 349 and ANSI/AISC–690. the same manner as other issues material to
(3) Motor-operated valves. the license hearing.

(4) Equipment seismic qualification meth- 5. A party to an adjudicatory proceeding
ods. for either the issuance, amendment, or re-
(5) Piping design acceptance criteria. newal of a license or for operation under 10
122
CFR 52.103(a), who believes that an oper- B.1. The NRC shall ensure that the re-
ational requirement approved in the DCD or quired inspections, tests, and analyses in the
a technical specification derived from the ge- ITAAC are performed. The NRC shall verify
neric technical specifications must be that the inspections, tests, and analyses ref-
changed may petition to admit into the pro- erenced by the licensee have been success-
ceeding such a contention. Such petition fully completed and, based solely thereon,
must comply with the general requirements find the prescribed acceptance criteria have
of 10 CFR 2.309 and must demonstrate why been met. At appropriate intervals during
special circumstances as defined in 10 CFR construction, the NRC shall publish notices
2.335 are present, or for compliance with the of the successful completion of ITAAC in the
Commission’s regulations in effect at the FEDERAL REGISTER.
time this appendix was approved, as set forth 2. In accordance with 10 CFR 52.103(g), the
in Section V of this appendix. Any other Commission shall find that the acceptance
party may file a response thereto. If, on the criteria in the ITAAC for the license are met
basis of the petition and any response, the before fuel load.
presiding officer determines that a sufficient 3. After the Commission has made the find-
showing has been made, the presiding officer ing required by 10 CFR 52.103(g), the ITAAC
shall certify the matter directly to the Com- do not, by virtue of their inclusion within
mission for determination of the admissi- the DCD, constitute regulatory requirements
bility of the contention. All other issues either for licensees or for renewal of the li-
with respect to the plant-specific technical cense; except for specific ITAAC, which are
specifications or other operational require- the subject of a § 52.103(a) hearing, their expi-
ments are subject to a hearing as part of the ration will occur upon final Commission ac-
license proceeding. tion in such proceeding. However, subse-
6. After issuance of a license, the generic quent modifications must comply with the
technical specifications have no further ef- Tier 1 and Tier 2 design descriptions in the
fect on the plant-specific technical specifica- plant-specific DCD unless the licensee has
tions and changes to the plant-specific tech- complied with the applicable requirements of
nical specifications will be treated as license 10 CFR 52.98 and Section VIII of this appen-
amendments under 10 CFR 50.90. dix.
X. RECORDS AND REPORTING
IX. INSPECTIONS, TESTS, ANALYSES, AND
ACCEPTANCE CRITERIA (ITAAC) A. Records.
1. The applicant for this appendix shall
A.1. An applicant or licensee who ref-
maintain a copy of the generic DCD that in-
erences this appendix shall perform and dem- cludes all generic changes to Tier 1, Tier 2,
onstrate conformance with the ITAAC before and the generic TS and other operational re-
fuel load. With respect to activities subject quirements. The applicant shall maintain
to an ITAAC, an applicant for a license may the proprietary and safeguards information
proceed at its own risk with design and pro- referenced in the generic DCD for the period
curement activities, and a licensee may pro- that this appendix may be referenced, as
ceed at its own risk with design, procure- specified in Section VII of this appendix.
ment, construction, and preoperational ac- 2. An applicant or licensee who references
tivities, even though the NRC may not have this appendix shall maintain the plant-spe-
found that any particular ITAAC has been cific DCD to accurately reflect both generic
met. changes to the generic DCD and plant-spe-
2. The licensee who references this appen- cific departures made under Section VIII of
dix shall notify the NRC that the required this appendix throughout the period of appli-
inspections, tests, and analyses in the cation and for the term of the license (in-
ITAAC have been successfully completed and cluding any period of renewal).
that the corresponding acceptance criteria 3. An applicant or licensee who references
have been met. this appendix shall prepare and maintain
3. In the event that an activity is subject written evaluations which provide the bases
to an ITAAC, and the applicant or licensee for the determinations required by Section
who references this appendix has not dem- VIII of this appendix. These evaluations
onstrated that the ITAAC has been met, the must be retained throughout the period of
applicant or licensee may either take correc- application and for the term of the license
tive actions to successfully complete that (including any period of renewal).
ITAAC, request an exemption from the B. Reporting.
ITAAC in accordance with Section VIII of 1. An applicant or licensee who references
this appendix and 10 CFR 52.97(b), or petition this appendix shall submit a report to the
for rulemaking to amend this appendix by NRC containing a brief description of any
changing the requirements of the ITAAC, plant-specific departures from the DCD, in-
under 10 CFR 2.802 and 52.97(b). Such rule- cluding a summary of the evaluation of each.
making changes to the ITAAC must meet This report must be filed in accordance with
the requirements of paragraph VIII.A.1 of the filing requirements applicable to reports
this appendix. in 10 CFR 52.3.
123
Pt. 52, App. B 10 CFR Ch. I (1–1–11 Edition)
2. An applicant or licensee who references departures and exemptions made under Sec-
this appendix shall submit updates to its tion VIII of this appendix.
DCD, which reflect the generic changes and D. Tier 1 means the portion of the design-
the plant-specific departures from the ge- related information contained in the generic
neric DCD made under Section VIII of this DCD that is approved and certified by this
appendix. These updates must be filed under appendix (hereinafter Tier 1 information).
the filing requirements applicable to final The design descriptions, interface require-
safety analysis report updates in 10 CFR 52.3 ments, and site parameters are derived from
and 50.71(e). Tier 2 information. Tier 1 information in-
3. The reports and updates required by cludes:
paragraphs X.B.1 and X.B.2 must be sub- 1. Definitions and general provisions;
mitted as follows: 2. Design descriptions;
a. On the date that an application for a li- 3. Inspections, tests, analyses, and accept-
cense referencing this appendix is submitted, ance criteria (ITAAC);
the application must include the report and 4. Significant site parameters; and
any updates to the generic DCD. 5. Significant interface requirements.
b. During the interval from the date of ap- E. Tier 2 means the portion of the design-
plication for a license to the date the Com- related information contained in the generic
mission makes the finding required by 10 DCD that is approved but not certified by
CFR 52.103(g), the report must be submitted this appendix (Tier 2 information). Compli-
semiannually. Updates to the plant-specific ance with Tier 2 is required, but generic
DCD must be submitted annually and may be changes to and plant-specific departures
submitted along with amendments to the ap- from Tier 2 are governed by Section VIII of
plication. this appendix. Compliance with Tier 2 pro-
c. After the Commission makes the finding vides a sufficient, but not the only accept-
required by 10 CFR 52.103(g), reports and up- able, method for complying with Tier 1.
dates to the plant-specific DCD must be sub- Compliance methods differing from Tier 2
mitted, along with updates to the site-spe- must satisfy the change process in Section
cific portion of the final safety analysis re- VIII of this appendix. Regardless of these dif-
ferences, an applicant or licensee must meet
port for the facility, at the intervals re-
the requirement in Section III.B of this ap-
quired by 10 CFR 50.59(d)(2) and 10 CFR
pendix to reference Tier 2 when referencing
50.71(e)(4), respectively, or at shorter inter-
Tier 1. Tier 2 information includes:
vals as specified in the license.
1. Information required by §§ 52.47(a) and
52.47(c), with the exception of generic tech-
APPENDIX B TO PART 52—DESIGN CER- nical specifications and conceptual design
TIFICATION RULE FOR THE SYSTEM information;
80+ DESIGN 2. Supporting information on the inspec-
tions, tests, and analyses that will be per-
I. INTRODUCTION
formed to demonstrate that the acceptance
Appendix B constitutes design certifi- criteria in the ITAAC have been met; and
cation for the System 80+ 1 standard plant 3. Combined license (COL) action items
design, in accordance with 10 CFR part 52, (COL license information), which identify
subpart B. The applicant for certification of certain matters that must be addressed in
the System 80+ design was Combustion Engi- the site-specific portion of the final safety
neering, Inc. (ABB–CE), which is now Wes- analysis report (FSAR) by an applicant who
tinghouse Electric Company LLC. references this appendix. These items con-
stitute information requirements but are not
II. DEFINITIONS the only acceptable set of information in the
A. Generic design control document (ge- FSAR. An applicant may depart from or
neric DCD) means the document containing omit these items, provided that the depar-
the Tier 1 and Tier 2 information and generic ture or omission is identified and justified in
technical specifications that is incorporated the FSAR. After issuance of a construction
by reference into this appendix. permit or COL, these items are not require-
B. Generic technical specifications means ments for the licensee unless such items are
the information, required by 10 CFR 50.36 and restated in the FSAR.
50.36a, for the portion of the plant that is F. Tier 2* means the portion of the Tier 2
within the scope of this appendix. information, designated as such in the ge-
C. Plant-specific DCD means the docu- neric DCD, which is subject to the change
ment, maintained by an applicant or licensee process in Section VIII.B.6 of this appendix.
who references this appendix, consisting of This designation expires for some Tier 2* in-
the information in the generic DCD, as modi- formation under Section VIII.B.6 of this ap-
fied and supplemented by the plant-specific pendix.
G. Departure from a method of evaluation

described in the plant-specific DCD used in
1 ‘‘System 80+’’ is a trademark of Westing- establishing the design bases or in the safety
house Electric Company LLC. analyses means:
124
Nuclear Regulatory Commission Pt. 52, App. B
(1) Changing any of the elements of the ments of 10 CFR 52.77, 52.79, and 52.80, comply
method described in the plant-specific DCD with the following requirements:
unless the results of the analysis are con- 1. Incorporate by reference, as part of its
servative or essentially the same; or application, this appendix;
(2) Changing from a method described in 2. Include, as part of its application:
the plant-specific DCD to another method a. A plant-specific DCD containing the
unless that method has been approved by same type of information and using the same
NRC for the intended application. organization and numbering as the generic
H. All other terms in this appendix have DCD for the System 80+ design, as modified
the meaning set out in 10 CFR 50.2 or 52.1, or and supplemented by the applicant’s exemp-
Section 11 of the Atomic Energy Act of 1954, tions and departures;
as amended, as applicable. b. The reports on departures from and up-
III. SCOPE AND CONTENTS paragraph X.B of this appendix;
A. Tier 1, Tier 2, and the generic technical c. Plant-specific technical specifications,
specifications in the System 80+ Design Con- consisting of the generic and site-specific
trol Document, ABB–CE, with revisions technical specifications, that are required by
dated January 1997, are approved for incorpo- 10 CFR 50.36 and 50.36a;
ration by reference by the Director of the Of- d. Information demonstrating compliance
fice of the Federal Register in accordance with the site parameters and interface re-
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies quirements;
of the generic DCD may be obtained from the e. Information that addresses the COL ac-
National Technical Information Service, 5285 tion items; and
Port Royal Road, Springfield, Virginia 22161. f. Information required by 10 CFR 52.47
A copy is available for examination and that is not within the scope of this appendix.
copying at the NRC Public Document Room 3. Include, in the plant-specific DCD, the
located at One White Flint North, 11555 proprietary information referenced in the
Rockville Pike (first floor), Rockville, Mary- System 80+ DCD.
land 20852. Copies are also available for ex- B. The Commission reserves the right to
amination at the NRC Library located at determine in what manner this appendix
Two White Flint North, 11545 Rockville Pike, may be referenced by an applicant for a con-
Rockville, Maryland 20582 and the Office of struction permit or operating license under
the Federal Register, 800 North Capitol 10 CFR part 50.
Street, NW., Suite 700, Washington, DC. V. APPLICABLE REGULATIONS
B. An applicant or licensee referencing this
appendix, in accordance with Section IV of A. Except as indicated in paragraph B of
this appendix, shall incorporate by reference this section, the regulations that apply to
and comply with the requirements of this ap- the System 80+ design are in 10 CFR parts 20,
pendix, including Tier 1, Tier 2, and the ge- 50, 73, and 100, codified as of May 9, 1997, that
neric technical specifications except as oth- are applicable and technically relevant, as
erwise provided in this appendix. Conceptual described in the FSER (NUREG–1462) and
design information, as set forth in the ge- Supplement No. 1.
neric DCD, and the Technical Support Docu- B. The System 80+ design is exempt from
ment for the System 80+ design are not part portions of the following regulations:
of this appendix. 1. Paragraph (f)(2)(iv) of 10 CFR 50.34—Sep-
C. If there is a conflict between Tier 1 and arate Plant Safety Parameter Display Con-
Tier 2 of the DCD, then Tier 1 controls. sole;
D. If there is a conflict between the generic 2. Paragraphs (f)(2) (vii), (viii), (xxvi), and
DCD and either the application for design (xxviii) of 10 CFR 50.34—Accident Source
certification of the System 80+ design or Terms;
NUREG–1462, ‘‘Final Safety Evaluation Re- 3. Paragraph (f)(2)(viii) of 10 CFR 50.34—
port Related to the Certification of the Sys- Post-Accident Sampling for Hydrogen,
tem 80+ Design,’’ (FSER) and Supplement No. Boron, Chloride, and Dissolved Gases;
1, then the generic DCD controls. 4. Paragraph (f)(3)(iv) of 10 CFR 50.34—
E. Design activities for structures, sys- Dedicated Containment Penetration; and
tems, and components that are wholly out- 5. Paragraphs III.A.1(a) and III.C.3(b) of Ap-
side the scope of this appendix may be per- pendix J to 10 CFR 50—Containment Leakage
formed using site characteristics, provided Testing.
the design activities do not affect the DCD
or conflict with the interface requirements. VI. ISSUE RESOLUTION
A. The Commission has determined that
IV. ADDITIONAL REQUIREMENTS AND
the structures, systems, components, and de-
RESTRICTIONS
sign features of the System 80+ design com-

A. An applicant for a combined license ply with the provisions of the Atomic Energy
that wishes to reference this appendix shall, Act of 1954, as amended, and the applicable
in addition to complying with the require- regulations identified in Section V of this
125
appendix; and therefore, provide adequate appendix by rule, regulation, order, or li-
protection to the health and safety of the cense condition.
public. A conclusion that a matter is re- D. Except in accordance with the change
solved includes the finding that additional or processes in Section VIII of this appendix,
alternative structures, systems, components, the Commission may not require an appli-
design features, design criteria, testing, cant or licensee who references this appendix
analyses, acceptance criteria, or justifica- to:
tions are not necessary for the System 80+ 1. Modify structures, systems, components,
design. or design features as described in the generic
B. The Commission considers the following DCD;
matters resolved within the meaning of 10 2. Provide additional or alternative struc-
CFR 52.63(a)(5) in subsequent proceedings for tures, systems, components, or design fea-
issuance of a combined license, amendment tures not discussed in the generic DCD; or
of a combined license, or renewal of a com- 3. Provide additional or alternative design
bined license, proceedings held under 10 CFR criteria, testing, analyses, acceptance cri-
52.103, and enforcement proceedings involv- teria, or justification for structures, sys-
ing plants referencing this appendix: tems, components, or design features dis-
1. All nuclear safety issues, except for the cussed in the generic DCD.
generic technical specifications and other E.1. Persons who wish to review propri-
operational requirements, associated with etary information or other secondary ref-
the information in the FSER and Supple- erences in the DCD for the System 80+ de-
ment No. 1, Tier 1, Tier 2 (including ref- sign, in order to request or participate in the
erenced information which the context indi- hearing required by 10 CFR 52.85 or the hear-
ing provided under 10 CFR 52.103, or to re-
cates is intended as requirements), and the
quest or participate in any other hearing re-
rulemaking record for certification of the
lating to this appendix in which interested
System 80+ design;
persons have adjudicatory hearing rights,
shall first request access to such information
from Westinghouse. The request must state
etary and safeguards documents, referenced with particularity:
and in context, are intended as requirements a. The nature of the proprietary or other
in the generic DCD for the System 80+ de- information sought;
sign; b. The reason why the information cur-
3. All generic changes to the DCD under rently available to the public at the NRC
and in compliance with the change processes Web site, http://www.nrc.gov, and/or at the
in Sections VIII.A.1 and VIII.B.1 of this ap- NRC Public Document Room, is insufficient;
pendix; c. The relevance of the requested informa-
4. All exemptions from the DCD under and tion to the hearing issue(s) which the person
in compliance with the change processes in proposes to raise; and
Sections VIII.A.4 and VIII.B.4 of this appen- d. A showing that the requesting person
dix, but only for that plant; has the capability to understand and utilize
5. All departures from the DCD that are ap- the requested information.
proved by license amendment, but only for 2. If a person claims that the information
that plant; is necessary to prepare a request for hearing,
6. Except as provided in paragraph the request must be filed no later than 15
VIII.B.5.f of this appendix, all departures days after publication in the FEDERAL REG-
from Tier 2 under and in compliance with the ISTER of the notice required either by 10 CFR
change processes in paragraph VIII.B.5 of 52.85 or 10 CFR 52.103. If Westinghouse de-
this appendix that do not require prior NRC clines to provide the information sought,
approval, but only for that plant; Westinghouse shall send a written response
7. All environmental issues concerning se- within ten (10) days of receiving the request
vere accident mitigation design alternatives to the requesting person setting forth with
associated with the information in the NRC’s particularity the reasons for its refusal. The
final environmental assessment for the Sys- person may then request the Commission (or
tem 80+ design and the technical support presiding officer, if a proceeding has been es-
document for the System 80+ design, dated tablished) to order disclosure. The person
January 1995, for plants referencing this ap- shall include copies of the original request
pendix whose site parameters are within (and any subsequent clarifying information
those specified in the technical support doc- provided by the requesting party to the ap-
ument. plicant) and the applicant’s response. The
C. The Commission does not consider oper- Commission and presiding officer shall base
ational requirements for an applicant or li- their decisions solely on the person’s origi-
censee who references this appendix to be nal request (including any clarifying infor-
matters resolved within the meaning of 10 mation provided by the requesting person to
CFR 52.63(a)(5). The Commission reserves the Westinghouse), and Westinghouse’s response.
right to require operational requirements for The Commission and presiding officer may
an applicant or licensee who references this order Westinghouse to provide access to
126
some or all of the requested information, may grant such a request only if it deter-
subject to an appropriate non-disclosure mines that the exemption will comply with
agreement. the requirements of 10 CFR 52.7. The Com-
mission will deny a request for an exemption
VII. DURATION OF THIS APPENDIX from Tier 2, if it finds that the design change
This appendix may be referenced for a pe- will result in a significant decrease in the
riod of 15 years from June 20, 1997, except as level of safety otherwise provided by the de-
provided for in 10 CFR 52.55(b) and 52.57(b). sign. The grant of an exemption to an appli-
This appendix remains valid for an applicant cant must be subject to litigation in the
or licensee who references this appendix same manner as other issues material to the
until the application is withdrawn or the li- license hearing. The grant of an exemption
cense expires, including any period of ex- to a licensee must be subject to an oppor-
tended operation under a renewed license. tunity for a hearing in the same manner as
license amendments.
VIII. PROCESSES FOR CHANGES AND 5.a. An applicant or licensee who ref-
DEPARTURES erences this appendix may depart from Tier
A. Tier 1 information. 2 information, without prior NRC approval,
1. Generic changes to Tier 1 information unless the proposed departure involves a
are governed by the requirements in 10 CFR change to or departure from Tier 1 informa-
52.63(a)(1). tion, Tier 2* information, or the technical
2. Generic changes to Tier 1 information specifications, or requires a license amend-
are applicable to all applicants or licensees ment under paragraphs B.5.b or B.5.c of this
who reference this appendix, except those for section. When evaluating the proposed depar-
which the change has been rendered tech- ture, an applicant or licensee shall consider
nically irrelevant by action taken under all matters described in the plant-specific
paragraphs A.3 or A.4 of this section. DCD.
3. Departures from Tier 1 information that b. A proposed departure from Tier 2, other
are required by the Commission through than one affecting resolution of a severe ac-
plant-specific orders are governed by the re- cident issue identified in the plant-specific
quirements in 10 CFR 52.63(a)(4). DCD, requires a license amendment if it
4. Exemptions from Tier 1 information are would—
governed by the requirements in 10 CFR (1) Result in more than a minimal increase
52.63(b)(1) and 52.98(f). The Commission will in the frequency of occurrence of an accident
deny a request for an exemption from Tier 1, previously evaluated in the plant-specific
if it finds that the design change will result DCD;
in a significant decrease in the level of safe- (2) Result in more than a minimal increase
ty otherwise provided by the design. in the likelihood of occurrence of a malfunc-
tion of a structure, system, or component
B. TIER 2 INFORMATION (SSC) important to safety previously evalu-
1. Generic changes to Tier 2 information ated in the plant-specific DCD;
are governed by the requirements in 10 CFR (3) Result in more than a minimal increase
52.63(a)(1). in the consequences of an accident pre-
2. Generic changes to Tier 2 information viously evaluated in the plant-specific DCD;
are applicable to all applicants or licensees (4) Result in more than a minimal increase
who reference this appendix, except those for in the consequences of a malfunction of an
which the change has been rendered tech- SSC important to safety previously evalu-
nically irrelevant by action taken under ated in the plant-specific DCD;
paragraphs B.3, B.4, B.5, or B.6 of this sec- (5) Create a possibility for an accident of a
tion. different type than any evaluated previously
3. The Commission may not require new re- in the plant-specific DCD;
quirements on Tier 2 information by plant- (6) Create a possibility for a malfunction of
specific order while this appendix is in effect an SSC important to safety with a different
under §§ 52.55 or 52.61, unless: result than any evaluated previously in the
a. A modification is necessary to secure plant-specific DCD;
compliance with the Commission’s regula- (7) Result in a design basis limit for a fis-
tions applicable and in effect at the time sion product barrier as described in the
this appendix was approved, as set forth in plant-specific DCD being exceeded or altered;
Section V of this appendix, or to assure ade- or
quate protection of the public health and (8) Result in a departure from a method of
safety or the common defense and security; evaluation described in the plant-specific
and DCD used in establishing the design bases or
b. Special circumstances as defined in 10 in the safety analyses.
CFR 52.7 are present. c. A proposed departure from Tier 2 affect-

4. An applicant or licensee who references ing resolution of an ex-vessel severe accident
this appendix may request an exemption design feature identified in the plant-specific
from Tier 2 information. The Commission DCD, requires a license amendment if:
127
(1) There is a substantial increase in the 2* matters except in accordance with para-
probability of an ex-vessel severe accident graph B.6.b of this section. After the plant
such that a particular ex-vessel severe acci- first achieves full power, the following Tier
dent previously reviewed and determined to 2* matters revert to Tier 2 status and are
be not credible could become credible; or thereafter subject to the departure provi-
(2) There is a substantial increase in the sions in paragraph B.5 of this section.
consequences to the public of a particular ex- (1) ASME Boiler & Pressure Vessel Code,
vessel severe accident previously reviewed. Section III.
d. If a departure requires a license amend- (2) ACI 349 and ANSI/AISC–690.
ment under paragraph B.5.b or B.5.c of this (3) Motor-operated valves.
section, it is governed by 10 CFR 50.90. (4) Equipment seismic qualification meth-
e. A departure from Tier 2 information ods.
that is made under paragraph B.5 of this sec- (5) Piping design acceptance criteria.
tion does not require an exemption from this (6) Fuel and control rod design, except
appendix. burnup limit.
f. A party to an adjudicatory proceeding (7) Instrumentation and controls setpoint
for either the issuance, amendment, or re- methodology.
newal of a license or for operation under 10
(8) Instrumentation and controls hardware
CFR 52.103(a), who believes that an applicant
and software changes.
or licensee who references this appendix has
(9) Instrumentation and controls environ-
not complied with paragraph VIII.B.5 of this
mental qualification.
appendix when departing from Tier 2 infor-
mation, may petition the NRC to admit into (10) Seismic design criteria for non-seismic
the proceeding such a contention. In addi- Category I structures.
tion to compliance with the general require- d. Departures from Tier 2* information
ments of 10 CFR 2.309, the petition must that are made under paragraph B.6 of this
demonstrate that the departure does not section do not require an exemption from
comply with paragraph VIII.B.5 of this ap- this appendix.
pendix. Further, the petition must dem- C. Operational requirements.
onstrate that the change bears on an as- 1. Generic changes to generic technical
serted noncompliance with an ITAAC accept- specifications and other operational require-
ance criterion in the case of a 10 CFR 52.103 ments that were completely reviewed and ap-
preoperational hearing, or that the change proved in the design certification rule-
bears directly on the amendment request in making and do not require a change to a de-
the case of a hearing on a license amend- sign feature in the generic DCD are governed
ment. Any other party may file a response. by the requirements in 10 CFR 50.109. Ge-
If, on the basis of the petition and any re- neric changes that do require a change to a
sponse, the presiding officer determines that design feature in the generic DCD are gov-
a sufficient showing has been made, the pre- erned by the requirements in paragraphs A
siding officer shall certify the matter di- or B of this section.
rectly to the Commission for determination 2. Generic changes to generic TS and other
of the admissibility of the contention. The operational requirements are applicable to
Commission may admit such a contention if all applicants who reference this appendix,
it determines the petition raises a genuine except those for which the change has been
issue of material fact regarding compliance rendered technically irrelevant by action
with paragraph VIII.B.5 of this appendix. taken under paragraphs C.3 or C.4 of this sec-
6.a. An applicant who references this ap- tion.
pendix may not depart from Tier 2* informa- 3. The Commission may require plant-spe-
tion, which is designated with italicized text cific departures on generic technical speci-
or brackets and an asterisk in the generic fications and other operational requirements
DCD, without NRC approval. The departure that were completely reviewed and approved,
will not be considered a resolved issue, with- provided a change to a design feature in the
in the meaning of Section VI of this appen- generic DCD is not required and special cir-
dix and 10 CFR 52.63(a)(5). cumstances as defined in 10 CFR 2.335 are
b. A licensee who references this appendix present. The Commission may modify or sup-
may not depart from the following Tier 2* plement generic technical specifications and
matters without prior NRC approval. A re- other operational requirements that were
quest for a departure will be treated as a re- not completely reviewed and approved or re-
quest for a license amendment under 10 CFR quire additional technical specifications and
50.90. other operational requirements on a plant-
(1) Maximum fuel rod average burnup. specific basis, provided a change to a design
(2) Control room human factors engineer- feature in the generic DCD is not required.
ing. 4. An applicant who references this appen-
c. A licensee who references this appendix dix may request an exemption from the ge-
may not, before the plant first achieves full neric technical specifications or other oper-
power following the finding required by 10 ational requirements. The Commission may
CFR 52.103(g), depart from the following Tier grant such a request only if it determines
128
that the exemption will comply with the re- for rulemaking to amend this appendix by
quirements of 10 CFR 52.7. The grant of an changing the requirements of the ITAAC,
exemption must be subject to litigation in under 10 CFR 2.802 and 52.97(b). Such rule-
the same manner as other issues material to making changes to the ITAAC must meet
the license hearing. the requirements of Section VIII.A.1 of this
5. A party to an adjudicatory proceeding appendix.
for either the issuance, amendment, or re- B.1 The NRC shall ensure that the required
newal of a license or for operation under 10 inspections, tests, and analyses in the
CFR 52.103(a), who believes that an oper- ITAAC are performed. The NRC shall verify
ational requirement approved in the DCD or that the inspections, tests, and analyses ref-
a technical specification derived from the ge- erenced by the licensee have been success-
neric technical specifications must be fully completed and, based solely thereon,
changed may petition to admit into the pro- find the prescribed acceptance criteria have
ceeding such a contention. Such a petition been met. At appropriate intervals during
must comply with the general requirements construction, the NRC shall publish notices
of 10 CFR 2.309 and must demonstrate why of the successful completion of ITAAC in the
special circumstances as defined in 10 CFR FEDERAL REGISTER.
2.335 are present, or for compliance with the 2. In accordance with 10 CFR 52.103(g), the
Commission’s regulations in effect at the Commission shall find that the acceptance
time this appendix was approved, as set forth criteria in the ITAAC for the license are met
in Section V of this appendix. Any other before fuel load.
party may file a response thereto. If, on the 3. After the Commission has made the find-
basis of the petition and any response, the ing required by 10 CFR 52.103(g), the ITAAC
presiding officer determines that a sufficient do not, by virtue of their inclusion within
showing has been made, the presiding officer the DCD, constitute regulatory requirements
shall certify the matter directly to the Com- either for licensees or for renewal of the li-
mission for determination of the admissi- cense; except for specific ITAAC, which are
bility of the contention. All other issues the subject of a § 52.103(a) hearing, their expi-
with respect to the plant-specific technical ration will occur upon final Commission ac-
specifications or other operational require- tion in such proceeding. However, subse-
ments are subject to a hearing as part of the quent modifications must comply with the
license proceeding. Tier 1 and Tier 2 design descriptions in the
6. After issuance of a license, the generic plant-specific DCD unless the licensee has
technical specifications have no further ef- complied with the applicable requirements of
fect on the plant-specific technical specifica- 10 CFR 52.98 and Section VIII of this appen-
tions and changes to the plant-specific tech- dix.
nical specifications will be treated as license
amendments under 10 CFR 50.90. X. RECORDS AND REPORTING
A. Records.
IX. INSPECTIONS, TESTS, ANALYSES, AND
1. The applicant for this appendix shall
ACCEPTANCE CRITERIA (ITAAC)
A.1 An applicant or licensee who references cludes all generic changes to Tier 1, Tier 2,
this appendix shall perform and demonstrate and the generic TS and other operational re-
conformance with the ITAAC before fuel quirements. The applicant shall maintain
load. With respect to activities subject to an the proprietary and safeguards information
ITAAC, an applicant for a license may pro- referenced in the generic DCD for the period
ceed at its own risk with design and procure- that this appendix may be referenced, as
ment activities, and a licensee may proceed specified in Section VII of this appendix.
at its own risk with design, procurement, 2. An applicant or licensee who references
construction, and preoperational activities, this appendix shall maintain the plant-spe-
even though the NRC may not have found cific DCD to accurately reflect both generic
that any particular ITAAC has been met. changes to the generic DCD and plant-spe-
2. The licensee who references this appen- cific departures made under Section VIII of
dix shall notify the NRC that the required this appendix throughout the period of appli-
inspections, tests, and analyses in the cation and for the term of the license (in-
ITAAC have been successfully completed and cluding any period of renewal).
that the corresponding acceptance criteria 3. An applicant or licensee who references
have been met. this appendix shall prepare and maintain
3. In the event that an activity is subject written evaluations which provide the bases
to an ITAAC, and the applicant or licensee for the determinations required by Section
who references this appendix has not dem- VIII of this appendix. These evaluations
onstrated that the ITAAC has been met, the must be retained throughout the period of
applicant or licensee may either take correc- application and for the term of the license
tive actions to successfully complete that (including any period of renewal).

ITAAC, request an exemption from the B. Reporting.
ITAAC in accordance with Section VIII of 1. An applicant or licensee who references
this appendix and 10 CFR 52.97(b), or petition this appendix shall submit a report to the
129
Pt. 52, App. C 10 CFR Ch. I (1–1–11 Edition)
NRC containing a brief description of any who references this appendix, consisting of
plant-specific departures from the DCD, in- the information in the generic DCD, as modi-
cluding a summary of the evaluation of each. fied and supplemented by the plant-specific
This report must be filed in accordance with departures and exemptions made under Sec-
the filing requirements applicable to reports tion VIII of this appendix.
in 10 CFR 52.3. D. Tier 1 means the portion of the design-
2. An applicant or licensee who references related information contained in the generic
this appendix shall submit updates to its DCD that is approved and certified by this
DCD, which reflect the generic changes to appendix (hereinafter Tier 1 information).
and plant-specific departures from the ge- The design descriptions, interface require-
neric DCD made under Section VIII of this ments, and site parameters are derived from
appendix. These updates must be filed under Tier 2 information. Tier 1 information in-
the filing requirements applicable to final cludes:
safety analysis report updates in 10 CFR 52.3 1. Definitions and general provisions;
and 50.71(e). 2. Design descriptions;
3. The reports and updates required by 3. Inspections, tests, analyses, and accept-
paragraphs X.B.1 and X.B.2 must be sub- ance criteria (ITAAC);
mitted as follows: 4. Significant site parameters; and
a. On the date that an application for a li-
5. Significant interface requirements.
cense referencing this appendix is submitted,
E. Tier 2 means the portion of the design-
the application must include the report and
related information contained in the generic
any updates to the generic DCD.
b. During the interval from the date of ap- DCD that is approved but not certified by
plication for a license to the date the Com- this appendix (Tier 2 information). Compli-
mission makes the finding required by 10 ance with Tier 2 is required, but generic
CFR 52.103(g), the report must be submitted changes to and plant-specific departures
semi-annually. Updates to the plant-specific from Tier 2 are governed by Section VIII of
DCD must be submitted annually and may be this appendix. Compliance with Tier 2 pro-
submitted along with amendments to the ap- vides a sufficient, but not the only accept-
plication. able, method for complying with Tier 1.
c. After the Commission makes the finding Compliance methods differing from Tier 2
required by 10 CFR 52.103(g), the reports and must satisfy the change process in Section
updates to the plant-specific DCD must be VIII of this appendix. Regardless of these dif-
submitted, along with updates to the site- ferences, an applicant or licensee must meet
specific portion of the final safety analysis the requirement in Section III.B of this ap-
report for the facility, at the intervals re- pendix to reference Tier 2 when referencing
quired by 10 CFR 50.59(d)(2) and 50.71(e)(4), re- Tier 1. Tier 2 information includes:
spectively, or at shorter intervals as speci- 1. Information required by §§ 52.47(a) and
fied in the license. 52.47(c), with the exception of generic tech-
nical specifications and conceptual design
APPENDIX C TO PART 52—DESIGN CER- information;
TIFICATION RULE FOR THE AP600 DE- 2. Supporting information on the inspec-
SIGN tions, tests, and analyses that will be per-
formed to demonstrate that the acceptance
I. INTRODUCTION criteria in the ITAAC have been met; and
3. Combined license (COL) action items
Appendix C constitutes the standard design
certification for the AP600 1 design, in ac-
certain matters that must be addressed in
cordance with 10 CFR part 52, subpart B. The
the site-specific portion of the final safety
applicant for certification of the AP600 de-
analysis report (FSAR) by an applicant who
sign is Westinghouse Electric Company LLC.
references this appendix. These items con-
II. DEFINITIONS stitute information requirements but are not
the only acceptable set of information in the
A. Generic design control document (ge- FSAR. An applicant may depart from or
neric DCD) means the document containing omit these items, provided that the depar-
the Tier 1 and Tier 2 information and generic ture or omission is identified and justified in
technical specifications that is incorporated the FSAR. After issuance of a construction
by reference into this appendix. permit or COL, these items are not require-
B. Generic technical specifications means ments for the licensee unless such items are
the information, required by 10 CFR 50.36 and restated in the FSAR.
50.36a, for the portion of the plant that is 4. The investment protection short-term
within the scope of this appendix. availability controls in Section 16.3 of the
C. Plant-specific DCD means the docu- DCD.
ment, maintained by an applicant or licensee
F. Tier 2* means the portion of the Tier 2

information, designated as such in the ge-
1 AP600 is a trademark of Westinghouse neric DCD, which is subject to the change
Electric Company LLC. process in Section VIII.B.6 of this appendix.
130
Nuclear Regulatory Commission Pt. 52, App. C
This designation expires for some Tier 2* inside the scope of this appendix may be per-
formation under Section VIII.B.6. formed using site characteristics, provided
G. Departure from a method of evaluation the design activities do not affect the DCD
described in the plant-specific DCD used in or conflict with the interface requirements.
establishing the design bases or in the safety
analyses means: IV. ADDITIONAL REQUIREMENTS AND
(1) Changing any of the elements of the RESTRICTIONS
method described in the plant-specific DCD A. An applicant for a combined license
unless the results of the analysis are con- that wishes to reference this appendix shall,
servative or essentially the same; or in addition to complying with the require-
(2) Changing from a method described in ments of 10 CFR 52.77, 52.79, and 52.80, comply
the plant-specific DCD to another method with the following requirements:
unless that method has been approved by 1. Incorporate by reference, as part of its
NRC for the intended application. application, this appendix;
H. All other terms in this appendix have 2. Include, as part of its application:
the meaning set out in 10 CFR 50.2 or 52.1, or a. A plant-specific DCD containing the
Section 11 of the Atomic Energy Act of 1954, same type of information and utilizing the
as amended, as applicable.
same organization and numbering as the ge-
III. SCOPE AND CONTENTS neric DCD for the AP600 design, as modified
and supplemented by the applicant’s exemp-
A. Tier 1, Tier 2 (including the investment tions and departures;
protection short-term availability controls b. The reports on departures from and up-
in Section 16.3), and the generic technical dates to the plant-specific DCD required by
specifications in the AP600 DCD (12/99 revi- paragraph X.B of this appendix;
sion) are approved for incorporation by ref- c. Plant-specific technical specifications,
erence by the Director of the Office of the consisting of the generic and site-specific
Federal Register on January 24, 2000, in ac- technical specifications, that are required by
cordance with 5 U.S.C. 552(a) and 1 CFR part 10 CFR 50.36 and 50.36a;
51. Copies of the generic DCD may be ob- d. Information demonstrating compliance
tained from Ronald P. Vijuk, Manager, Pas- with the site parameters and interface re-
sive Plant Engineering, Westinghouse Elec- quirements;
tric Company, P.O. Box 355, Pittsburgh, e. Information that addresses the COL ac-
Pennsylvania 15230–0355. A copy of the ge- tion items; and
neric DCD is available for examination and f. Information required by 10 CFR 52.47
copying at the NRC Public Document Room that is not within the scope of this appendix.
located at One White Flint North, 11555 3. Include, in the plant-specific DCD, the
Rockville Pike (first floor), Rockville, Mary- proprietary information and safeguards in-
land 20852. Copies are also available for ex- formation referenced in the AP600 DCD.
amination at the NRC Library located at B. The Commission reserves the right to
Two White Flint North, 11545 Rockville Pike, determine in what manner this appendix
Rockville, Maryland 20582; and the Office of
may be referenced by an applicant for a con-
the Federal Register, 800 North Capitol
struction permit or operating license under
Street, NW., Suite 700, Washington, DC.
10 CFR part 50.
appendix, in accordance with Section IV of V. APPLICABLE REGULATIONS
this appendix, shall incorporate by reference
and comply with the requirements of this ap- A. Except as indicated in paragraph B of
pendix, including Tier 1, Tier 2 (including the this section, the regulations that apply to
investment protection short-term avail- the AP600 design are in 10 CFR parts 20, 50,
ability controls in Section 16.3), and the ge- 73, and 100, codified as of December 16, 1999,
neric technical specifications except as oth- that are applicable and technically relevant,
erwise provided in this appendix. Conceptual as described in the FSER (NUREG–1512) and
design information in the generic DCD and the supplementary information for this sec-
the evaluation of severe accident mitigation tion.
design alternatives in Appendix 1B of the ge- B. The AP600 design is exempt from por-
neric DCD are not part of this appendix. tions of the following regulations:
C. If there is a conflict between Tier 1 and 1. Paragraph (a)(1) of 10 CFR 50.34—whole
Tier 2 of the DCD, then Tier 1 controls. body dose criterion;
D. If there is a conflict between the generic 2. Paragraph (f)(2)(iv) of 10 CFR 50.34—
DCD and either the application for design Plant Safety Parameter Display Console;
certification of the AP600 design or NUREG– 3. Paragraphs (f)(2)(vii), (viii), (xxvi), and
1512, ‘‘Final Safety Evaluation Report Re- (xxviii) of 10 CFR 50.34—Accident Source
lated to Certification of the AP600 Standard Term in TID 14844;
Design,’’ (FSER), then the generic DCD con- 4. Paragraph (a)(2) of 10 CFR 50.55a—ASME
trols. Boiler and Pressure Vessel Code;
E. Design activities for structures, sys- 5. Paragraph (c)(1) of 10 CFR 50.62—Auxil-
tems, and components that are wholly out- iary (or emergency) feedwater system;
131
6. Appendix A to 10 CFR part 50, GDC 17— severe accident mitigation design alter-
Offsite Power Sources; and natives evaluation.
7. Appendix A to 10 CFR part 50, GDC 19— C. The Commission does not consider oper-
whole body dose criterion. ational requirements for an applicant or li-
censee who references this appendix to be
VI. ISSUE RESOLUTION matters resolved within the meaning of 10
A. The Commission has determined that CFR 52.63(a)(5). The Commission reserves the
the structures, systems, components, and de- right to require operational requirements for
sign features of the AP600 design comply an applicant or licensee who references this
with the provisions of the Atomic Energy appendix by rule, regulation, order, or li-
Act of 1954, as amended, and the applicable cense condition.
regulations identified in Section V of this D. Except in accordance with the change
appendix; and therefore, provide adequate processes in Section VIII of this appendix,
protection to the health and safety of the the Commission may not require an appli-
public. A conclusion that a matter is re- cant or licensee who references this appendix
solved includes the finding that additional or to:
alternative structures, systems, components, 1. Modify structures, systems, components,
design features, design criteria, testing, or design features as described in the generic
analyses, acceptance criteria, or justifica- DCD;
tions are not necessary for the AP600 design. 2. Provide additional or alternative struc-
B. The Commission considers the following tures, systems, components, or design fea-
matters resolved within the meaning of 10 tures not discussed in the generic DCD; or
CFR 52.63(a)(5) in subsequent proceedings for 3. Provide additional or alternative design
issuance of a combined license, amendment criteria, testing, analyses, acceptance cri-
of a combined license, or renewal of a com- teria, or justification for structures, sys-
bined license, proceedings held under 10 CFR tems, components, or design features dis-
52.103, and enforcement proceedings involv- cussed in the generic DCD.
ing plants referencing this appendix: E.1. Persons who wish to review propri-
1. All nuclear safety issues, except for the etary and safeguards information or other
generic technical specifications and other secondary references in the AP600 DCD, in
operational requirements, associated with order to request or participate in the hearing
the information in the FSER and Supple- required by 10 CFR 52.85 or the hearing pro-
ment No. 1, Tier 1, Tier 2 (including ref- vided under 10 CFR 52.103, or to request or
erenced information which the context indi-
participate in any other hearing relating to
cates is intended as requirements and the in-
this appendix in which interested persons
vestment protection short-term availability
have adjudicatory hearing rights, shall first
controls in Section 16.3), and the rulemaking
request access to such information from
record for certification of the AP600 design;
Westinghouse. The request must state with
particularity:
etary and safeguards documents, referenced a. The nature of the proprietary or other
and in context, are intended as requirements information sought;
in the generic DCD for the AP600 design; b. The reason why the information cur-
3. All generic changes to the DCD under rently available to the public at the NRC
and in compliance with the change processes Web site, http://www.nrc.gov, and/or at the
in Sections VIII.A.1 and VIII.B.1 of this ap- NRC Public Document Room, is insufficient;
pendix; c. The relevance of the requested informa-
4. All exemptions from the DCD under and tion to the hearing issue(s) which the person
in compliance with the change processes in proposes to raise; and
Sections VIII.A.4 and VIII.B.4 of this appen- d. A showing that the requesting person
dix, but only for that plant; has the capability to understand and utilize
5. All departures from the DCD that are ap- the requested information.
proved by license amendment, but only for 2. If a person claims that the information
that plant; is necessary to prepare a request for hearing,
6. Except as provided in paragraph the request must be filed no later than 15
VIII.B.5.f of this appendix, all departures days after publication in the FEDERAL REG-
from Tier 2 under and in compliance with the ISTER of the notice required either by 10 CFR
change processes in paragraph VIII.B.5 of 52.85 or 10 CFR 52.103. If Westinghouse de-
this appendix that do not require prior NRC clines to provide the information sought,
approval, but only for that plant; Westinghouse shall send a written response
7. All environmental issues concerning se- within 10 days of receiving the request to the
vere accident mitigation design alternatives requesting person setting forth with particu-
associated with the information in the NRC’s larity the reasons for its refusal. The person
environmental assessment for the AP600 de- may then request the Commission (or pre-
sign and appendix 1B of the generic DCD, for siding officer, if a proceeding has been estab-
plants referencing this appendix whose site lished) to order disclosure. The person shall
parameters are within those specified in the include copies of the original request (and
132
any subsequent clarifying information pro- Section V of this appendix, or to assure ade-
vided by the requesting party to the appli- quate protection of the public health and
cant) and the applicant’s response. The Com- safety or the common defense and security;
mission and presiding officer shall base their and
decisions solely on the person’s original re- b. Special circumstances as defined in 10
quest (including any clarifying information CFR 52.7 are present.
provided by the requesting person to Wes- 4. An applicant or licensee who references
tinghouse), and Westinghouse’s response. this appendix may request an exemption
The Commission and presiding officer may from Tier 2 information. The Commission
order Westinghouse to provide access to may grant such a request only if it deter-
some or all of the requested information, mines that the exemption will comply with
subject to an appropriate non-disclosure the requirements of 10 CFR 52.7. The Com-
agreement. mission will deny a request for an exemption
from Tier 2, if it finds that the design change
VII. DURATION OF THIS APPENDIX will result in a significant decrease in the
This appendix may be referenced for a pe- level of safety otherwise provided by the de-
sign. The grant of an exemption to an appli-
riod of 15 years from January 24, 2000, except
cant must be subject to litigation in the
as provided for in 10 CFR 52.55(b) and 52.57(b).
same manner as other issues material to the
This appendix remains valid for an applicant
license hearing. The grant of an exemption
or licensee who references this appendix
to a licensee must be subject to an oppor-
until the application is withdrawn or the li-
tunity for a hearing in the same manner as
cense expires, including any period of ex-
license amendments.
tended operation under a renewed license.
5.a. An applicant or licensee who ref-
VIII. PROCESSES FOR CHANGES AND erences this appendix may depart from Tier
DEPARTURES 2 information, without prior NRC approval,
unless the proposed departure involves a
A. Tier 1 information. change to or departure from Tier 1 informa-
1. Generic changes to Tier 1 information tion, Tier 2* information, or the technical
are governed by the requirements in 10 CFR specifications, or requires a license amend-
52.63(a)(1). ment under paragraphs B.5.b or B.5.c of this
2. Generic changes to Tier 1 information section. When evaluating the proposed depar-
are applicable to all applicants or licensees ture, an applicant or licensee shall consider
who reference this appendix, except those for all matters described in the plant-specific
which the change has been rendered tech- DCD.
nically irrelevant by action taken under b. A proposed departure from Tier 2, other
paragraphs A.3 or A.4 of this section. than one affecting resolution of a severe ac-
3. Departures from Tier 1 information that cident issue identified in the plant-specific
are required by the Commission through DCD, requires a license amendment if it
plant-specific orders are governed by the re- would:
quirements in 10 CFR 52.63(a)(4). (1) Result in more than a minimal increase
4. Exemptions from Tier 1 information are in the frequency of occurrence of an accident
governed by the requirements in 10 CFR previously evaluated in the plant-specific
52.63(b)(1) and 52.98(f). The Commission will DCD;
deny a request for an exemption from Tier 1, (2) Result in more than a minimal increase
if it finds that the design change will result in the likelihood of occurrence of a malfunc-
in a significant decrease in the level of safe- tion of a structure, system, or component
ty otherwise provided by the design. (SSC) important to safety previously evalu-
B. Tier 2 information. ated in the plant-specific DCD;
1. Generic changes to Tier 2 information (3) Result in more than a minimal increase
are governed by the requirements in 10 CFR in the consequences of an accident pre-
52.63(a)(1). viously evaluated in the plant-specific DCD;
are applicable to all applicants or licensees in the consequences of a malfunction of an
who reference this appendix, except those for SSC important to safety previously evalu-
which the change has been rendered tech- ated in the plant-specific DCD;
nically irrelevant by action taken under (5) Create a possibility for an accident of a
paragraphs B.3, B.4, B.5, or B.6 of this sec- different type than any evaluated previously
tion. in the plant-specific DCD;
under §§ 52.55 or 52.61, unless: plant-specific DCD;
a. A modification is necessary to secure (7) Result in a design basis limit for a fis-
compliance with the Commission’s regula- sion product barrier as described in the
tions applicable and in effect at the time plant-specific DCD being exceeded or altered;
this appendix was approved, as set forth in or
133
(8) Result in a departure from a method of quest for a license amendment under 10 CFR
evaluation described in the plant-specific 50.90.
DCD used in establishing the design bases or (1) Maximum fuel rod average burn-up.
in the safety analyses. (2) Fuel principal design requirements.
c. A proposed departure from Tier 2 affect- (3) Fuel criteria evaluation process.
ing resolution of an ex-vessel severe accident (4) Fire areas.
design feature identified in the plant-specific (5) Human factors engineering.
DCD, requires a license amendment if: c. A licensee who references this appendix
(1) There is a substantial increase in the may not, before the plant first achieves full
probability of an ex-vessel severe accident power following the finding required by 10
such that a particular ex-vessel severe acci- CFR 52.103(g), depart from the following Tier
dent previously reviewed and determined to 2* matters except in accordance with para-
be not credible could become credible; or graph B.6.b of this section. After the plant
(2) There is a substantial increase in the first achieves full power, the following Tier
consequences to the public of a particular ex- 2* matters revert to Tier 2 status and are
vessel severe accident previously reviewed. thereafter subject to the departure provi-
d. If a departure requires a license amend- sions in paragraph B.5 of this section.
ment under paragraphs B.5.b or B.5.c of this (1) Nuclear Island structural dimensions.
section, it is governed by 10 CFR 50.90. (2) ASME Boiler and Pressure Vessel Code,
e. A departure from Tier 2 information Section III, and Code Case—284.
that is made under paragraph B.5 of this sec- (3) Design Summary of Critical Sections.
tion does not require an exemption from this (4) ACI 318, ACI 349, and ANSI/AISC—690.
appendix. (5) Definition of critical locations and
f. A party to an adjudicatory proceeding thicknesses.
for either the issuance, amendment, or re- (6) Seismic qualification methods and
newal of a license or for operation under 10 standards.
CFR 52.103(a), who believes that an applicant (7) Nuclear design of fuel and reactivity
or licensee who references this appendix has control system, except burn-up limit.
not complied with paragraph VIII.B.5 of this (8) Motor-operated and power-operated
appendix when departing from Tier 2 infor- valves.
mation, may petition the NRC to admit into (9) Instrumentation and control system de-
the proceeding such a contention. In addi- sign processes, methods, and standards.
tion to compliance with the general require- (10) PRHR natural circulation test (first
ments of 10 CFR 2.309, the petition must plant only).
demonstrate that the departure does not (11) ADS and CMT verification tests (first
comply with paragraph VIII.B.5 of this ap- three plants only).
pendix. Further, the petition must dem- d. Departures from Tier 2* information
onstrate that the change bears on an as- that are made under paragraph B.6 of this
serted noncompliance with an ITAAC accept- section do not require an exemption from
ance criterion in the case of a 10 CFR 52.103 this appendix.
preoperational hearing, or that the change C. Operational requirements.
bears directly on the amendment request in 1. Generic changes to generic technical
the case of a hearing on a license amend- specifications and other operational require-
ment. Any other party may file a response. ments that were completely reviewed and ap-
If, on the basis of the petition and any re- proved in the design certification rule-
sponse, the presiding officer determines that making and do not require a change to a de-
a sufficient showing has been made, the pre- sign feature in the generic DCD are governed
siding officer shall certify the matter di- by the requirements in 10 CFR 50.109. Ge-
rectly to the Commission for determination neric changes that do require a change to a
of the admissibility of the contention. The design feature in the generic DCD are gov-
Commission may admit such a contention if erned by the requirements in paragraphs A
it determines the petition raises a genuine or B of this section.
issue of material fact regarding compliance 2. Generic changes to generic TS and other
with paragraph VIII.B.5 of this appendix. operational requirements are applicable to
6a. An applicant who references this appen- all applicants who reference this appendix,
dix may not depart from Tier 2* information, except those for which the change has been
which is designated with italicized text or rendered technically irrelevant by action
brackets and an asterisk in the generic DCD, taken under paragraphs C.3 or C.4 of this sec-
without NRC approval. The departure will tion.
not be considered a resolved issue, within the 3. The Commission may require plant-spe-
meaning of Section VI of this appendix and cific departures on generic technical speci-
10 CFR 52.63(a)(5). fications and other operational requirements
b. A licensee who references this appendix that were completely reviewed and approved,
may not depart from the following Tier 2* provided a change to a design feature in the
matters without prior NRC approval. A re- generic DCD is not required and special cir-
quest for a departure will be treated as a re- cumstances as defined in 10 CFR 2.335 are
134
present. The Commission may modify or sup- inspections, tests, and analyses in the
plement generic technical specifications and ITAAC have been successfully completed and
other operational requirements that were that the corresponding acceptance criteria
not completely reviewed and approved or re- have been met.
quire additional technical specifications and 3. In the event that an activity is subject
other operational requirements on a plant- to an ITAAC, and the applicant or licensee
specific basis, provided a change to a design who references this appendix has not dem-
feature in the generic DCD is not required. onstrated that the ITAAC has been met, the
4. An applicant who references this appen- applicant or licensee may either take correc-
dix may request an exemption from the ge- tive actions to successfully complete that
neric technical specifications or other oper- ITAAC, request an exemption from the
ational requirements. The Commission may ITAAC in accordance with Section VIII of
grant such a request only if it determines this appendix and 10 CFR 52.97(b), or petition
that the exemption will comply with the re- for rulemaking to amend this appendix by
quirements of 10 CFR 52.7. The grant of an changing the requirements of the ITAAC,
exemption must be subject to litigation in under 10 CFR 2.802 and 52.97(b). Such rule-
the same manner as other issues material to making changes to the ITAAC must meet
the license hearing. the requirements of paragraph VIII.A.1 of
5. A party to an adjudicatory proceeding this appendix.
for either the issuance, amendment, or re- B.1. The NRC shall ensure that the re-
newal of a license or for operation under 10 quired inspections, tests, and analyses in the
a technical specification derived from the ge- erenced by the licensee have been success-
neric technical specifications must be fully completed and, based solely thereon,
changed may petition to admit into the pro- find the prescribed acceptance criteria have
ceeding such a contention. Such petition been met. At appropriate intervals during
must comply with the general requirements construction, the NRC shall publish notices
of 10 CFR 2.309 and must demonstrate why of the successful completion of ITAAC in the
special circumstances as defined in 10 CFR
FEDERAL REGISTER.
2.335 are present, or for compliance with the
2. In accordance with 10 CFR 52.103(g), the
Commission’s regulations in effect at the
Commission shall find that the acceptance
time this appendix was approved, as set forth
criteria in the ITAAC for the license are met
in Section V of this appendix. Any other
before fuel load.
party may file a response thereto. If, on the
3. After the Commission has made the find-
basis of the petition and any response, the
ing required by 10 CFR 52.103(g), the ITAAC
presiding officer determines that a sufficient
do not, by virtue of their inclusion within
showing has been made, the presiding officer
shall certify the matter directly to the Com- the DCD, constitute regulatory requirements
mission for determination of the admissi- either for licensees or for renewal of the li-
bility of the contention. All other issues cense; except for specific ITAAC, which are
with respect to the plant-specific technical the subject of a § 52.103(a) hearing, their expi-
specifications or other operational require- ration will occur upon final Commission ac-
ments are subject to a hearing as part of the tion in such proceeding. However, subse-
license proceeding. quent modifications must comply with the
6. After issuance of a license, the generic Tier 1 and Tier 2 design descriptions in the
technical specifications have no further ef- plant-specific DCD unless the licensee has
fect on the plant-specific technical specifica- complied with the applicable requirements of
tions and changes to the plant-specific tech- 10 CFR 52.98 and Section VIII of this appen-
nical specifications will be treated as license dix.
amendments under 10 CFR 50.90.
X. RECORDS AND REPORTING
IX. INSPECTIONS, TESTS, ANALYSES, AND A. Records.
ACCEPTANCE CRITERIA (ITAAC) 1. The applicant for this appendix shall
A.1 An applicant or licensee who references maintain a copy of the generic DCD that in-
this appendix shall perform and demonstrate cludes all generic changes to Tier 1, Tier 2,
conformance with the ITAAC before fuel and the generic TS and other operational re-
load. With respect to activities subject to an quirements. The applicant shall maintain
ITAAC, an applicant for a license may pro- the proprietary and safeguards information
ceed at its own risk with design and procure- referenced in the generic DCD for the period
ment activities, and a licensee may proceed that this appendix may be referenced, as
at its own risk with design, procurement, specified in Section VII of this appendix.
construction, and preoperational activities, 2. An applicant or licensee who references
even though the NRC may not have found this appendix shall maintain the plant-spe-
that any particular ITAAC has been met. cific DCD to accurately reflect both generic
2. The licensee who references this appen- changes to the generic DCD and plant-spe-
dix shall notify the NRC that the required cific departures made under Section VIII of
135
Pt. 52, App. D 10 CFR Ch. I (1–1–11 Edition)
this appendix throughout the period of appli- design is Westinghouse Electric Company
cation and for the term of the license (in- LLC.
cluding any period of renewal).
3. An applicant or licensee who references II. DEFINITIONS
this appendix shall prepare and maintain A. Generic design control document (generic
written evaluations which provide the bases DCD) means the document containing the
for the determinations required by Section Tier 1 and Tier 2 information and generic
VIII of this appendix. These evaluations technical specifications that is incorporated
must be retained throughout the period of by reference into this appendix.
application and for the term of the license B. Generic technical specifications means the
(including any period of renewal). information required by 10 CFR 50.36 and
B. Reporting. 50.36a for the portion of the plant that is
1. An applicant or licensee who references within the scope of this appendix.
this appendix shall submit a report to the C. Plant-specific DCD means the document
NRC containing a brief description of any maintained by an applicant or licensee who
plant-specific departures from the DCD, in- references this appendix consisting of the in-
cluding a summary of the evaluation of each. formation in the generic DCD as modified
This report must be filed in accordance with and supplemented by the plant-specific de-
the filing requirements applicable to reports partures and exemptions made under Section
in 10 CFR 52.3. VIII of this appendix.
2. An applicant or licensee who references D. Tier 1 means the portion of the design-
this appendix shall submit updates to its related information contained in the generic
DCD, which reflect the generic changes to DCD that is approved and certified by this
and plant-specific departures from the ge- appendix (Tier 1 information). The design de-
neric DCD made under Section VIII of this scriptions, interface requirements, and site
appendix. These updates must be filed under parameters are derived from Tier 2 informa-
the filing requirements applicable to final tion. Tier 1 information includes:
safety analysis report updates in 10 CFR 52.3 1. Definitions and general provisions;
and 50.71(e). 2. Design descriptions;
3. The reports and updates required by 3. Inspections, tests, analyses, and accept-
paragraphs X.B.1 and X.B.2 must be sub- ance criteria (ITAAC);
mitted as follows: 4. Significant site parameters; and
a. On the date that an application for a li- 5. Significant interface requirements.
cense referencing this appendix is submitted, E. Tier 2 means the portion of the design-
the application must include the report and related information contained in the generic
any updates to the generic DCD. DCD that is approved but not certified by
b. During the interval from the date of ap- this appendix (Tier 2 information). Compli-
plication for a license to the date the Com- ance with Tier 2 is required, but generic
mission makes the finding required by 10 changes to and plant-specific departures
CFR 52.103(g), the report must be submitted from Tier 2 are governed by Section VIII of
semi-annually. Updates to the plant-specific this appendix. Compliance with Tier 2 pro-
DCD must be submitted annually and may be vides a sufficient, but not the only accept-
submitted along with amendments to the ap- able, method for complying with Tier 1.
plication. Compliance methods differing from Tier 2
c. After the Commission makes the finding must satisfy the change process in Section
required by 10 CFR 52.103(g), the reports and VIII of this appendix. Regardless of these dif-
updates to the plant-specific DCD must be ferences, an applicant or licensee must meet
submitted, along with updates to the site- the requirement in Section III.B of this ap-
specific portion of the final safety analysis pendix to reference Tier 2 when referencing
report for the facility, at the intervals re- Tier 1. Tier 2 information includes:
quired by 10 CFR 50.59(d)(2) and 50.71(e), re- 1. Information required by §§ 52.47(a) and
spectively, or at shorter intervals as speci- 52.47(c), with the exception of generic tech-
fied in the license. nical specifications and conceptual design
information;
APPENDIX D TO PART 52—DESIGN CER- 2. Supporting information on the inspec-
TIFICATION RULE FOR THE AP1000 tions, tests, and analyses that will be per-
DESIGN formed to demonstrate that the acceptance
criteria in the ITAAC have been met; and
I. INTRODUCTION 3. Combined license (COL) action items
Appendix D constitutes the standard de-
certain matters that must be addressed in
sign certification for the AP1000 1 design, in
the site-specific portion of the final safety
accordance with 10 CFR part 52, subpart B.
analysis report (FSAR) by an applicant who
The applicant for certification of the AP1000
references this appendix. These items con-

stitute information requirements but are not
1 AP1000 is a trademark of Westinghouse the only acceptable set of information in the
Electric Company LLC. FSAR. An applicant may depart from or
136
Nuclear Regulatory Commission Pt. 52, App. D
omit these items, provided that the depar- and the generic TS except as otherwise pro-
ture or omission is identified and justified in vided in this appendix. Conceptual design in-
the FSAR. After issuance of a construction formation in the generic DCD and the eval-
permit or COL, these items are not require- uation of severe accident mitigation design
ments for the licensee unless such items are alternatives in appendix 1B of the generic
restated in the FSAR. DCD are not part of this appendix.
4. The investment protection short-term C. If there is a conflict between Tier 1 and
availability controls in Section 16.3 of the Tier 2 of the DCD, then Tier 1 controls.
DCD. D. If there is a conflict between the generic
F. Tier 2* means the portion of the Tier 2 DCD and either the application for design
information, designated as such in the ge- certification of the AP1000 design or
neric DCD, which is subject to the change NUREG–1793, ‘‘Final Safety Evaluation Re-
process in Section VIII.B.6 of this appendix. port Related to Certification of the AP1000
This designation expires for some Tier 2* in- Standard Design,’’ (FSER) and Supplement
formation under paragraph VIII.B.6. No. 1, then the generic DCD controls.
G. Departure from a method of evaluation de- E. Design activities for structures, sys-
scribed in the plant-specific DCD used in estab- tems, and components that are wholly out-
lishing the design bases or in the safety anal- side the scope of this appendix may be per-
yses means: formed using site characteristics, provided
1. Changing any of the elements of the the design activities do not affect the DCD
method described in the plant-specific DCD or conflict with the interface requirements.
unless the results of the analysis are con-
servative or essentially the same; or IV. ADDITIONAL REQUIREMENTS AND
2. Changing from a method described in the RESTRICTIONS
plant-specific DCD to another method unless
A. An applicant for a combined license
that method has been approved by the NRC
for the intended application. that wishes to reference this appendix shall,
H. All other terms in this appendix have in addition to complying with the require-
the meaning set out in 10 CFR 50.2, or 52.1, or ments of 10 CFR 52.77, 52.79, and 52.80, comply
Section 11 of the Atomic Energy Act of 1954, with the following requirements:
as amended, as applicable. 1. Incorporate by reference, as part of its
application, this appendix.
III. SCOPE AND CONTENTS 2. Include, as part of its application:
a. A plant-specific DCD containing the
A. Tier 1, Tier 2 (including the investment same type of information and using the same
protection short-term availability controls organization and numbering as the generic
in Section 16.3), and the generic TS in the DCD for the AP1000 design, as modified and
AP1000 DCD (Revision 15, dated December 8,
supplemented by the applicant’s exemptions
2005) are approved for incorporation by ref-
and departures;
erence by the Director of the Office of the
b. The reports on departures from and up-
Federal Register on February 27, 2006, under
5 U.S.C. 552(a) and 1 CFR part 51. Copies of
paragraph X.B of this appendix;
the generic DCD may be obtained from Ron-
c. Plant-specific TS, consisting of the ge-
ald P. Vijuk, Manager, Passive Plant Engi-
neric and site-specific TS that are required
neering, Westinghouse Electric Company,
by 10 CFR 50.36 and 50.36a;
P.O. Box 355, Pittsburgh, Pennsylvania 15230–
d. Information demonstrating compliance
0355. A copy of the generic DCD is also avail-
with the site parameters and interface re-
able for examination and copying at the NRC
quirements;
Public Document Room, One White Flint
North, 11555 Rockville Pike, Rockville, e. Information that addresses the COL ac-
Maryland 20852. Copies are available for ex- tion items; and
amination at the NRC Library, Two White f. Information required by 10 CFR 52.47(a)
Flint North, 11545 Rockville Pike, Rockville, that is not within the scope of this appendix.
Maryland, telephone (301) 415–5610, e-mail 3. Include, in the plant-specific DCD, the
LIBRARY@NRC.GOV or at the National Ar- proprietary information and safeguards in-
chives and Records Administration (NARA). formation referenced in the AP1000 DCD.
For information on the availability of this B. The Commission reserves the right to
material at NARA, call (202) 741–6030 or go to determine in what manner this appendix
http://www.archives.gov/federallregister/ may be referenced by an applicant for a con-
codeloflfederallregulations/ struction permit or operating license under
ibrllocations.html. 10 CFR part 50.
V. APPLICABLE REGULATIONS
appendix, in accordance with Section IV of
this appendix, shall incorporate by reference A. Except as indicated in paragraph B of
and comply with the requirements of this ap- this section, the regulations that apply to
pendix, including Tier 1, Tier 2 (including the the AP1000 design are in 10 CFR parts 20, 50,
investment protection short-term avail- 73, and 100, codified as of January 23, 2006,
ability controls in Section 16.3 of the DCD), that are applicable and technically relevant,
137
as described in the FSER (NUREG–1793) and 7. All environmental issues concerning se-
Supplement No. 1. vere accident mitigation design alternatives
B. The AP1000 design is exempt from por- associated with the information in the NRC’s
tions of the following regulations: EA for the AP1000 design and Appendix 1B of
1. Paragraph (f)(2)(iv) of 10 CFR 50.34— the generic DCD, for plants referencing this
Plant Safety Parameter Display Console; appendix whose site parameters are within
2. Paragraph (c)(1) of 10 CFR 50.62—Auxil- those specified in the severe accident mitiga-
iary (or emergency) feedwater system; and tion design alternatives evaluation.
3. Appendix A to 10 CFR part 50, GDC 17— C. The Commission does not consider oper-
Second offsite power supply circuit. ational requirements for an applicant or li-
censee who references this appendix to be
VI. ISSUE RESOLUTION matters resolved within the meaning of 10
A. The Commission has determined that CFR 52.63(a)(5). The Commission reserves the
the structures, systems, components, and de- right to require operational requirements for
sign features of the AP1000 design comply an applicant or licensee who references this
with the provisions of the Atomic Energy appendix by rule, regulation, order, or li-
Act of 1954, as amended, and the applicable cense condition.
regulations identified in Section V of this D. Except under the change processes in
appendix; and therefore, provide adequate Section VIII of this appendix, the Commis-
protection to the health and safety of the sion may not require an applicant or licensee
public. A conclusion that a matter is re- who references this appendix to:
solved includes the finding that additional or 1. Modify structures, systems, components,
alternative structures, systems, components, or design features as described in the generic
design features, design criteria, testing, DCD;
analyses, acceptance criteria, or justifica- 2. Provide additional or alternative struc-
tions are not necessary for the AP1000 de- tures, systems, components, or design fea-
sign. tures not discussed in the generic DCD; or
B. The Commission considers the following 3. Provide additional or alternative design
matters resolved within the meaning of 10 criteria, testing, analyses, acceptance cri-
CFR 52.63(a)(5) in subsequent proceedings for teria, or justification for structures, sys-
issuance of a COL, amendment of a COL, or tems, components, or design features dis-
renewal of a COL, proceedings held under 10 cussed in the generic DCD.
CFR 52.103, and enforcement proceedings in- E.1. Persons who wish to review propri-
volving plants referencing this appendix: etary and safeguards information or other
1. All nuclear safety issues, except for the secondary references in the AP1000 DCD, in
generic TS and other operational require- order to request or participate in the hearing
ments, associated with the information in required by 10 CFR 52.85 or the hearing pro-
the FSER and Supplement No. 1, Tier 1, Tier vided under 10 CFR 52.103, or to request or
2 (including referenced information, which participate in any other hearing relating to
the context indicates is intended as require- this appendix in which interested persons
ments, and the investment protection short- have adjudicatory hearing rights, shall first
term availability controls in Section 16.3 of request access to such information from
the DCD), and the rulemaking record for cer- Westinghouse. The request must state with
tification of the AP1000 design; particularity:
2. All nuclear safety and safeguards issues a. The nature of the proprietary or other
associated with the information in propri- information sought;
etary and safeguards documents, referenced b. The reason why the information cur-
and in context, are intended as requirements rently available to the public in the NRC’s
in the generic DCD for the AP1000 design; public document room is insufficient;
3. All generic changes to the DCD under c. The relevance of the requested informa-
and in compliance with the change processes tion to the hearing issue(s) which the person
in Sections VIII.A.1 and VIII.B.1 of this ap- proposes to raise; and
pendix; d. A showing that the requesting person
4. All exemptions from the DCD under and has the capability to understand and utilize
in compliance with the change processes in the requested information.
Sections VIII.A.4 and VIII.B.4 of this appen- 2. If a person claims that the information
dix, but only for that plant; is necessary to prepare a request for hearing,
5. All departures from the DCD that are ap- the request must be filed no later than 15
proved by license amendment, but only for days after publication in the FEDERAL REG-
that plant; ISTER of the notice required either by 10 CFR
6. Except as provided in paragraph 52.85 or 10 CFR 52.103. If Westinghouse de-
VIII.B.5.f of this appendix, all departures clines to provide the information sought,
from Tier 2 under and in compliance with the Westinghouse shall send a written response
change processes in paragraph VIII.B.5 of within 10 days of receiving the request to the
this appendix that do not require prior NRC requesting person setting forth with particu-
approval, but only for that plant; larity the reasons for its refusal. The person
138
may then request the Commission (or pre- a. A modification is necessary to secure
siding officer, if a proceeding has been estab- compliance with the Commission’s regula-
lished) to order disclosure. The person shall tions applicable and in effect at the time
include copies of the original request (and this appendix was approved, as set forth in
any subsequent clarifying information pro- Section V of this appendix, or to ensure ade-
vided by the requesting party to the appli- quate protection of the public health and
cant) and the applicant’s response. The Com- safety or the common defense and security;
mission and presiding officer shall base their and
decisions solely on the person’s original re- b. Special circumstances as defined in 10
quest (including any clarifying information CFR 50.12(a) are present.
provided by the requesting person to Wes- 4. An applicant or licensee who references
tinghouse), and Westinghouse’s response. this appendix may request an exemption
The Commission and presiding officer may from Tier 2 information. The Commission
order Westinghouse to provide access to may grant such a request only if it deter-
some or all of the requested information, mines that the exemption will comply with
subject to an appropriate non-disclosure the requirements of 10 CFR 50.12(a). The
agreement. Commission will deny a request for an ex-
emption from Tier 2, if it finds that the de-
VII. DURATION OF THIS APPENDIX sign change will result in a significant de-
This appendix may be referenced for a pe- crease in the level of safety otherwise pro-
riod of 15 years from February 27, 2006, ex- vided by the design. The grant of an exemp-
cept as provided for in 10 CFR 52.55(b) and tion to an applicant must be subject to liti-
52.57(b). This appendix remains valid for an gation in the same manner as other issues
applicant or licensee who references this ap- material to the license hearing. The grant of
pendix until the application is withdrawn or an exemption to a licensee must be subject
the license expires, including any period of to an opportunity for a hearing in the same
extended operation under a renewed license. manner as license amendments.
5.a. An applicant or licensee who ref-
VIII. PROCESSES FOR CHANGES AND erences this appendix may depart from Tier
DEPARTURES 2 information, without prior NRC approval,
A. Tier 1 information. unless the proposed departure involves a
1. Generic changes to Tier 1 information change to or departure from Tier 1 informa-
are governed by the requirements in 10 CFR tion, Tier 2* information, or the TS, or re-
52.63(a)(1). quires a license amendment under para-
2. Generic changes to Tier 1 information graphs B.5.b or B.5.c of this section. When
are applicable to all applicants or licensees evaluating the proposed departure, an appli-
who reference this appendix, except those for cant or licensee shall consider all matters
which the change has been rendered tech- described in the plant-specific DCD.
nically irrelevant by action taken under b. A proposed departure from Tier 2, other
paragraphs A.3 or A.4 of this section. than one affecting resolution of a severe ac-
3. Departures from Tier 1 information that cident issue identified in the plant-specific
are required by the Commission through DCD, requires a license amendment if it
plant-specific orders are governed by the re- would:
quirements in 10 CFR 52.63(a)(4). (1) Result in more than a minimal increase
4. Exemptions from Tier 1 information are in the frequency of occurrence of an accident
governed by the requirements in 10 CFR previously evaluated in the plant-specific
52.63(b)(1) and 52.98(f). The Commission will DCD;
deny a request for an exemption from Tier 1, (2) Result in more than a minimal increase
if it finds that the design change will result in the likelihood of occurrence of a malfunc-
in a significant decrease in the level of safe- tion of a structure, system, or component
ty otherwise provided by the design. (SSC) important to safety and previously
B. Tier 2 information. evaluated in the plant-specific DCD;
are governed by the requirements in 10 CFR in the consequences of an accident pre-
52.63(a)(1). viously evaluated in the plant-specific DCD;
are applicable to all applicants or licensees in the consequences of a malfunction of an
who reference this appendix, except those for SSC important to safety previously evalu-
which the change has been rendered tech- ated in the plant-specific DCD;
nically irrelevant by action taken under (5) Create a possibility for an accident of a
paragraphs B.3, B.4, B.5, or B.6 of this sec- different type than any evaluated previously
tion. in the plant-specific DCD;
under 10 CFR 52.55 or 52.61, unless: plant-specific DCD;
139
(7) Result in a design basis limit for a fis- b. A licensee who references this appendix
sion product barrier as described in the may not depart from the following Tier 2*
plant-specific DCD being exceeded or altered; matters without prior NRC approval. A re-
or quest for a departure will be treated as a re-
(8) Result in a departure from a method of quest for a license amendment under 10 CFR
evaluation described in the plant-specific 50.90.
DCD used in establishing the design bases or (1) Maximum fuel rod average burn-up.
in the safety analyses. (2) Fuel principal design requirements.
c. A proposed departure from Tier 2 affect- (3) Fuel criteria evaluation process.
ing resolution of an ex-vessel severe accident (4) Fire areas.
design feature identified in the plant-specific (5) Human factors engineering.
DCD, requires a license amendment if: (6) Small-break loss-of-coolant accident
(1) There is a substantial increase in the (LOCA) analysis methodology.
probability of an ex-vessel severe accident c. A licensee who references this appendix
such that a particular ex-vessel severe acci- may not, before the plant first achieves full
dent previously reviewed and determined to power following the finding required by 10
be not credible could become credible; or CFR 52.103(g), depart from the following Tier
(2) There is a substantial increase in the 2* matters except under paragraph B.6.b of
consequences to the public of a particular ex- this section. After the plant first achieves
vessel severe accident previously reviewed. full power, the following Tier 2* matters re-
vert to Tier 2 status and are subject to the
d. If a departure requires a license amend-
departure provisions in paragraph B.5 of this
ment under paragraph B.5.b or B.5.c of this
section.
section, it is governed by 10 CFR 50.90.
(1) Nuclear Island structural dimensions.
e. A departure from Tier 2 information
(2) American Society of Mechanical Engi-
that is made under paragraph B.5 of this sec-
neers Boiler & Pressure Vessel Code (ASME
tion does not require an exemption from this
Code), Section III, and Code Case–284.
appendix. (3) Design Summary of Critical Sections.
f. A party to an adjudicatory proceeding (4) American Concrete Institute (ACI) 318,
for either the issuance, amendment, or re- ACI 349, American National Standards Insti-
newal of a license or for operation under 10 tute/American Institute of Steel Construc-
CFR 52.103(a), who believes that an applicant tion (ANSI/AISC)–690, and American Iron and
or licensee who references this appendix has Steel Institute (AISI), ‘‘Specification for the
not complied with paragraph VIII.B.5 of this Design of Cold Formed Steel Structural
appendix when departing from Tier 2 infor- Members, Part 1 and 2,’’ 1996 Edition and 2000
mation, may petition to admit into the pro- Supplement.
ceeding such a contention. In addition to (5) Definition of critical locations and
compliance with the general requirements of thicknesses.
10 CFR 2.309, the petition must demonstrate (6) Seismic qualification methods and
that the departure does not comply with standards.
paragraph VIII.B.5 of this appendix. Further, (7) Nuclear design of fuel and reactivity
the petition must demonstrate that the control system, except burn-up limit.
change bears on an asserted noncompliance (8) Motor-operated and power-operated
with an ITAAC acceptance criterion in the valves.
case of a 10 CFR 52.103 preoperational hear- (9) Instrumentation and control system de-
ing, or that the change bears directly on the sign processes, methods, and standards.
amendment request in the case of a hearing (10) Passive residual heat removal (PRHR)
on a license amendment. Any other party natural circulation test (first plant only).
may file a response. If, on the basis of the pe- (11) Automatic depressurization system
tition and any response, the presiding officer (ADS) and core make-up tank (CMT)
determines that a sufficient showing has verification tests (first three plants only).
been made, the presiding officer shall certify (12) Polar crane parked orientation.
the matter directly to the Commission for (13) Piping design acceptance criteria.
determination of the admissibility of the (14) Containment vessel design parameters.
contention. The Commission may admit such d. Departures from Tier 2* information
a contention if it determines the petition that are made under paragraph B.6 of this
raises a genuine issue of material fact re- section do not require an exemption from
garding compliance with paragraph VIII.B.5 this appendix.
of this appendix. C. Operational requirements.
6.a. An applicant who references this ap- 1. Generic changes to generic TS and other
pendix may not depart from Tier 2* informa- operational requirements that were com-
tion, which is designated with italicized text pletely reviewed and approved in the design
or brackets and an asterisk in the generic certification rulemaking and do not require
DCD, without NRC approval. The departure a change to a design feature in the generic
will not be considered a resolved issue, with- DCD are governed by the requirements in 10
in the meaning of Section VI of this appen- CFR 50.109. Generic changes that require a
dix and 10 CFR 52.63(a)(5). change to a design feature in the generic
140
DCD are governed by the requirements in IX. INSPECTIONS, TESTS, ANALYSES, AND
paragraphs A or B of this section. ACCEPTANCE CRITERIA (ITAAC)
2. Generic changes to generic TS and other
A.1. An applicant or licensee who ref-
operational requirements are applicable to
erences this appendix shall perform and dem-
all applicants who reference this appendix,
onstrate conformance with the ITAAC before
except those for which the change has been
fuel load. With respect to activities subject
rendered technically irrelevant by action
to an ITAAC, an applicant for a license may
taken under paragraphs C.3 or C.4 of this sec-
proceed at its own risk with design and pro-
tion.
curement activities. A licensee may also pro-
3. The Commission may require plant-spe- ceed at its own risk with design, procure-
cific departures on generic TS and other ment, construction, and preoperational ac-
operational requirements that were com- tivities, even though the NRC may not have
pletely reviewed and approved, provided a found that any particular ITAAC has been
change to a design feature in the generic met.
DCD is not required and special cir-
2. The licensee who references this appen-
cumstances as defined in 10 CFR 2.335 are
dix shall notify the NRC that the required
present. The Commission may modify or sup-
inspections, tests, and analyses in the
plement generic TS and other operational re-
ITAAC have been successfully completed and
quirements that were not completely re-
that the corresponding acceptance criteria
viewed and approved or require additional
TS and other operational requirements on a have been met.
plant-specific basis, provided a change to a 3. If an activity is subject to an ITAAC and
design feature in the generic DCD is not re- the applicant or licensee who references this
quired. appendix has not demonstrated that the
4. An applicant who references this appen- ITAAC has been met, the applicant or li-
dix may request an exemption from the ge- censee may either take corrective actions to
neric technical specifications or other oper- successfully complete that ITAAC, request
ational requirements. The Commission may an exemption from the ITAAC under Section
grant such a request only if it determines VIII of this appendix and 10 CFR 52.97(b), or
that the exemption will comply with the repetition for rulemaking to amend this ap-
quirements of 10 CFR 52.7. The grant of an pendix by changing the requirements of the
exemption must be subject to litigation in ITAAC, under 10 CFR 2.802 and 52.97(b). Such
the same manner as other issues material to rulemaking changes to the ITAAC must
the license hearing. meet the requirements of paragraph VIII.A.1
5. A party to an adjudicatory proceeding of this appendix.
for either the issuance, amendment, or re- B.1. The NRC shall ensure that the re-
newal of a license, or for operation under 10 quired inspections, tests, and analyses in the
a TS derived from the generic TS must be erenced by the licensee have been success-
changed may petition to admit such a con- fully completed and, based solely thereon,
tention into the proceeding. The petition find that the prescribed acceptance criteria
must comply with the general requirements have been met. At appropriate intervals dur-
of 10 CFR 2.309 and must demonstrate why ing construction, the NRC shall publish no-
special circumstances as defined in 10 CFR tices of the successful completion of ITAAC
2.335 are present, or demonstrate compliance in the FEDERAL REGISTER.
with the Commission’s regulations in effect 2. In accordance with 10 CFR 52.103(g), the
at the time this appendix was approved, as Commission shall find that the acceptance
set forth in Section V of this appendix. Any criteria in the ITAAC for the license are met
other party may file a response to the peti- before fuel load.
tion. If, on the basis of the petition and any 3. After the Commission has made the find-
response, the presiding officer determines ing required by 10 CFR 52.103(g), the ITAAC
that a sufficient showing has been made, the do not, by virtue of their inclusion within
presiding officer shall certify the matter di- the DCD, constitute regulatory requirements
rectly to the Commission for determination either for licensees or for renewal of the li-
of the admissibility of the contention. All cense; except for specific ITAAC, which are
other issues with respect to the plant-spe- the subject of a § 52.103(a) hearing, their expi-
cific TS or other operational requirements ration will occur upon final Commission ac-
are subject to a hearing as part of the license tion in such a proceeding. However, subse-
proceeding. quent modifications must comply with the
6. After issuance of a license, the generic Tier 1 and Tier 2 design descriptions in the
TS have no further effect on the plant-spe- plant-specific DCD unless the licensee has
cific TS. Changes to the plant-specific TS complied with the applicable requirements of
will be treated as license amendments under 10 CFR 52.98 and Section VIII of this appen-
10 CFR 50.90. dix.
141
Pt. 52, App. N 10 CFR Ch. I (1–1–11 Edition)
X. RECORDS AND REPORTING quired by 10 CFR 50.59(d)(2) and 50.71(e)(4), re-
spectively, or at shorter intervals as speci-
A. Records
1. The applicant for this appendix shall fied in the license.
cludes all generic changes to Tier 1, Tier 2, APPENDIXES E–M TO PART 52
and the generic TS and other operational re- [RESERVED]
quirements. The applicant shall maintain
the proprietary and safeguards information APPENDIX N TO PART 52—STANDARDIZA-
referenced in the generic DCD for the period TION OF NUCLEAR POWER PLANT DE-
that this appendix may be referenced, as SIGNS: COMBINED LICENSES TO CON-
specified in Section VII of this appendix.
STRUCT AND OPERATE NUCLEAR
2. An applicant or licensee who references
this appendix shall maintain the plant-spe- POWER REACTORS OF IDENTICAL DE-
cific DCD to accurately reflect both generic SIGN AT MULTIPLE SITES
changes to the generic DCD and plant-spe-
cific departures made under Section VIII of The Commission’s regulations in part 2 of
this appendix throughout the period of appli- this chapter specifically provide for the hold-
cation and for the term of the license (in- ing of hearings on particular issues sepa-
cluding any period of renewal). rately from other issues involved in hearings
3. An applicant or licensee who references in licensing proceedings, and for the consoli-
this appendix shall prepare and maintain dation of adjudicatory proceedings and of the
written evaluations which provide the bases presentations of parties in adjudicatory pro-
for the determinations required by Section ceedings such as licensing proceedings
VIII of this appendix. These evaluations (§§ 2.316 and 2.317 of this chapter).
must be retained throughout the period of This appendix sets out the particular re-
application and for the term of the license quirements and provisions applicable to situ-
(including any period of renewal). ations in which applications for combined li-
B. Reporting censes under subpart C of this part are filed
1. An applicant or licensee who references by one or more applicants for licenses to
this appendix shall submit a report to the construct and operate nuclear power reac-
NRC containing a brief description of any tors of identical design (‘‘common design’’) to
plant-specific departures from the DCD, in- be located at multiple sites. 1
cluding a summary of the evaluation of each. 1. Except as otherwise specified in this ap-
This report must be filed in accordance with
pendix or as the context otherwise indicates,
the filing requirements applicable to reports
the provisions of subpart C of this part and
in 10 CFR 52.3.
subpart D of part 2 of this chapter apply to
2. An applicant or licensee who references
this appendix shall submit updates to its combined license applications subject to this
DCD, which reflect the generic changes to appendix.
and plant-specific departures from the ge- 2. Each combined license application sub-
neric DCD made under Section VIII of this mitted pursuant to this appendix must be
appendix. These updates must be filed under submitted as specified in § 52.75 and 10 CFR
the filing requirements applicable to final 2.101. Each application must state that the
safety analysis report updates in 10 CFR 52.3 applicant wishes to have the application con-
and 50.71(e). sidered under 10 CFR part 52, appendix N,
3. The reports and updates required by and must list each of the applications to be
paragraphs X.B.1 and X.B.2 must be sub- treated together under this appendix.
mitted as follows: 3. Each application must include the infor-
a. On the date that an application for a li- mation required by §§ 52.77, 52.79, and 52.80(a),
cense referencing this appendix is submitted, provided however, that the application must
the application must include the report and identify the common design, and, if applica-
any updates to the generic DCD. ble, reference a standard design certification
b. During the interval from the date of ap- under subpart B of this part, or the use of a
plication for a license to the date the Com- reactor manufactured under subpart F of
mission makes its findings required by 10 this part. The final safety analysis report for
CFR 52.103(g), the report must be submitted each application must either incorporate by
semi-annually. Updates to the plant-specific reference or include the final safety analysis
DCD must be submitted annually and may be of the common design, including, if applica-
submitted along with amendments to the ap- ble, the final safety analysis report for the
plication.
c. After the Commission makes the finding
required by 10 CFR 52.103(g), the reports and 1 If the design for the power reactor(s) pro-
updates to the plant-specific DCD must be posed in a particular application is not iden-
submitted, along with updates to the site- tical to the others, that application may not
specific portion of the final safety analysis be processed under this appendix and subpart
report for the facility, at the intervals re- D of part 2 of this chapter.
142
referenced design certification or the manu- common design, provided, however, that the
factured reactor. 2 report need not address the safety of a ref-
4. Each combined license application sub- erenced standard design certification or re-
mitted pursuant to this appendix must con- actor manufactured under subpart F of this
tain an environmental report as required by part.
§ 52.80(b), and which complies with the appli- 8. The Commission shall designate a pre-
cable provisions of 10 CFR part 51, provided, siding officer to conduct the proceeding with
however, that the application may incor- respect to the health and safety, common de-
porate by reference a single environmental fense and security, and environmental mat-
report on the environmental impacts of the ters relating to the common design. The
common design. hearing will be governed by the applicable
5. Upon a determination that each applica- provisions of subparts A, C, G, L, N, and O of
tion is acceptable for docketing under 10 part 2 of this chapter relating to applications
CFR 2.101, each application will be docketed for combined licenses. The presiding officer
and a notice of docketing for each applica- shall issue a partial initial decision on the
tion will be published in the FEDERAL REG- common design.
ISTER, in accordance with 10 CFR 2.104, pro-
vided, however, that the notice must state
that the application will be processed under
PART 53 [RESERVED]
the provisions of 10 CFR part 52, appendix N,
and subpart D of part 2 of this chapter. As PART 54—REQUIREMENTS FOR RE-
the discretion of the Commission, a single NEWAL OF OPERATING LICENSES
notice of docketing for multiple applications
may be published in the FEDERAL REGISTER.
FOR NUCLEAR POWER PLANTS
6. The NRC staff shall prepare draft and
final environmental impact statements for GENERAL PROVISIONS
each of the applications under part 51 of this Sec.
chapter. Scoping under 10 CFR 51.28 and 51.29 54.1 Purpose.
for each of the combined license applications 54.3 Definitions.
may be conducted simultaneously and joint 54.4 Scope.
scoping may be conducted with respect to 54.5 Interpretations.
the environmental issues relevant to the 54.7 Written communications.
common design. 54.9 Information collection requirements:
If the applications reference a standard de- OMB approval.
sign certification, then the environmental 54.11 Public inspection of applications.
impact statement for each of the applica- 54.13 Completeness and accuracy of infor-
tions must incorporate by reference the de- mation.
sign certification environmental assessment. 54.15 Specific exemptions.
If the applications do not reference a stand- 54.17 Filing of application.
ard design certification, then the NRC staff 54.19 Contents of application—general infor-
shall prepare draft and final supplemental mation.
environmental impact statements which ad- 54.21 Contents of application—technical in-
dress severe accident mitigation design al- formation.
ternatives for the common design, which 54.22 Contents of application—technical
must be incorporated by reference into the specifications.
environmental impact statement prepared 54.23 Contents of application—environ-
for each application. Scoping under 10 CFR mental information.
51.28 and 51.29 for the supplemental environ- 54.25 Report of the Advisory Committee on
mental impact statement may be conducted Reactor Safeguards.
simultaneously, and may be part of the 54.27 Hearings.
scoping for each of the combined license ap- 54.29 Standards for issuance of a renewed li-
plications. cense.
7. The ACRS shall report on each of the ap- 54.30 Matters not subject to a renewal re-
plications as required by § 52.87. Each report view.
must be limited to those safety matters for 54.31 Issuance of a renewed license.
each application which are not relevant to 54.33 Continuation of CLB and conditions of
the common design. In addition, the ACRS renewed license.
shall separately report on the safety of the 54.35 Requirements during term of renewed
license.
2 As used in this appendix, the design of a 54.37 Additional records and recordkeeping
requirements.
nuclear power reactor included in a single
54.41 Violations.
referenced safety analysis report means the
54.43 Criminal penalties.
design of those structures, systems, and

components important to radiological health AUTHORITY: Secs. 102, 103, 104, 161, 181, 182,
and safety and the common defense and secu- 183, 186, 189, 68 Stat. 936, 937, 938, 948, 953, 954,
rity. 955, as amended, sec. 234, 83 Stat. 1244, as
143
§ 54.1 10 CFR Ch. I (1–1–11 Edition)
amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, ance with § 54.21(a) for license renewal
2232, 2233, 2236, 2239, 2282); secs 201, 202, 206, 88 have been identified and that the ef-
Stat. 1242, 1244, as amended (42 U.S.C. 5841, fects of aging on the functionality of
5842).
such structures and components will be
Section 54.17 also issued under E.O.12829, 3
CFR, 1993 Comp., p. 570; E.O. 13526, as amend-
managed to maintain the CLB such
ed, 3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 that there is an acceptable level of
CFR, 1995 Comp., p. 391. safety during the period of extended
operation.
SOURCE: 60 FR 22491, May 8, 1995, unless
Nuclear power plant means a nuclear
otherwise noted.
power facility of a type described in 10
GENERAL PROVISIONS CFR 50.21(b) or 50.22.
Renewed combined license means a
§ 54.1 Purpose. combined license originally issued
under part 52 of this chapter for which
This part governs the issuance of re-
an application for renewal is filed in
newed operating licenses and renewed
accordance with 10 CFR 52.107 and
combined licenses for nuclear power
issued under this part.
plants licensed pursuant to Sections
Time-limited aging analyses, for the
103 or 104b of the Atomic Energy Act of
purposes of this part, are those licensee
1954, as amended, and Title II of the
calculations and analyses that:
Energy Reorganization Act of 1974 (88
(1) Involve systems, structures, and
Stat. 1242).
components within the scope of license
[72 FR 49560, Aug. 28, 2007] renewal, as delineated in § 54.4(a);
(2) Consider the effects of aging;
§ 54.3 Definitions. (3) Involve time-limited assumptions
(a) As used in this part, defined by the current operating term,
Current licensing basis (CLB) is the set for example, 40 years;
of NRC requirements applicable to a (4) Were determined to be relevant by
specific plant and a licensee’s written the licensee in making a safety deter-
commitments for ensuring compliance mination;
with and operation within applicable (5) Involve conclusions or provide the
NRC requirements and the plant-spe- basis for conclusions related to the ca-
cific design basis (including all modi- pability of the system, structure, and
fications and additions to such com- component to perform its intended
mitments over the life of the license) functions, as delineated in § 54.4(b); and
that are docketed and in effect. The (6) Are contained or incorporated by
CLB includes the NRC regulations con- reference in the CLB.
tained in 10 CFR parts 2, 19, 20, 21, 26, (b) All other terms in this part have
30, 40, 50, 51, 52, 54, 55, 70, 72, 73, 100 and the same meanings as set out in 10 CFR
appendices thereto; orders; license con- 50.2 or Section 11 of the Atomic Energy
ditions; exemptions; and technical Act, as applicable.
specifications. It also includes the [60 FR 22491, May 8, 1995, as amended at 72
plant-specific design-basis information FR 49560, Aug. 28, 2007]
defined in 10 CFR 50.2 as documented in
the most recent final safety analysis § 54.4 Scope.
report (FSAR) as required by 10 CFR (a) Plant systems, structures, and
50.71 and the licensee’s commitments components within the scope of this
remaining in effect that were made in part are—
docketed licensing correspondence (1) Safety-related systems, struc-
such as licensee responses to NRC bul- tures, and components which are those
letins, generic letters, and enforcement relied upon to remain functional dur-
actions, as well as licensee commit- ing and following design-basis events
ments documented in NRC safety eval- (as defined in 10 CFR 50.49 (b)(1)) to en-
uations or licensee event reports. sure the following functions—
Integrated plant assessment (IPA) is a (i) The integrity of the reactor cool-
licensee assessment that demonstrates ant pressure boundary;
that a nuclear power plant facility’s (ii) The capability to shut down the
structures and components requiring reactor and maintain it in a safe shut-
aging management review in accord- down condition; or
144
(iii) The capability to prevent or may not conduct or sponsor, and a per-
mitigate the consequences of accidents son is not required to respond to, a col-
which could result in potential offsite lection of information unless it dis-
exposures comparable to those referred plays a currently valid OMB control
to in § 50.34(a)(1), § 50.67(b)(2), or § 100.11 number. OMB has approved the infor-
of this chapter, as applicable. mation collection requirements con-
(2) All nonsafety-related systems, tained in this part under control num-
structures, and components whose fail- ber 3150–0155.
ure could prevent satisfactory accom-
(b) The approved information re-
plishment of any of the functions iden-
tified in paragraphs (a)(1) (i), (ii), or quirements contained in this part ap-
(iii) of this section. pear in §§ 54.13, 54.15, 54.17, 54.19, 54.21,
(3) All systems, structures, and com- 54.22, 54.23, 54.33, and 54.37.
ponents relied on in safety analyses or [60 FR 22491, May 8, 1995, as amended at 62
plant evaluations to perform a function FR 52188, Oct. 6, 1997; 67 FR 67100, Nov. 4,
that demonstrates compliance with the 2002]
Commission’s regulations for fire pro-
tection (10 CFR 50.48), environmental § 54.11 Public inspection of applica-
qualification (10 CFR 50.49), pressurized tions.
thermal shock (10 CFR 50.61), antici- Applications and documents sub-
pated transients without scram (10 mitted to the Commission in connec-
CFR 50.62), and station blackout (10
tion with renewal applications may be
CFR 50.63).
(b) The intended functions that these made available for public inspection in
systems, structures, and components accordance with the provisions of the
must be shown to fulfill in § 54.21 are regulations contained in 10 CFR part 2.
those functions that are the bases for
§ 54.13 Completeness and accuracy of
including them within the scope of li-
information.
cense renewal as specified in para-
graphs (a) (1)–(3) of this section. (a) Information provided to the Com-
mission by an applicant for a renewed
[60 FR 22491, May 8, 1995, as amended at 61
FR 65175, Dec. 11, 1996; 64 FR 72002, Dec. 23, license or information required by stat-
1999] ute or by the Commission’s regula-
tions, orders, or license conditions to
§ 54.5 Interpretations. be maintained by the applicant must
Except as specifically authorized by be complete and accurate in all mate-
the Commission in writing, no inter- rial respects.
pretation of the meaning of the regula- (b) Each applicant shall notify the
tions in this part by any officer or em- Commission of information identified
ployee of the Commission other than a by the applicant as having, for the reg-
written interpretation by the General ulated activity, a significant implica-
Counsel will be recognized to be bind- tion for public health and safety or
ing upon the Commission. common defense and security. An ap-
plicant violates this paragraph only if
§ 54.7 Written communications.
the applicant fails to notify the Com-
All applications, correspondence, re- mission of information that the appli-
ports, and other written communica- cant has identified as having a signifi-
tions shall be filed in accordance with cant implication for public health and
applicable portions of 10 CFR 50.4.
safety or common defense and security.
§ 54.9 Information collection require- Notification must be provided to the
ments: OMB approval. Administrator of the appropriate re-
(a) The Nuclear Regulatory Commis- gional office within 2 working days of
sion has submitted the information identifying the information. This re-
collection requirements contained in quirement is not applicable to informa-
this part to the Office of Management tion that is already required to be pro-
and Budget (OMB) for approval as re- vided to the Commission by other re-
quired by the Paperwork Reduction porting or updating requirements.
Act (44 U.S.C. 3501, et seq.). The NRC
145
§ 54.15 10 CFR Ch. I (1–1–11 Edition)
§ 54.15 Specific exemptions. part of the renewed license, whether so

stated therein or not.
Exemptions from the requirements of
this part may be granted by the Com- [60 FR 22491, May 8, 1995, as amended at 62
mission in accordance with 10 CFR FR 17690, Apr. 11, 1997; 72 FR 49560, Aug. 28,
50.12. 2007]
§ 54.17 Filing of application. § 54.19 Contents of application—gen-

eral information.
(a) The filing of an application for a
renewed license must be in accordance (a) Each application must provide the
information specified in 10 CFR 50.33
with subpart A of 10 CFR part 2 and 10
(a) through (e), (h), and (i). Alter-
CFR 50.4 and 50.30.
natively, the application may incor-
(b) Any person who is a citizen, na-
porate by reference other documents
tional, or agent of a foreign country, or that provide the information required
any corporation, or other entity which by this section.
the Commission knows or has reason to
(b) Each application must include
know is owned, controlled, or domi-
conforming changes to the standard in-
nated by an alien, a foreign corpora- demnity agreement, 10 CFR 140.92, Ap-
tion, or a foreign government, is ineli- pendix B, to account for the expiration
gible to apply for and obtain a renewed term of the proposed renewed license.
license.
(c) An application for a renewed li- § 54.21 Contents of application—tech-
cense may not be submitted to the nical information.
Commission earlier than 20 years be-
Each application must contain the
fore the expiration of the operating li- following information:
cense or combined license currently in
(a) An integrated plant assessment
effect.
(IPA). The IPA must—
(d) An applicant may combine an ap-
(1) For those systems, structures, and
plication for a renewed license with ap-
components within the scope of this
plications for other kinds of licenses.
part, as delineated in § 54.4, identify
(e) An application may incorporate and list those structures and compo-
by reference information contained in nents subject to an aging management
previous applications for licenses or li- review. Structures and components
cense amendments, statements, cor- subject to an aging management re-
respondence, or reports filed with the view shall encompass those structures
Commission, provided that the ref- and components—
erences are clear and specific. (i) That perform an intended func-
(f) If the application contains Re- tion, as described in § 54.4, without
stricted Data or other defense informa- moving parts or without a change in
tion, it must be prepared in such a configuration or properties. These
manner that all Restricted Data and structures and components include, but
other defense information are sepa- are not limited to, the reactor vessel,
rated from unclassified information in the reactor coolant system pressure
accordance with 10 CFR 50.33(j). boundary, steam generators, the pres-
(g) As part of its application, and in surizer, piping, pump casings, valve
any event before the receipt of Re- bodies, the core shroud, component
stricted Data or classified National Se- supports, pressure retaining bound-
curity Information or the issuance of a aries, heat exchangers, ventilation
renewed license, the applicant shall ducts, the containment, the contain-
agree in writing that it will not permit ment liner, electrical and mechanical
any individual to have access to or any penetrations, equipment hatches, seis-
facility to possess Restricted Data or mic Category I structures, electrical
classified National Security Informa- cables and connections, cable trays,
tion until the individual and/or facility and electrical cabinets, excluding, but
has been approved for such access not limited to, pumps (except casing),
under the provisions of 10 CFR parts 25 valves (except body), motors, diesel
and/or 95. The agreement of the appli- generators, air compressors, snubbers,
cant in this regard shall be deemed the control rod drive, ventilation
146
dampers, pressure transmitters, pres- by paragraphs (a) and (c) of this sec-
sure indicators, water level indicators, tion, respectively.
switchgears, cooling fans, transistors,
batteries, breakers, relays, switches, § 54.22 Contents of application—tech-
power inverters, circuit boards, battery nical specifications.
chargers, and power supplies; and Each application must include any
(ii) That are not subject to replace- technical specification changes or addi-
ment based on a qualified life or speci- tions necessary to manage the effects
fied time period. of aging during the period of extended
(2) Describe and justify the methods operation as part of the renewal appli-
used in paragraph (a)(1) of this section. cation. The justification for changes or
(3) For each structure and component additions to the technical specifica-
identified in paragraph (a)(1) of this tions must be contained in the license
section, demonstrate that the effects of renewal application.
aging will be adequately managed so
§ 54.23 Contents of application—envi-
that the intended function(s) will be ronmental information.
maintained consistent with the CLB
for the period of extended operation. Each application must include a sup-
(b) CLB changes during NRC review of plement to the environmental report
the application. Each year following that complies with the requirements of
submittal of the license renewal appli- subpart A of 10 CFR part 51.
cation and at least 3 months before
§ 54.25 Report of the Advisory Com-
scheduled completion of the NRC re- mittee on Reactor Safeguards.
view, an amendment to the renewal ap-
plication must be submitted that iden- Each renewal application will be re-
tifies any change to the CLB of the fa- ferred to the Advisory Committee on
cility that materially affects the con- Reactor Safeguards for a review and re-
tents of the license renewal applica- port. Any report will be made part of
tion, including the FSAR supplement. the record of the application and made
(c) An evaluation of time-limited aging available to the public, except to the
analyses. (1) A list of time-limited extent that security classification pre-
aging analyses, as defined in § 54.3, vents disclosure.
must be provided. The applicant shall
§ 54.27 Hearings.
demonstrate that—
(i) The analyses remain valid for the A notice of an opportunity for a hear-
period of extended operation; ing will be published in the FEDERAL
(ii) The analyses have been projected REGISTER in accordance with 10 CFR
to the end of the period of extended op- 2.105. In the absence of a request for a
eration; or hearing filed within 30 days by a person
(iii) The effects of aging on the in- whose interest may be affected, the
tended function(s) will be adequately Commission may issue a renewed oper-
managed for the period of extended op- ating license or renewed combined li-
eration. cense without a hearing upon 30-day
notice and publication in the FEDERAL
(2) A list must be provided of plant-
REGISTER of its intent to do so.
specific exemptions granted pursuant
to 10 CFR 50.12 and in effect that are [72 FR 49560, Aug. 28, 2007]
based on time-limited aging analyses
as defined in § 54.3. The applicant shall § 54.29 Standards for issuance of a re-
provide an evaluation that justifies the newed license.
continuation of these exemptions for A renewed license may be issued by
the period of extended operation. the Commission up to the full term au-
(d) An FSAR supplement. The FSAR thorized by § 54.31 if the Commission
supplement for the facility must con- finds that:
tain a summary description of the pro- (a) Actions have been identified and
grams and activities for managing the have been or will be taken with respect
effects of aging and the evaluation of to the matters identified in paragraphs

time-limited aging analyses for the pe- (a)(1) and (a)(2) of this section, such
riod of extended operation determined that there is reasonable assurance that
147
§ 54.30 10 CFR Ch. I (1–1–11 Edition)
the activities authorized by the re- effect. The term of any renewed license
newed license will continue to be con- may not exceed 40 years.
ducted in accordance with the CLB, (c) A renewed license will become ef-
and that any changes made to the fective immediately upon its issuance,
plant’s CLB in order to comply with thereby superseding the operating li-
this paragraph are in accord with the cense or combined license previously in
Act and the Commission’s regulations. effect. If a renewed license is subse-
These matters are: quently set aside upon further adminis-
(1) managing the effects of aging dur- trative or judicial appeal, the oper-
ing the period of extended operation on ating license or combined license pre-
the functionality of structures and viously in effect will be reinstated un-
components that have been identified less its term has expired and the re-
to require review under § 54.21(a)(1); and newal application was not filed in a
(2) time-limited aging analyses that timely manner.
have been identified to require review (d) A renewed license may be subse-
under § 54.21(c). quently renewed in accordance with all
(b) Any applicable requirements of applicable requirements.
subpart A of 10 CFR part 51 have been [60 FR 22491, May 8, 1995, as amended at 72
satisfied. FR 49560, Aug. 28, 2007]
(c) Any matters raised under § 2.335
have been addressed. § 54.33 Continuation of CLB and condi-
tions of renewed license.
[60 FR 22491, May 8, 1995, as amended at 69 (a) Whether stated therein or not,
FR 2279, Jan. 14, 2004]
each renewed license will contain and
§ 54.30 Matters not subject to a re- otherwise be subject to the conditions
newal review. set forth in 10 CFR 50.54.
(b) Each renewed license will be
(a) If the reviews required by § 54.21 issued in such form and contain such
(a) or (c) show that there is not reason- conditions and limitations, including
able assurance during the current li- technical specifications, as the Com-
cense term that licensed activities will mission deems appropriate and nec-
be conducted in accordance with the essary to help ensure that systems,
CLB, then the licensee shall take meas- structures, and components subject to
ures under its current license, as ap- review in accordance with § 54.21 will
propriate, to ensure that the intended continue to perform their intended
function of those systems, structures functions for the period of extended op-
or components will be maintained in eration. In addition, the renewed li-
accordance with the CLB throughout cense will be issued in such form and
the term of its current license. contain such conditions and limita-
(b) The licensee’s compliance with tions as the Commission deems appro-
the obligation under Paragraph (a) of priate and necessary to help ensure
this section to take measures under its that systems, structures, and compo-
current license is not within the scope nents associated with any time-limited
of the license renewal review. aging analyses will continue to per-
form their intended functions for the
§ 54.31 Issuance of a renewed license. period of extended operation.
(a) A renewed license will be of the (c) Each renewed license will include
class for which the operating license or those conditions to protect the envi-
combined license currently in effect ronment that were imposed pursuant
was issued. to 10 CFR 50.36b and that are part of
(b) A renewed license will be issued the CLB for the facility at the time of
for a fixed period of time, which is the issuance of the renewed license. These
sum of the additional amount of time conditions may be supplemented or
beyond the expiration of the operating amended as necessary to protect the
license or combined license (not to ex- environment during the term of the re-
ceed 20 years) that is requested in a renewed license and will be derived from
newal application plus the remaining information contained in the supple-

number of years on the operating li- ment to the environmental report sub-
cense or combined license currently in mitted pursuant to 10 CFR part 51, as
148
analyzed and evaluated in the NRC § 54.41 Violations.

record of decision. The conditions will
(a) The Commission may obtain an
identify the obligations of the licensee
injunction or other court order to pre-
in the environmental area, including,
vent a violation of the provisions of the
as appropriate, requirements for re-
following acts—
porting and recordkeeping of environ-
(1) The Atomic Energy Act of 1954, as
mental data and any conditions and
amended.
monitoring requirements for the pro-
tection of the nonaquatic environment. (2) Title II of the Energy Reorganiza-
(d) The licensing basis for the re- tion Act of 1974, as amended or
newed license includes the CLB, as de- (3) A regulation or order issued pur-
fined in § 54.3(a); the inclusion in the li- suant to those acts.
censing basis of matters such as li- (b) The Commission may obtain a
censee commitments does not change court order for the payment of a civil
the legal status of those matters unless penalty imposed under Section 234 of
specifically so ordered pursuant to the Atomic Energy Act—
paragraphs (b) or (c) of this section. (1) For violations of the following—
(i) Sections 53, 57, 62, 63, 81, 82, 101,
§ 54.35 Requirements during term of 103, 104, 107, or 109 of the Atomic En-
renewed license. ergy Act of 1954, as amended;
During the term of a renewed license, (ii) Section 206 of the Energy Reorga-
licensees shall be subject to and shall nization Act;
continue to comply with all Commis- (iii) Any rule, regulation, or order
sion regulations contained in 10 CFR issued pursuant to the sections speci-
parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 52, 54, fied in paragraph (b)(1)(i) of this sec-
55, 70, 72, 73, and 100, and the appen- tion;
dices to these parts that are applicable (iv) Any term, condition, or limita-
to holders of operating licenses or com- tion of any license issued under the
bined licenses, respectively. sections specified in paragraph (b)(1)(i)
of this section.
[72 FR 49560, Aug. 28, 2007]
(2) For any violation for which a li-
§ 54.37 Additional records and record- cense may be revoked under Section
keeping requirements. 186 of the Atomic Energy Act of 1954, as
amended.
(a) The licensee shall retain in an
auditable and retrievable form for the § 54.43 Criminal penalties.
term of the renewed operating license
or renewed combined license all infor- (a) Section 223 of the Atomic Energy
mation and documentation required Act of 1954, as amended, provides for
by, or otherwise necessary to document criminal sanctions for willful viola-
compliance with, the provisions of this tions of, attempted violation of, or con-
part. spiracy to violate, any regulation
(b) After the renewed license is issued under sections 161b, 161i, or 161o
issued, the FSAR update required by 10 of the Act. For purposes of section 223,
CFR 50.71(e) must include any systems, all the regulations in part 54 are issued
structures, and components newly under one or more of sections 161b, 161i,
identified that would have been subject or 161o, except for the sections listed in
to an aging management review or paragraph (b) of this section.
evaluation of time-limited aging anal- (b) The regulations in part 54 that
yses in accordance with § 54.21. This are not issued under Sections 161b, 161i,
FSAR update must describe how the ef- or 161o for the purposes of Section 223
fects of aging will be managed such are as follows: §§ 54.1, 54.3, 54.4, 54.5,
that the intended function(s) in § 54.4(b) 54.7, 54.9, 54.11, 54.15, 54.17, 54.19, 54.21,
will be effectively maintained during 54.22, 54.23, 54.25, 54.27, 54.29, 54.31, 54.41,
the period of extended operation. and 54.43.

FR 49560, Aug. 28, 2007]
149
PART 55—OPERATORS’ LICENSES 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.
Subpart A—General Provisions 201, as amended, 202, 88 Stat. 1242, as amend-
Sec. ed, 1244 (42 U.S.C. 5841, 5842); sec. 1704, 112
55.1 Purpose. Stat. 2750 (44 U.S.C. 3504 note).
55.2 Scope. Sections 55.41, 55.43, 55.45, and 55.59 also
issued under sec. 306, Pub. L. 97–425, 96 Stat.
55.3 License requirements.
2262 (42 U.S.C. 10226).
55.4 Definitions.
Section 55.61 also issued under secs. 186,
55.5 Communications.
187, 68 Stat. 955 (42 U.S.C. 2236, 2237).
55.6 Interpretations.
55.7 Additional requirements. SOURCE: 52 FR 9460, Mar. 25, 1987, unless
55.8 Information collection requirements: otherwise noted.
OMB approval.
55.9 Completeness and accuracy of informa-
tion.
Subpart A—General Provisions
§ 55.1 Purpose.
Subpart B—Exemptions
The regulations in this part:
55.11 Specific exemptions. (a) Establish procedures and criteria
55.13 General exemptions. for the issuance of licenses to operators
and senior operators of utilization fa-
Subpart C—Medical Requirements
cilities licensed under the Atomic En-
55.21 Medical examination. ergy Act of 1954, as amended, or Sec-
55.23 Certification. tion 202 of the Energy Reorganization
55.25 Incapacitation because of disability or Act of 1974, as amended, and part 50,
illness. part 52, or part 54 of this chapter,
55.27 Documentation. (b) Provide for the terms and condi-
Subpart D—Applications tions upon which the Commission will
issue or modify these licenses, and
55.31 How to apply. (c) Provide for the terms and condi-
55.33 Disposition of an initial application. tions to maintain and renew these li-
55.35 Re-applications. censes.
Subpart E—Written Examinations and [52 FR 9460, Mar. 25, 1987, as amended at 72
Operating Tests FR 49560, Aug. 28, 2007]
55.40 Implementation. § 55.2 Scope.

55.41 Written examination: Operators. The regulations in this part apply
55.43 Written examination: Senior opera-
tors.
to—
55.45 Operating tests. (a) Any individual who manipulates
55.46 Simulation facilities. the controls of any utilization facility
55.47 Waiver of examination and test re- licensed under parts 50, 52, or 54 of this
quirements. chapter,
55.49 Integrity of examinations and tests. (b) Any individual designated by a fa-
cility licensee to be responsible for di-
Subpart F—Licenses recting any licensed activity of a li-
55.51 Issuance of licenses. censed operator.
55.53 Conditions of licenses. (c) Any facility license.
55.55 Expiration. [52 FR 9460, Mar. 25, 1987, as amended at 59
55.57 Renewal of licenses. FR 5938, Feb. 9, 1994; 72 FR 49560, Aug. 28,
55.59 Requalification. 2007]
Subpart G—Modification and Revocation § 55.3 License requirements.
of Licenses
A person must be authorized by a li-
55.61 Modification and revocation of license issued by the Commission to per-
censes. form the function of an operator or a
senior operator as defined in this part.
Subpart H—Enforcement
55.71 Violations.
§ 55.4 Definitions.
55.73 Criminal penalties. As used in this part:
150
Act means the Atomic Energy Act of the licensed activities of licensed oper-
1954, including any amendments to the ators.
Act. Simulation facility means one or more
Actively performing the functions of an of the following components, alone or
operator or senior operator means that in combination: used for either the par-
an individual has a position on the tial conduct of operating tests for oper-
shift crew that requires the individual ators, senior operators, and license ap-
to be licensed as defined in the facili- plicants, or to establish on-the-job
ty’s technical specifications, and that training and experience prerequisites
the individual carries out and is re- for operator license eligibility:
sponsible for the duties covered by that (1) A plant-referenced simulator;
position. (2) A Commission-approved simulator
Commission means the Nuclear Regu- under § 55.46(b); or
latory Commission or its duly author- (3) Another simulation device, in-
ized representatives. cluding part-task and limited scope
Controls when used with respect to a simulation devices, approved under
nuclear reactor means apparatus and § 55.46(b).
mechanisms the manipulation of which Systems approach to training means a
directly affects the reactivity or power training program that includes the fol-
level of the reactor. lowing five elements:
Facility means any utilization facil- (1) Systematic analysis of the jobs to
ity as defined in part 50 of this chapter. be performed.
In cases for which a license is issued (2) Learning objectives derived from
for operation of two or more facilities, the analysis which describe desired per-
facility means all facilities identified in formance after training.
the license. (3) Training design and implementa-
Facility licensee means an applicant tion based on the learning objectives.
for or holder of a license for a facility. (4) Evaluation of trainee mastery of
Licensee means an individual licensed the objectives during training.
operator or senior operator. (5) Evaluation and revision of the
Operator means any individual li- training based on the performance of
censed under this part to manipulate a trained personnel in the job setting.
control of a facility. United States, when used in a geo-
Performance testing means testing graphical sense, includes Puerto Rico
conducted to verify a simulation facili- and all territories and possessions of
ty’s performance as compared to actual the United States.
or predicted reference plant perform-
ance. [52 FR 9460, Mar. 25, 1987, as amended at 66
Physician means an individual li- FR 52667, Oct. 17, 2001]
censed by a State or territory of the
United States, the District of Columbia § 55.5 Communications.
or the Commonwealth of Puerto Rico (a) Except as provided under a re-
to dispense drugs in the practice of gional licensing program identified in
medicine. paragraph (b) of this section, an appli-
Plant-referenced simulator means a cant or licensee or facility licensee
simulator modeling the systems of the shall submit any communication or re-
reference plant with which the oper- port concerning the regulations in this
ator interfaces in the control room, in- part and shall submit any application
cluding operating consoles, and which filed under these regulations to the
permits use of the reference plant’s Commission as follows:
procedures. (1) By mail addressed to—Director,
Reference plant means the specific nu- Office of Nuclear Reactor Regulation
clear power plant from which a simula- or Director, Office of New Reactors, as
tion facility’s control room configura- appropriate, U.S. Nuclear Regulatory
tion, system control arrangement, and Commission, Washington, DC 20555–
design data are derived. 0001; or
Senior operator means any individual (2) By delivery in person to the NRC’s
licensed under this part to manipulate offices at 11555 Rockville Pike, Rock-
the controls of a facility and to direct ville, Maryland, or
151
§ 55.5 10 CFR Ch. I (1–1–11 Edition)
(3) Where practicable, by electronic where e-mail is appropriate it should

submission, for example, via Electronic be addressed to
Information Exchange, or CD-ROM. RidsRgn1MailCenter@nrc.gov.
Electronic submissions must be made (ii) If the nuclear power reactor is lo-
in a manner that enables the NRC to cated in Region II, submissions must
receive, read, authenticate, distribute, be made to the Regional Administrator
and archive the submission, and proc- of Region II. Submissions by mail or
ess and retrieve it a single page at a hand delivery must be addressed to the
time. Detailed guidance on making Regional Administrator at U.S. Nu-
electronic submissions can be obtained clear Regulatory Commission, 245
by visiting the NRC’s Web site at http://
Peachtree Center Avenue, NE., Suite
www.nrc.gov/site-help/e-submittals.html;
1200, Atlanta, Georgia 30303–1257. Where
by e-mail to MSHD.Resource@nrc.gov;
or by writing the Office of Information e-mail is appropriate, it should be ad-
Services, U.S. Nuclear Regulatory dressed to RidsRgn2MailCenter@nrc.gov.
Commission, Washington, DC 20555– (iii) If the nuclear power reactor is
0001. The guidance discusses, among located in Region III, submissions must
other topics, the formats the NRC can be made to the Regional Administrator
accept, the use of electronic signa- of Region III. Submissions by mail or
tures, and the treatment of nonpublic hand delivery must be addressed to the
information. Administrator at U.S. Nuclear Regu-
(b)(1) Except for test and research re- latory Commission, 2443 Warrenville
actor facilities, the Director, Office of Road, Suite 210, Lisle, IL 60532–4352;
Nuclear Reactor Regulation or Direc- where e-mail is appropriate it should
tor, Office of New Reactors, as appro- be addressed to
priate, has delegated to the Regional RidsRgn3MailCenter@nrc.gov.
Administrators of Regions I, II, III, and (iv) If the nuclear power reactor is lo-
IV authority and responsibility under cated in Region IV, submissions must
the regulations in this part for the be made to the Regional Administrator
issuance and renewal of licenses for op- of Region IV. Submission by mail or
erators and senior operators of nuclear hand delivery must be addressed to the
power reactors licensed under 10 CFR
Administrator at U.S. Nuclear Regu-
part 50 or part 52 of this chapter and lo-
latory Commission, 612 E. Lamar Blvd.,
cated in these regions.
Suite 400, Arlington, Texas 76011–4125;
(2) Any application for a license or li-
cense renewal filed under the regula- where e-mail is appropriate, it should
tions in this part involving a nuclear be addressed to
power reactor licensed under 10 CFR RidsRgn4MailCenter@nrc.gov.
part 50 or part 52 of this chapter and (3)(i) Any application for a license or
any related inquiry, communication, license renewal filed under the regula-
information, or report must be sub- tions in this part involving a test and
mitted to the Regional Administrator research reactor facility licensed under
by an appropriate method listed in 10 CFR part 50 and any related inquiry,
paragraph (a) of this section. The Re- communication, information, or report
gional Administrator or the Adminis- must be submitted to the Office of Nu-
trator’s designee will transmit to the clear Reactor Regulation, Division of
Director, Office of New Reactors or Di- Regulatory Improvement Programs at
rector, Office of Nuclear Reactor Regu- the NRC’s headquarters, by an appro-
lation, as appropriate, any matter that priate method listed in paragraph (a) of
is not within the scope of the Regional this section.
Administrator’s delegated authority. (ii) For all test and research reactor
(i) If the nuclear power reactor is lo- facilities located in the NRC’s Regions,
cated in Region I, submissions must be submissions must be made to the Office
made to the Regional Administrator of
of Nuclear Reactor Regulation, Direc-
Region I. Submissions by mail or hand
tor of the Division of Regulatory Im-
delivery must be addressed to the Ad-
ministrator at U.S. Nuclear Regulatory provement Programs at the NRC’s

Commission, 475 Allendale Road, King
of Prussia, Pennsylvania 19406–1415;
152
headquarters, by an appropriate meth- requirements and the control numbers

od listed in paragraph (a) of this sec- under which they are approved are as
tion. follows:
(1) In §§ 55.23, 55.25, 55.27, 55.31, NRC
FR 6139, Mar. 1, 1988; 53 FR 43421, Oct. 27, Form 396 is approved under control
1988; 55 FR 41335, Oct. 11, 1990; 59 FR 17466, number 3150–0024.
Apr. 13, 1994; 61 FR 9902, Mar. 12, 1996; 67 FR (2) In §§ 55.31, 55.35, 55.47, and 55.57,
77653, Dec. 19, 2002; 68 FR 58812, Oct. 10, 2003; NRC Form 398 is approved under con-
71 FR 15011, Mar. 27, 2006; 72 FR 49560, Aug. trol number 3150–0090.
28, 2007; 73 FR 5724, Jan. 31, 2008; 73 FR 30458,
May 28, 2008; 74 FR 62682, Dec. 1, 2009; 75 FR [62 FR 52188, Oct. 6, 1997, as amended at 64 FR
21980, Apr. 27, 2010] 19878, Apr. 23, 1999; 66 FR 52667, Oct. 17, 2001;
67 FR 67100, Nov. 4, 2002]
§ 55.6 Interpretations.
Except as specifically authorized by information.
the Commission in writing, no inter- Information provided to the Commis-
pretation of the meaning of the regula- sion by an applicant for a license or by
tions in this part by any officer or em- a licensee or information required by
ployee of the Commission other than a statute or by the Commission’s regula-
written interpretation by the General tions, orders, or license conditions to
Counsel will be recognized to be bind- be maintained by the applicant or the
ing upon the Commission. licensee shall be complete and accurate
§ 55.7 Additional requirements. in all material respects.
The Commission may, by rule, regu- [52 FR 49372, Dec. 31, 1987]
lation, or order, impose upon any li-
censee such requirements, in addition Subpart B—Exemptions
to those established in the regulations
in this part, as it deems appropriate or § 55.11 Specific exemptions.
necessary to protect health and to min- The Commission may, upon applica-
imize danger to life or property. tion by an interested person, or upon
its own initiative, grant such exemp-
§ 55.8 Information collection require- tions from the requirements of the reg-
ments: OMB approval. ulations in this part as it determines
(a) The Nuclear Regulatory Commis- are authorized by law and will not en-
sion has submitted the information danger life or property and are other-
collection requirements contained in wise in the public interest.
this part to the Office of Management
and Budget (OMB) for approval as re- § 55.13 General exemptions.
quired by the Paperwork Reduction The regulations in this part do not
Act (44 U.S.C. 3501 et seq.). The NRC require a license for an individual
may not conduct or sponsor, and a per- who—
son is not required to respond to, a col- (a) Under the direction and in the
lection of information unless it dis- presence of a licensed operator or sen-
plays a currently valid OMB control ior operator, manipulates the controls
number. OMB has approved the infor- of—
mation collection requirements con- (1) A research or training reactor as
tained in this part under control num- part of the individual’s training as a
ber 3150–0018. student, or
(b) The approved information collec- (2) A facility as a part of the individ-
tion requirements contained in this ual’s training in a facility licensee’s
part appear in §§ 55.11, 55.25, 55.27, 55.31, training program as approved by the
55.35, 55.40, 55.41, 55.43, 55.45, 55.47, 55.53, Commission to qualify for an operator
55.57, and 55.59. license under this part.
(c) This part contains information (b) Under the direction and in the
collection requirements in addition to presence of a licensed senior operator,
those approved under the control num- manipulates the controls of a facility
ber specified in paragraph (a) of this to load or unload the fuel into, out of,
section. These information collection or within the reactor vessel.
153
§ 55.21 10 CFR Ch. I (1–1–11 Edition)
Subpart C—Medical Requirements § 55.27 Documentation.

The facility licensee shall document
§ 55.21 Medical examination. and maintain the results of medical
An applicant for a license shall have qualifications data, test results, and
a medical examination by a physician. each operator’s or senior operator’s
A licensee shall have a medical exam- medical history for the current license
ination by a physician every two years. period and provide the documentation
The physician shall determine that the to the Commission upon request. The
applicant or licensee meets the re- facility licensee shall retain this docu-
quirements of § 55.33(a)(1). mentation while an individual per-
forms the functions of an operator or
§ 55.23 Certification. senior operator.
To certify the medical fitness of the
applicant, an authorized representative Subpart D—Applications
of the facility licensee shall complete
and sign NRC Form 396, ‘‘Certification § 55.31 How to apply.
of Medical Examination by Facility Li- (a) The applicant shall:
censee,’’ which can be obtained by writ- (1) Complete NRC Form 398, ‘‘Per-
ing the Office of Information Services, sonal Qualification Statement—Li-
U.S. Nuclear Regulatory Commission, censee,’’ which can be obtained by writ-
Washington, DC 20555–0001, by calling ing the Office of Information Services,
(301) 415–7232, or by visiting the NRC’s U.S. Nuclear Regulatory Commission,
Web site at http://www.nrc.gov and se- Washington, DC 20555–0001, by calling
lecting forms from the index found on (301) 415–7232, or by visiting the NRC’s
the home page. Web site at http://www.nrc.gov and se-
(a) Form NRC–396 must certify that a lecting forms from the index found on
physician has conducted the medical the home page;
examination of the applicant as re- (2) File an original of NRC Form 398,
quired in § 55.21. together with the information required
(b) When the certification requests a in paragraphs (a)(3), (4), (5) and (6) of
conditional license based on medical this section, with the appropriate Re-
evidence, the medical evidence must be gional Administrator;
submitted on NRC Form 396 to the (3) Submit a written request from an
Commission and the Commission then authorized representative of the facil-
makes a determination in accordance ity licensee by which the applicant will
with § 55.33. be employed that the written examina-
tion and operating test be administered
FR 43421, Oct. 27, 1988; 68 FR 58813, Oct. 10,
to the applicant;
2003; 73 FR 30458, May 28, 2008] (4) Provide evidence that the appli-
cant has successfully completed the fa-
§ 55.25 Incapacitation because of dis- cility licensee’s requirements to be li-
ability or illness. censed as an operator or senior oper-
ator and of the facility licensee’s need
If, during the term of the license, the
for an operator or a senior operator to
licensee develops a permanent physical
perform assigned duties. An authorized
or mental condition that causes the li-
representative of the facility licensee
censee to fail to meet the requirements
shall certify this evidence on Form
of § 55.21 of this part, the facility li-
NRC–398. This certification must in-
censee shall notify the Commission,
clude details of the applicant’s quali-
within 30 days of learning of the diag-
fications, and details on courses of in-
nosis, in accordance with § 50.74(c). For
struction administered by the facility
conditions for which a conditional li-
licensee, and describe the nature of the
cense (as described in § 55.33(b) of this
training received at the facility, and
part) is requested, the facility licensee
the startup and shutdown experience
shall provide medical certification on
received. In lieu of these details, the
Form NRC 396 to the Commission (as

Commission may accept certification
described in § 55.23 of this part).
that the applicant has successfully
[60 FR 13617, Mar. 14, 1995] completed a Commission-approved
154
training program that is based on a § 55.33 Disposition of an initial appli-

systems approach to training and that cation.
uses a simulation facility acceptable to (a) Requirements for the approval of an
the Commission under § 55.45(b) of this initial application. The Commission will
part; approve an initial application for a li-
(5) Provide evidence that the appli- cense pursuant to the regulations in
cant, as a trainee, has successfully ma- this part, if it finds that—
nipulated the controls of either the fa- (1) Health. The applicants medical
cility for which a license is sought or a condition and general health will not
plant-referenced simulator that meets adversely affect the performance of as-
the requirements of § 55.46(c). At a min- signed operator job duties or cause
imum, five significant control manipu- operational errors endangering public
lations must be performed that affect health and safety. The Commission will
reactivity or power level. Control ma- base its finding upon the certification
nipulations performed on the plant-ref- by the facility licensee as detailed in
erenced simulator may be chosen from § 55.23.
a representative sampling of the con- (2) Written examination and operating
trol manipulations and plant evo- test. The applicant has passed the req-
lutions described in § 55.59(c)(3)(i)(A–F), uisite written examination and oper-
(R), (T), (W), and (X) of this part, as ap- ating test in accordance with §§ 55.41
plicable to the design of the plant for and 55.45 or 55.43 and 55.45. These ex-
which the license application is sub- aminations and tests determine wheth-
mitted. For licensed operators applying er the applicant for an operator’s li-
for a senior operator license, certifi- cense has learned to operate a facility
cation that the operator has success- competently and safely, and addition-
fully operated the controls of the facil- ally, in the case of a senior operator,
ity as a licensed operator shall be ac- whether the applicant has learned to
cepted; and direct the licensed activities of li-
(6) Provide certification by the facil- censed operators competently and safe-
ity licensee of medical condition and ly.
general health on Form NRC–396, to (b) Conditional license. If an appli-
comply with §§ 55.21, 55.23 and cant’s general medical condition does
55.33(a)(1). not meet the minimum standards
(b) The Commission may at any time under § 55.33(a)(1) of this part, the Com-
after the application has been filed, mission may approve the application
and before the license has expired, re- and include conditions in the license to
quire futher information under oath or accommodate the medical defect. The
affirmation in order to enable it to de- Commission will consider the rec-
termine whether to grant or deny the ommendations and supporting evidence
application or whether to revoke, mod- of the facility licensee and of the ex-
ify, or suspend the license. amining physician (provided on Form
(c) An applicant whose application NRC–396) in arriving at its decision.
has been denied because of a medical
condition or general health may sub- § 55.35 Re-applications.
mit a further medical report at any (a) An applicant whose application
time as a supplement to the applica- for a license has been denied because of
tion. failure to pass the written examination
(d) Each application and statement or operating test, or both, may file a
must contain complete and accurate new application two months after the
disclosure as to all matters required to date of denial. The application must be
be disclosed. The applicant shall sign submitted on Form NRC–398 and in-
statements required by paragraphs (a) clude a statement signed by an author-
(1) and (2) of this section. ized representative of the facility li-
censee by whom the applicant will be

FR 43421, Oct. 27, 1988; 66 FR 52667, Oct. 17, employed that states in detail the ex-
2001; 68 FR 58813, Oct. 10, 2003; 73 FR 30458, tent of the applicant’s additional train-
May 28, 2008] ing since the denial and certifies that
155
§ 55.40 10 CFR Ch. I (1–1–11 Edition)
the applicant is ready for re-examina- criteria in NUREG–1021 as described in

tion. An applicant may file a third ap- paragraph (a) of this section;
plication six months after the date of (2) Pursuant to § 55.49, power reactor
denial of the second application, and facility licensees shall establish, imple-
may file further successive applica- ment, and maintain procedures to con-
tions two years after the date of denial trol examination security and integ-
of each prior application. The appli- rity;
cant shall submit each successive ap- (3) An authorized representative of
plication on Form NRC–398 and include the power reactor facility licensee
a statement of additional training. shall approve the required examina-
(b) An applicant who has passed ei- tions and tests before they are sub-
ther the written examination or oper- mitted to the Commission for review
ating test and failed the other may re- and approval; and
quest in a new application on Form (4) Power reactor facility licensees
NRC–398 to be excused from re-exam- must receive Commission approval of
ination on the portions of the examina- their proposed written examinations
tion or test which the applicant has and operating tests.
passed. The Commission may in its dis- (c) In lieu of paragraph (b) of this sec-
cretion grant the request, if it deter- tion and upon written request from a
mines that sufficient justification is power reactor facility licensee pursu-
presented. ant to § 55.31(a)(3), the Commission
shall, for that facility licensee, pre-
pare, proctor, and grade, the written
Subpart E—Written Examinations examinations required by §§ 55.41 and
and Operating Tests 55.43 and the operating tests required
by § 55.45. In addition, the Commission
§ 55.40 Implementation.
may exercise its discretion and reject a
(a) The Commission shall use the cri- power reactor facility licensee’s deter-
teria in NUREG–1021, ‘‘Operator Licens- mination to elect paragraph (b) of this
ing Examination Standards for Power section, in which case the Commission
Reactors,’’ 1 in effect six months before shall prepare, proctor, and grade the
the examination date to prepare the required written examinations and op-
written examinations required by erating tests for that facility licensee.
§§ 55.41 and 55.43 and the operating tests (d) The Commission shall prepare,
required by § 55.45. The Commission proctor, and grade the written exami-
shall also use the criteria in NUREG– nations required by §§ 55.41 and 55.43
1021 to evaluate the written examina- and the operating tests required by
tions and operating tests prepared by § 55.45 for non-power reactor facility li-
power reactor facility licensees pursu- censees.
ant to paragraph (b) of this section.
[64 FR 19878, Apr. 23, 1999, as amended at 69
(b) Power reactor facility licensees FR 76600, Dec. 22, 2004]
may prepare, proctor, and grade the
written examinations required by § 55.41 Written examination: Opera-
§§ 55.41 and 55.43 and may prepare the tors.
operating tests required by § 55.45, sub- (a) Content. The written examination
ject to the following conditions: for an operator will contain a rep-
(1) Power reactor facility licensees resentative selection of questions on
shall prepare the required examina- the knowledge, skills, and abilities
tions and tests in accordance with the needed to perform licensed operator
duties. The knowledge, skills, and
1 Copies of NUREGs may be purchased from abilities will be identified, in part,
the Superintendent of Documents, U.S. Gov- from learning objectives derived from a
ernment Printing Office, P.O. Box 38082, systematic analysis of licensed oper-
Washington, DC 20402–9328. Copies are also ator duties performed by each facility
available from the National Technical Infor-
mation Service, 5285 Port Royal Road,
licensee and contained in its training
program and from information in the
Springfield, VA 22161. A copy is available for

inspection and/or copying in the NRC Public Final Safety Analysis Report, system
Document Room, One White Flint North, description manuals and operating pro-
11555 Rockville Pike (0–1F23), Rockville, MD. cedures, facility license and license
156
amendments, Licensee Event Reports, § 55.43 Written examination: Senior

and other materials requested from the operators.
facility licensee by the Commission. (a) Content. The written examination
(b) The written examination for an for a senior operator will contain a rep-
operator for a facility will include a resentative selection of questions on
representative sample from among the the knowledge, skills, and abilities
following 14 items, to the extent appli- needed to perform licensed senior oper-
cable to the facility. ator duties. The knowledge, skills, and
(1) Fundamentals of reactor theory, abilities will be identified, in part,
including fission process, neutron mul- from learning objectives derived from a
tiplication, source effects, control rod systematic analysis of licensed senior
effects, criticality indications, reac- operator duties performed by each fa-
tivity coefficients, and poison effects. cility licensee and contained in its
training program and from information
(2) General design features of the
in the Final Safety Analysis Report,
core, including core structure, fuel ele- system description manuals and oper-
ments, control rods, core instrumenta- ating procedures, facility license and
tion, and coolant flow. license amendments, Licensee Event
(3) Mechanical components and de- Reports, and other materials requested
sign features of the reactor primary from the facility licensee by the Com-
system. mission.
(4) Secondary coolant and auxiliary (b) The written examination for a
systems that affect the facility. senior operator for a facility will in-
(5) Facility operating characteristics clude a representative sample from
during steady state and transient con- among the following seven items and
ditions, including coolant chemistry, the 14 items specified in § 55.41 of this
causes and effects of temperature, pres- part, to the extent applicable to the fa-
sure and reactivity changes, effects of cility:
load changes, and operating limita- (1) Conditions and limitations in the
tions and reasons for these operating facility license.
(2) Facility operating limitations in
characteristics.
the technical specifications and their
(6) Design, components, and func- bases.
tions of reactivity control mechanisms (3) Facility licensee procedures re-
and instrumentation. quired to obtain authority for design
(7) Design, components, and func- and operating changes in the facility.
tions of control and safety systems, in- (4) Radiation hazards that may arise
cluding instrumentation, signals, during normal and abnormal situa-
interlocks, failure modes, and auto- tions, including maintenance activities
matic and manual features. and various contamination conditions.
(8) Components, capacity, and func- (5) Assessment of facility conditions
tions of emergency systems. and selection of appropriate procedures
(9) Shielding, isolation, and contain- during normal, abnormal, and emer-
ment design features, including access gency situations.
limitations. (6) Procedures and limitations in-
(10) Administrative, normal, abnor- volved in initial core loading, alter-
ations in core configuration, control
mal, and emergency operating proce-
rod programming, and determination
dures for the facility.
of various internal and external effects
(11) Purpose and operation of radi- on core reactivity.
ation monitoring systems, including (7) Fuel handling facilities and proce-
alarms and survey equipment. dures.
(12) Radiological safety principles
and procedures. § 55.45 Operating tests.
(13) Procedures and equipment avail- (a) Content. The operating tests ad-
able for handling and disposal of radio- ministered to applicants for operator
active materials and effluents. and senior operator licenses in accord-

(14) Principles of heat transfer ther- ance with paragraph (b)(1) of this sec-
modynamics and fluid mechanics. tion are generally similar in scope. The
157
§ 55.46 10 CFR Ch. I (1–1–11 Edition)
content will be identified, in part, from survey instruments, and personnel

learning objectives derived from a sys- monitoring equipment.
tematic analysis of licensed operator (10) Demonstrate knowledge of sig-
or senior operator duties performed by nificant radiation hazards, including
each facility licensee and contained in permissible levels in excess of those au-
its training program and from informa- thorized, and ability to perform other
tion in the Final Safety Analysis Re- procedures to reduce excessive levels of
port, system description manuals and radiation and to guard against per-
operating procedures, facility license sonnel exposure.
and license amendments, Licensee (11) Demonstrate knowledge of the
Event Reports, and other materials re- emergency plan for the facility, includ-
quested from the facility licensee by ing, as appropriate, the operator’s or
the Commission. The operating test, to senior operator’s responsibility to de-
the extent applicable, requires the ap- cide whether the plan should be exe-
plicant to demonstrate an under- cuted and the duties under the plan as-
standing of and the ability to perform signed.
the actions necessary to accomplish a (12) Demonstrate the knowledge and
representative sample from among the ability as appropriate to the assigned
following 13 items. position to assume the responsibilities
(1) Perform pre-startup procedures associated with the safe operation of
for the facility, including operating of the facility.
those controls associated with plant (13) Demonstrate the applicant’s abil-
equipment that could affect reactivity. ity to function within the control room
(2) Manipulate the console controls team as appropriate to the assigned po-
as required to operate the facility be- sition, in such a way that the facility
tween shutdown and designated power licensee’s procedures are adhered to
levels. and that the limitations in its license
(3) Identify annunciators and condi- and amendments are not violated.
tion-indicating signals and perform ap- (b) Implementation—Administration.
propriate remedial actions where ap- The operating test will be administered
propriate. in a plant walkthrough and in either—
(4) Identify the instrumentation sys- (1) A simulation facility that the
tems and the significance of facility in- Commission has approved for use after
strument readings. application has been made by the facil-
(5) Observe and safely control the op- ity licensee under § 55.46(b);
erating behavior characteristics of the (2) A plant-referenced simulator
facility. (§ 55.46(c)); or
(6) Perform control manipulations re- (3) The plant, if approved for use in
quired to obtain desired operating re- the administration of the operating
sults during normal, abnormal, and
test by the Commission under § 55.46(b).
emergency situations.
(7) Safely operate the facility’s heat [52 FR 9460, Mar. 25, 1987, as amended at 53
removal systems, including primary FR 43421, Oct. 27, 1988; 62 FR 59276, Nov. 3,
coolant, emergency coolant, and decay 1997; 66 FR 52667, Oct. 17, 2001]
heat removal systems, and identify the
§ 55.46 Simulation facilities.
relations of the proper operation of
these systems to the operation of the (a) General. This section addresses
facility. the use of a simulation facility for the
(8) Safely operate the facility’s auxil- administration of the operating test
iary and emergency systems, including and plant-referenced simulators to
operation of those controls associated meet experience requirements for ap-
with plant equipment that could affect plicants for operator and senior oper-
reactivity or the release of radioactive ator licenses.
materials to the environment. (b) Commission-approved simulation fa-
(9) Demonstrate or describe the use cilities and Commission approval of use of
and function of the facility’s radiation the plant in the administration of the op-
monitoring systems, including fixed ra- erating test. (1) Facility licensees that
diation monitors and alarms, portable propose to use a simulation facility,
158
other than a plant-referenced simu- (ii) Simulator fidelity has been dem-
lator, or the plant in the administra- onstrated so that significant control
tion of the operating test under manipulations are completed without
§§ 55.45(b)(1) or 55.45(b)(3), shall request procedural exceptions, simulator per-
approval from the Commission. This formance exceptions, or deviation from
request must include: the approved training scenario se-
(i) A description of the components of quence.
the simulation facility intended to be (3) A simulation facility consisting
used, or the way the plant would be solely of a plant-referenced simulator
used for each part of the operating must meet the requirements of para-
test, unless previously approved; and graph (c)(1) of this section and the cri-
(ii) A description of the performance teria in paragraphs (d)(1) and (4) of this
tests for the simulation facility as part section for the Commission to accept
of the request, and the results of these the plant-referenced simulator for con-
tests; and ducting operating tests as described in
(iii) A description of the procedures § 55.45(a) of this part, requalification
for maintaining examination and test training as described in § 55.59(c)(3) of
integrity consistent with the require- this part, or for performing control ma-
ments of § 55.49. nipulations that affect reactivity to es-
tablish eligibility for an operator’s li-
(2) The Commission will approve a
cense as described in § 55.31(a)(5).
simulation facility or use of the plant
for administration of operating tests if (d) Continued assurance of simulator fi-
it finds that the simulation facility delity. Facility licensees that maintain
and its proposed use, or the proposed a simulation facility shall:
use of the plant, are suitable for the (1) Conduct performance testing
conduct of operating tests for the facil- throughout the life of the simulation
ity licensee’s reference plant under facility in a manner sufficient to en-
§ 55.45(a). sure that paragraphs (c)(2)(ii), as appli-
cable, and (d)(3) of this section are met.
(c) Plant-referenced simulators. (1) A
The results of performance tests must
plant-referenced simulator used for the
be retained for four years after the
administration of the operating test or
completion of each performance test or
to meet experience requirements in
until superseded by updated test re-
§ 55.31(a)(5) must demonstrate expected
sults;
plant response to operator input and to
normal, transient, and accident condi- (2) Correct modeling and hardware
tions to which the simulator has been discrepancies and discrepancies identi-
designed to respond. The plant-ref- fied from scenario validation and from
erenced simulator must be designed performance testing;
and implemented so that it: (3) Make results of any uncorrected
(i) Is sufficient in scope and fidelity performance test failures that may
to allow conduct of the evolutions list- exist at the time of the operating test
ed in §§ 55.45(a)(1) through (13), and or requalification program inspection
55.59(c)(3)(i)(A) through (AA), as appli- available for NRC review, prior to or
cable to the design of the reference concurrent with preparations for each
plant. operating test or requalification pro-
gram inspection; and
(ii) Allows for the completion of con-
trol manipulations for operator license (4) Maintain the provisions for li-
applicants. cense application, examination, and
test integrity consistent with § 55.49.
(2) Facility licensees that propose to
use a plant-referenced simulator to [66 FR 52667, Oct. 17, 2001]
meet the control manipulation require-
ments in § 55.31(a)(5) must ensure that: § 55.47 Waiver of examination and test
(i) The plant-referenced simulator requirements.
utilizes models relating to nuclear and (a) On application, the Commission
thermal-hydraulic characteristics that may waive any or all of the require-
replicate the most recent core load in ments for a written examination and
the nuclear power reference plant for operating test, if it finds that the ap-
which a license is being sought; and plicant—
159
§ 55.49 10 CFR Ch. I (1–1–11 Edition)
(1) Has had extensive actual oper- Subpart F—Licenses

ating experience at a comparable facil-
ity, as determined by the Commission, § 55.51 Issuance of licenses.
within two years before the date of ap- Operator and senior operator licenses. If
plication; the Commission determines that an ap-
(2) Has discharged his or her respon- plicant for an operator license or a sen-
sibilities competently and safely and is ior operator license meets the require-
capable of continuing to do so; and ments of the Act and its regulations, it
(3) Has learned the operating proce- will issue a license in the form and con-
dures for and is qualified to operate taining any conditions and limitations
competently and safely the facility it considers appropriate and necessary.
designated in the application. § 55.53 Conditions of licenses.
(b) The Commission may accept as
proof of the applicant’s past perform- Each license contains and is subject
to the following conditions whether
ance a certification of an authorized
stated in the license or not:
representative of the facility licensee (a) Neither the license nor any right
or of a holder of an authorization by under the license may be assigned or
which the applicant was previously em- otherwise transferred.
ployed. The certification must contain (b) The license is limited to the facil-
a description of the applicant’s oper- ity for which it is issued.
ating experience, including an approxi- (c) The license is limited to those
mate number of hours the applicant op- controls of the facility specified in the
erated the controls of the facility, the license.
duties performed, and the extent of the (d) The license is subject to, and the
applicant’s responsibility. licensee shall observe, all applicable
(c) The Commission may accept as rules, regulations, and orders of the
proof of the applicant’s current quali- Commission.
fications a certification of an author- (e) If a licensee has not been actively
ized representative of the facility li- performing the functions of an oper-
censee or of a holder of an authoriza- ator or senior operator, the licensee
may not resume activities authorized
tion where the applicant’s services will
by a license issued under this part ex-
be utilized.
cept as permitted by paragraph (f) of
§ 55.49 Integrity of examinations and this section. To maintain active status,
tests. the licensee shall actively perform the
functions of an operator or senior oper-
Applicants, licensees, and facility li- ator on a minimum of seven 8-hour or
censees shall not engage in any activ- five 12-hour shifts per calendar quarter.
ity that compromises the integrity of For test and research reactors, the li-
any application, test, or examination censee shall actively perform the func-
required by this part. The integrity of tions of an operator or senior operator
a test or examination is considered for a minimum of four hours per cal-
compromised if any activity, regard- endar quarter.
less of intent, affected, or, but for de- (f) If paragraph (e) of this section is
tection, would have affected the equi- not met, before resumption of func-
table and consistent administration of tions authorized by a license issued
the test or examination. This includes under this part, an authorized rep-
activities related to the preparation resentative of the facility licensee
and certification of license applica- shall certify the following:
tions and all activities related to the (1) That the qualifications and status
preparation, administration, and grad- of the licensee are current and valid;
ing of the tests and examinations re- and
(2) That the licensee has completed a
quired by this part.
minimum of 40 hours of shift functions
[64 FR 19878, Apr. 23, 1999] 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
160
have included a complete tour of the sion may impose to protect health or
plant and all required shift turnover to minimize danger to life or property.
procedures. For senior operators lim- [52 FR 9460, Mar. 25, 1987, as amended at 56
ited to fuel handling under paragraph FR 32070, July 15, 1991; 74 FR 45545, Sept. 3,
(c) of this section, one shift must have 2009]
been completed. For test and research
reactors, a minimum of six hours must § 55.55 Expiration.
have been completed. (a) Each operator license and senior
(g) The licensee shall notify the Com- operator license expires six years after
mission within 30 days about a convic- the date of issuance, upon termination
tion for a felony. of employment with the facility li-
(h) The licensee shall complete a re- censee, or upon determination by the
qualification program as described by facility licensee that the licensed indi-
§ 55.59. vidual no longer needs to maintain a li-
(i) The licensee shall have a biennial cense.
medical examination. (b) If a licensee files an application
(j) The licensee shall not consume or for renewal or an upgrade of an exist-
ingest alcoholic beverages within the ing license on Form NRC–398 at least 30
protected area of power reactors, or the days before the expiration of the exist-
controlled access area of non-power re- ing license, it does not expire until dis-
actors. The licensee shall not use, pos- position of the application for renewal
sess, or sell any illegal drugs. The li- or for an upgraded license has been fi-
censee shall not perform activities au- nally determined by the Commission.
thorized by a license issued under this Filing by mail or telegram will be
part while under the influence of alco- deemed to be complete at the time the
hol or any prescription, over-the- application is deposited in the mail or
counter, or illegal substance that could with a telegraph company.
adversely affect his or her ability to
safely and competently perform his or § 55.57 Renewal of licenses.
her licensed duties. For the purpose of (a) The applicant for renewal of a li-
this paragraph, with respect to alco- cense shall—
holic beverages and drugs, the term (1) Complete and sign Form NRC–398
‘‘under the influence’’ means the li- and include the number of the license
censee exceeded, as evidenced by a con- for which renewal is sought.
firmed test result, the lower of the cut- (2) File an original of NRC Form 398
off levels for drugs or alcohol con- with the appropriate Regional Admin-
tained in 10 CFR Part 26, or as estab- istrator specified in § 55.5(b).
lished by the facility licensee. The (3) Provide written evidence of the
term ‘‘under the influence’’ also means applicant’s experience under the exist-
the licensee could be mentally or phys- ing license and the approximate num-
ically impaired as a result of substance ber of hours that the licensee has oper-
use including prescription and over- ated the facility.
the-counter drugs, as determined under (4) Provide a statement by an author-
the provisions, policies, and procedures ized representative of the facility li-
established by the facility licensee for censee that during the effective term
its fitness-for-duty program, in such a of the current license the applicant has
manner as to adversely affect his or satisfactorily completed the requali-
her ability to safely and competently fication program for the facility for
perform licensed duties. which operator or senior operator li-
(k) Each licensee at power reactors cense renewal is sought.
shall participate in the drug and alco- (5) Provide evidence that the appli-
hol testing programs established pursu- cant has discharged the license respon-
ant to 10 CFR part 26. Each licensee at sibilities competently and safely. The
non-power reactors shall participate in Commission may accept as evidence of
any drug and alcohol testing program the applicant’s having met this re-
that may be established for that non- quirement a certificate of an author-
power facility. ized representative of the facility li-

(l) The licensee shall comply with censee or holder of an authorization by
any other conditions that the Commis- which the licensee has been employed.
161
§ 55.59 10 CFR Ch. I (1–1–11 Edition)
(6) Provide certification by the facil- onstrate an understanding of and the

ity licensee of medical condition and ability to perform the actions nec-
general health on Form NRC–396, to essary to accomplish a comprehensive
comply with §§ 55.21, 55.23 and 55.27. sample of items specified in § 55.45(a) (2)
(b) The license will be renewed if the through (13) inclusive to the extent ap-
Commission finds that— plicable to the facility.
(1) The medical condition and the (iii) In lieu of the Commission ac-
general health of the licensee continue cepting a certification by the facility
to be such as not to cause operational licensee that the licensee has passed
errors that endanger public health and written examinations and operating
safety. The Commission will base this tests administered by the facility li-
finding upon the certification by the censee within its Commission-approved
facility licensee as described in § 55.23. program developed by using a systems
(2) The licensee— approach to training under paragraph
(i) Is capable of continuing to com- (c) of this section, the Commission may
petently and safely assume licensed du- administer a comprehensive requali-
ties; fication written examination and an
(ii) Has successfully completed a re- annual operating test.
qualification program that has been
(b) Additional training. If the require-
approved by the Commission as re-
ments of paragraphs (a) (1) and (2) of
quired by § 55.59; and
this section are not met, the Commis-
(iii) Has passed the requalification
sion may require the licensee to com-
examinations and annual operating
plete additional training and to submit
tests as required by § 55.59.
(3) There is a continued need for a li- evidence to the Commission of success-
censee to operate or for a senior oper- ful completion of this training before
ator to direct operators at the facility returning to licensed duties.
designated in the application. (c) Requalification program require-
(4) The past performance of the li- ments. A facility licensee shall have a
censee has been satisfactory to the requalification program reviewed and
Commission. In making its finding, the approved by the Commission and shall,
Commission will include in its evalua- upon request consistent with the Com-
tion information such as notices of vio- mission’s inspection program needs,
lations or letters of reprimand in the submit to the Commission a copy of its
licensee’s docket. comprehensive requalification written
examinations or annual operating
[52 FR 9460, Mar. 25, 1987, as amended at 59 tests. The requalification program
FR 5938, Feb. 9, 1994; 68 FR 58813, Oct. 10,
2003]
must meet the requirements of para-
graphs (c) (1) through (7) of this sec-
§ 55.59 Requalification. tion. In lieu of paragraphs (c) (2), (3),
(a) Requalification requirements. Each and (4) of this section, the Commission
licensee shall— may approve a program developed by
(1) Successfully complete a requali- using a systems approach to training.
fication program developed by the fa- (1) Schedule. The requalification pro-
cility licensee that has been approved gram must be conducted for a contin-
by the Commission. This program shall uous period not to exceed two years,
be conducted for a continuous period and upon conclusion must be promptly
not to exceed 24 months in duration. followed, pursuant to a continuous
(2) Pass a comprehensive requalifica- schedule, by successive requalification
tion written examination and an an- programs.
nual operating test. (2) Lectures. The requalification pro-
(i) The written examination will gram must include preplanned lectures
sample the items specified in §§ 55.41 on a regular and continuing basis
and 55.43 of this part, to the extent ap- throughout the license period in those
plicable to the facility, the licensee, areas where operator and senior oper-
and any limitation of the license under ator written examinations and facility
§ 55.53(c) of this part. operating experience indicate that em-

(ii) The operating test will require phasis in scope and depth of coverage is
the operator or senior operator to dem- needed in the following subjects:
162
(i) Theory and principles of oper- (E) Significant (≥10 percent) power
ation. changes in manual rod control or recir-
(ii) General and specific plant oper- culation flow.
ating characteristics. (F) Reactor power change of 10 per-
(iii) Plant instrumentation and con- cent or greater where load change is
trol systems. performed with load limit control or
(iv) Plant protection systems. where flux, temperature, or speed con-
(v) Engineered safety systems. trol is on manual (for HTGR).
(vi) Normal, abnormal, and emer- (G) Loss of coolant, including—
gency operating procedures. (1) Significant PWR steam gener-
(vii) Radiation control and safety. ator leaks
(viii) Technical specifications. (2) Inside and outside primary con-
(ix) Applicable portions of title 10, tainment
chapter I, Code of Federal Regulations. (3) Large and small, including lead-
(3) On-the-job training. The requali- rate determination
fication program must include on-the- (4) Saturated reactor coolant re-
job training so that— sponse (PWR).
(i) Each licensed operator of a utili- (H) Loss of instrument air (if simu-
zation facility manipulates the plant lated plant specific).
controls and each licensed senior oper- (I) Loss of electrical power (or de-
ator either manipulates the controls or graded power sources).
directs the activities of individuals (J) Loss of core coolant flow/natural
during plant control manipulations circulation.
during the term of the licensed opera- (K) Loss of feedwater (normal and
tor’s or senior operator’s license. For emergency).
reactor operators and senior operators, (L) Loss of service water, if required
these manipulations must consist of for safety.
the following control manipulations (M) Loss of shutdown cooling.
and plant evolutions if they are appli- (N) Loss of component cooling sys-
cable to the plant design. Items de- tem or cooling to an individual compo-
scribed in paragraphs (c)(3)(i) (A) nent.
through (L) of this section must be per- (O) Loss of normal feedwater or nor-
formed annually; all other items must mal feedwater system failure.
be performed on a two-year cycle. How- (P) Loss of condenser vacuum.
ever, the requalification programs (Q) Loss of protective system chan-
must contain a commitment that each nel.
individual shall perform or participate (R) Mispositioned control rod or rods
in a combination of reactivity control (or rod drops).
manipulations based on the avail- (S) Inability to drive control rods.
ability of plant equipment and sys- (T) Conditions requiring use of emer-
tems. Those control manipulations gency boration or standby liquid con-
which are not performed at the plant trol system.
may be performed on a simulator. The (U) Fuel cladding failure or high ac-
use of the Technical Specifications tivity in reactor coolant or offgas.
should be maximized during the simu- (V) Turbine or generator trip.
lator control manipulations. Senior op- (W) Malfunction of an automatic con-
erator licensees are credited with these trol system that affects reactivity.
activities if they direct control manip- (X) Malfunction of reactor coolant
ulations as they are performed. pressure/volume control system.
(A) Plant or reactor startups to in- (Y) Reactor trip.
clude a range that reactivity feedback (Z) Main steam line break (inside or
from nuclear heat addition is notice- outside containment).
able and heatup rate is established. (AA) A nuclear instrumentation fail-
(B) Plant shutdown. ure.
(C) Manual control of steam genera- (ii) Each licensed operator and senior
tors or feedwater or both during start- operator has demonstrated satisfactory
up and shutdown. understanding of the operation of the

(D) Boration or dilution during power apparatus and mechanisms associated
operation. with the control manipulations in
163
§ 55.59 10 CFR Ch. I (1–1–11 Edition)
paragraph (c)(3)(i) of this section, and be discussed; actual manipulation of

knows the operating procedures in each the plant controls is not required. If a
area for which the operator or senior simulator is used in meeting the re-
operator is licensed. quirements of paragraph (c)(4)(iii) of
(iii) Each licensed operator and sen- this section, it must accurately repro-
ior operator is cognizant of facility de- duce the operating characteristics of
sign changes, procedure changes, and the facility involved and the arrange-
facility license changes. ment of the instrumentation and con-
(iv) Each licensed operator and senior trols of the simulator must closely par-
operator reviews the contents of all ab- allel that of the facility involved. After
normal and emergency procedures on a the provisions of § 55.46 have been im-
regularly scheduled basis. plemented at a facility, the Commis-
(v) A simulator may be used in meet- sion approved or plant-referenced sim-
ing the requirements of paragraphs (c) ulator must be used to comply with
(3)(i) and (3)(ii) of this section, if it re- this paragraph.
produces the general operating charac- (v) Provisions for each licensed oper-
teristics of the facility involved and ator and senior operator to participate
the arrangement of the instrumenta- in an accelerated requalification pro-
tion and controls of the simulator is gram where performance evaluations
similar to that of the facility involved. conducted pursuant to paragraphs
If the simulator or simulation device is (c)(4) (i) through (iv) of this section
used to administer operating tests for a clearly indicated the need.
facility, as provided in § 55.45(b)(1), the (5) Records. The requalification pro-
device approved to meet the require- gram documentation must include the
ments of § 55.45(b)(1) must be used for following:
credit to be given for meeting the re- (i) The facility licensee shall main-
quirements of paragraphs (c)(3)(i) (G tain records documenting the partici-
through AA) of this section. pation of each licensed operator and
(4) Evaluation. The requalification senior operator in the requalification
program must include— program. The records must contain
(i) Comprehensive requalification copies of written examinations admin-
written examinations and annual oper- istered, the answers given by the li-
ating tests which determine areas in censee, and the results of evaluations
which retraining is needed to upgrade and documentation of operating tests
licensed operator and senior operator and of any additional training adminis-
knowledge. tered in areas in which an operator or
(ii) Written examinations which de- senior operator has exhibited defi-
termine licensed operators’ and senior ciencies. The facility licensee shall re-
operators’ knowledge of subjects cov- tain these records until the operator’s
ered in the requalification program and or senior operator’s license is renewed.
provide a basis for evaluating their (ii) Each record required by this part
knowledge of abnormal and emergency must be legible throughout the reten-
procedures. tion period specified by each Commis-
(iii) Systematic observation and sion regulation. The record may be the
evaluation of the performance and original or a reproduced copy or a
competency of licensed operators and microform provided that the copy or
senior operators by supervisors and/or microform is authenticated by author-
training staff members, including eval- ized personnel and that the microform
uation of actions taken or to be taken is capable of producing a clear copy
during actual or simulated abnormal throughout the required retention pe-
and emergency procedures. riod.
(iv) Simulation of emergency or ab- (iii) If there is a conflict between the
normal conditions that may be accom- Commission’s regulations in this part,
plished by using the control panel of and any license condition, or other
the facility involved or by using a sim- written Commission approval or au-
ulator. When the control panel of the thorization pertaining to the retention
facility is used for simulation, the ac- period for the same type of record, the
tions taken or to be taken for the retention period specified for these
emergency or abnormal condition shall records by the regulations in this part
164
apply unless the Commission, pursuant (3) For willful violation of, or failure
to § 55.11, grants a specific exemption to observe any of the terms and condi-
from this record retention require- tions of the Act, or the license, or of
ment. any rule, regulation, or order of the
(6) Alternative training programs. The Commission, or
requirements of this section may be (4) For any conduct determined by
met by requalification programs con- the Commission to be a hazard to safe
ducted by persons other than the facil- operation of the facility.
ity licensee if the requalification pro- (5) For the sale, use or possession of
grams are similar to the program de- illegal drugs, or refusal to participate
scribed in paragraphs (c) (1) through (5) in the facility drug and alcohol testing
of this section and the alternative pro- program, or a confirmed positive test
gram has been approved by the Com- for drugs, drug metabolites, or alcohol
mission. in violation of the conditions and cut-
(7) Applicability to research and test re- off levels established by § 55.53(j) or the
actor facilities. To accommodate spe- consumption of alcoholic beverages
cialized modes of operation and dif- within the protected area of power re-
ferences in control, equipment, and op- actors or the controlled access area of
erator skills and knowledge, the re- non-power reactors, or a determination
qualification program for each licensed of unfitness for scheduled work as a re-
operator and senior operator of a result of the consumption of alcoholic
search reactor or test reactor facility beverages.
must conform generally but need not
be identical to the requalification pro- [52 FR 9460, Mar. 25, 1987, as amended at 56
gram outlined in paragraphs (c) (1) FR 32070, July 15, 1991]
through (6) of this section. Significant
deviations from the requirements of Subpart H—Enforcement
paragraphs (c) (1) through (6) of this
section will be permitted only if sup- § 55.71 Violations.
ported by written justification and ap-
proved by the Commission.
[52 FR 9460, Mar. 25, 1987, as amended at 59 vent a violation of the provisions of—
FR 5938, Feb. 9, 1994; 66 FR 52668, Oct. 17, (1) The Atomic Energy Act of 1954, as
2001]
amended;
(2) Title II of the Energy Reorganiza-
Subpart G—Modification and tion Act of 1974, as amended; or
Revocation of Licenses (3) A regulation or order issued pur-
§ 55.61 Modification and revocation of suant to those Acts.
licenses. (b) The Commission may obtain a
court order for the payment of a civil
(a) The terms and conditions of all li-
penalty imposed under section 234 of
censes are subject to amendment, revi-
the Atomic Energy Act:
sion, or modification by reason of
(1) For violations of—
rules, regulations, or orders issued in
accordance with the Act or any amend- (i) Sections 53, 57, 62, 63, 81, 82, 101,
ments thereto. 103, 104, 107, or 109 of the Atomic En-
(b) Any license may be revoked, sus- ergy Act of 1954, as amended;
pended, or modified, in whole or in (ii) Section 206 of the Energy Reorga-
part: nization Act;
(1) For any material false statement (iii) Any rule, regulation, or order
in the application or in any statement issued pursuant to the sections speci-
of fact required under section 182 of the fied in paragraph (b)(1)(i) of this sec-
Act, tion;
(2) Because of conditions revealed by (iv) Any term, condition, or limita-
the application or statement of fact or tion of any license issued under the
any report, record, inspection or other sections specified in paragraph (b)(1)(i)
means that would warrant the Com- of this section.

mission to refuse to grant a license on (2) For any violation for which a li-
an original application, cense may be revoked under section 186
165
§ 55.73 10 CFR Ch. I (1–1–11 Edition)
of the Atomic Energy Act of 1954, as 60.24 Updating of application and environ-
amended. mental impact statement.
[57 FR 55076, Nov. 24, 1992] CONSTRUCTION AUTHORIZATION

60.31 Construction authorization.
§ 55.73 Criminal penalties. 60.32 Conditions of construction authoriza-
(a) Section 223 of the Atomic Energy tion.
Act of 1954, as amended, provides for 60.33 Amendment of construction authoriza-
criminal sanctions for willful violation tion.
of, attempted violation of, or con- LICENSE ISSUANCE AND AMENDMENT
spiracy of violate, any regulation
60.41 Standards for issuance of a license.
issued under sections 161b, 161i, or 161o 60.42 Conditions of license.
of the Act. For purposes of section 223, 60.43 License specification.
all the regulations in part 55 are issued 60.44 Changes, tests, and experiments.
under one or more of sections 161b, 161i, 60.45 Amendment of license.
or 161o, except for the sections listed in 60.46 Particular activities requiring license
paragraph (b) of this section. amendment.
(b) The regulations in part 55 that
US/IAEA SAFEGUARDS AGREEMENT
are not issued under sections 161b, 161i,
or 161o for the purposes of section 223 60.47 Facility information and verification.
are as follows: §§ 55.1, 55.2, 55.4, 55.5, PERMANENT CLOSURE
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, 60.51 License amendment for permanent
55.61, 55.71, and 55.73. closure.
60.52 Termination of license.
[57 FR 55076, Nov. 24, 1992]
Subpart C—Participation by State
PART 60—DISPOSAL OF HIGH- Governments and Affected Indian Tribes
LEVEL RADIOACTIVE WASTES IN 60.61 Provision of information.
GEOLOGIC REPOSITORIES 60.62 Site review.
60.63 Participation in license reviews.
60.64 Notice to States.
60.65 Representation.
Sec.
60.1 Purpose and scope. Subpart D—Records, Reports, Tests, and
60.2 Definitions. Inspections
60.3 License required.
60.4 Communications and records. 60.71 Records and reports.
60.5 Interpretations. 60.72 Construction records.
60.6 Exemptions. 60.73 Reports of deficiencies.
60.7 License not required for certain pre- 60.74 Tests.
liminary activities. 60.75 Inspections.
60.78 Material control and accounting
60.8 Information collection requirements:
records and reports.
Approval.
60.9 Employee protection.
60.10 Completeness and accuracy of infor-
Subpart E—Technical Criteria
mation. 60.101 Purpose and nature of findings.
60.11 Deliberate misconduct. 60.102 Concepts.
Subpart B—Licenses PERFORMANCE OBJECTIVES
PREAPPLICATION REVIEW 60.111 Performance of the geologic reposi-

tory operations area through permanent
60.15 Site characterization. closure.
60.16 Site characterization plan required. 60.112 Overall system performance objective
60.17 Contents of site characterization plan. for the geologic repository after perma-
60.18 Review of site characterization activi- nent closure.
ties. 60.113 Performance of particular barriers
after permanent closure.
LICENSE APPLICATIONS
LAND OWNERSHIP AND CONTROL

60.21 Content of application.
60.22 Filing and distribution of application. 60.121 Requirements for ownership and con-
60.23 Elimination of repetition. trol interests in land.
166
SITING CRITERIA Pub. L. 97–425, 96 Stat. 2213g, 2228, as amend-
ed (42 U.S.C. 10134, 10141), and Pub. L. 102–486,
60.122 Siting criteria.
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec.
DESIGN CRITERIA FOR THE GEOLOGIC 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); En-
REPOSITORY OPERATIONS AREA ergy Policy Act of 2005, Pub. L. No. 109–58,
119 Stat. 594 (2005).
60.130 General considerations.
60.131 General design criteria for the geo- SOURCE: 46 FR 13980, Feb. 25, 1981, unless
logic repository operations area. otherwise noted.
60.132 Additional design criteria for surface
facilities in the geologic repository oper- Subpart A—General Provisions
ations area.
60.133 Additional design criteria for the un- § 60.1 Purpose and scope.
derground facility.
60.134 Design of seals for shafts and This part prescribes rules governing
boreholes. the licensing (including issuance of a
construction authorization) of the U.S.
DESIGN CRITERIA FOR THE WASTE PACKAGE
Department of Energy to receive and
60.135 Criteria for the waste package and its possess source, special nuclear, and by-
components. product material at a geologic reposi-
PRECLOSURE CONTROLLED AREA tory operations area sited, constructed,
or operated in accordance with the Nu-
60.136 Preclosure controlled area.
clear Waste Policy Act of 1982, as
PERFORMANCE CONFIRMATION REQUIREMENTS amended. This part does not apply to
any activity licensed under another
60.137 General requirements for perform-
ance confirmation. part of this chapter. This part does not
apply to the licensing of the U.S. De-
Subpart F—Performance Confirmation partment of Energy to receive and pos-
Program sess source, special nuclear, and by-
product material at a geologic reposi-
60.140 General requirements. tory operations area sited, constructed,
60.141 Confirmation of geotechnical and de-
or operated at Yucca Mountain, Ne-
sign parameters.
60.142 Design testing. vada, in accordance with the Nuclear
60.143 Monitoring and testing waste pack- Waste Policy Act of 1992, as amended,
ages. and the Energy Policy Act of 1992, sub-
ject to part 63 of this chapter. This
Subpart G—Quality Assurance part also gives notice to all persons
who knowingly provide to any licensee,
60.150 Scope.
60.151 Applicability. applicant, contractor, or subcon-
60.152 Implementation. tractor, components, equipment, mate-
rials, or other goods or services, that
Subpart H—Training and Certification of relate to a licensee’s or applicant’s ac-
Personnel tivities subject to this part, that they
may be individually subject to NRC en-
60.160 General requirements.
forcement action for violation of § 60.11.
60.161 Training and certification program.
60.162 Physical requirements. [69 FR 2279, Jan. 14, 2004]
Subpart I—Emergency Planning Criteria § 60.2 Definitions.

[Reserved]
As used in this part:
Subpart J—Violations Accessible environment means:
(1) The atmosphere;
60.181 Violations. (2) The land surface;
(3) Surface water;
AUTHORITY: Secs. 51, 53, 62, 63, 65, 81, 161, (4) Oceans; and
182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, (5) The portion of the lithosphere
954, as amended (42 U.S.C. 2071, 2073, 2092,
that is outside the postclosure con-
2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206,
trolled area.
88 Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs.

10 and 14, Pub. L. 95–601, 92 Stat. 2951 (42 Affected Indian Tribe means any In-
U.S.C. 2021a and 5851); sec. 102, Pub. L. 91–190, dian Tribe (1) within whose reservation
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, boundaries a repository for high-level
167
§ 60.2 10 CFR Ch. I (1–1–11 Edition)
radioactive waste or spent fuel is pro- than 10 kilometers in any direction

posed to be located; or (2) whose Feder- from the outer boundary of the under-
ally defined possessory or usage rights ground facility, and the underlying
to other lands outside of the reserva- subsurface, which area has been com-
tion’s boundaries arising out of Con- mitted to use as a geologic repository
gressionally ratified treaties or other and from which incompatible activities
Federal law may be substantially and would be restricted following perma-
adversely affected by the locating of nent closure.
such a facility; Provided, That the Sec- Design bases means that information
retary of the Interior finds, upon the that identifies the specific functions to
petition of the appropriate govern- be performed by a structure, system, or
mental officials of the Tribe, that such component of a facility and the specific
effects are both substantial and ad- values or ranges of values chosen for
verse to the Tribe. controlling parameters as reference
Anticipated processes and events means bounds for design. These values may be
those natural processes and events that restraints derived from generally ac-
are reasonably likely to occur during cepted ‘‘state-of-the-art’’ practices for
the period the intended performance achieving functional goals or require-
objective must be achieved. To the ex- ments derived from analysis (based on
tent reasonable in the light of the geo- calculation or experiments) of the ef-
logic record, it shall be assumed that fects of a postulated event under which
those processes operating in the geo- a structure, system, or component
logic setting during the Quaternary Pe- must meet its functional goals. The
riod continue to operate but with the values for controlling parameters for
perturbations caused by the presence of external events include:
emplaced radioactive waste super- (1) Estimates of severe natural events
imposed thereon. to be used for deriving design bases
Barrier means any material or struc-
that will be based on consideration of
ture that prevents or substantially
historical data on the associated pa-
delays movement of water or radio-
rameters, physical data, or analysis of
nuclides.
upper limits of the physical processes
Candidate area means a geologic and
involved; and
hydrologic system within which a geo-
logic repository may be located. (2) Estimates of severe external man-
Commencement of construction means induced events, to be used for deriving
clearing of land, surface or subsurface design bases, that will be based on
excavation, or other substantial action analysis of human activity in the re-
that would adversely affect the envi- gion, taking into account the site char-
ronment of a site, but does not include acteristics and the risks associated
changes desirable for the temporary with the event.
use of the land for public recreational Design basis events means:
uses, site characterization activities, (1)(i) Those natural and human-in-
other preconstruction monitoring and duced events that are reasonably likely
investigation necessary to establish to occur regularly, moderately fre-
background information related to the quently, or one or more times before
suitability of a site or to the protec- permanent closure of the geologic re-
tion of environmental values, or pro- pository operations area; and
curement or manufacture of compo- (ii) Other natural and man-induced
nents of the geologic repository oper- events that are considered unlikely,
ations area. but sufficiently credible to warrant
Commission means the Nuclear Regu- consideration, taking into account the
latory Commission or its duly author- potential for significant radiological
ized representatives. impacts on public health and safety.
Containment means the confinement (2) The events described in paragraph
of radioactive waste within a des- (1)(i) of this definition are referred to
ignated boundary. as ‘‘Category 1’’ design basis events. The
Controlled area means a surface loca- events described in paragraph (1)(ii) of

tion, to be marked by suitable monu- this definition are referred to as ‘‘Cat-
ments, extending horizontally no more egory 2’’ design basis events.
168
Director means the Director of the to Sections 202(3) and 202(4) of the En-
Nuclear Regulatory Commission’s Of- ergy Reorganization Act of 1974 (88
fice of Nuclear Material Safety and Stat. 1244). 1
Safeguards. Host rock means the geologic medium
Disposal means the isolation of radio- in which the waste is emplaced.
active wastes from the accessible envi- Important to safety, with reference to
ronment. structures, systems, and components,
Disturbed zone means that portion of means those engineered features of the
the postclosure controlled area, the repository whose function is:
physical or chemical properties of (1) To provide reasonable assurance
which have changed as a result of un- that high-level waste can be received,
derground facility construction or as a handled, packaged, stored, emplaced,
result of heat generated by the em- and retrieved without exceeding the re-
placed radioactive wastes, such that quirements of § 60.111(a) for Category 1
the resultant change of properties may design basis events; or
have a significant effect on the per-
(2) To prevent or mitigate Category 2
formance of the geologic repository.
design basis events that could result in
DOE means the U.S. Department of
doses equal to or greater than the val-
Energy or its duly authorized rep-
ues specified in § 60.136 to any indi-
resentatives.
vidual located on or beyond any point
Engineered barrier system means the
on the boundary of the preclosure con-
waste packages and the underground
trolled area.
facility.
Geologic repository means a system Isolation means inhibiting the trans-
which is intended to be used for, or port of radioactive material so that
may be used for, the disposal of radio- amounts and concentrations of this
active wastes in excavated geologic material entering the accessible envi-
media. A geologic repository includes: ronment will be kept within prescribed
(1) The geologic repository operations limits.
area, and (2) the portion of the geologic NRC Public Document Room means the
setting that provides isolation of the facility at One White Flint North, 11555
radioactive waste. Rockville Pike, Room 0–1F23, Rock-
Geologic repository operations area ville, Maryland, where certain public
means a high-level radioactive waste records of the NRC that were made
facility that is part of a geologic repos- available for public inspection in paper
itory, including both surface and sub- or microfiche prior to the implementa-
surface areas, where waste handling action of the NRC Agency wide Docu-
tivities are conducted. ments Access and Management Sys-
Geologic setting means the geologic, tem, commonly referred to as ADAMS,
hydrologic, and geochemical systems will remain available for public inspec-
of the region in which a geologic repos- tion. It is also the place where com-
itory operations area is or may be lo- puter terminals are available to access
cated. the Electronic Reading Room compo-
Groundwater means all water which nents of ADAMS on the NRC Website,
occurs below the land surface. http://www.nrc.gov, where copies can be
High-level radioactive waste or HLW made or ordered as set forth in § 9.35 of
means: (1) Irradiated reactor fuel, (2) this chapter. The facility is staffed
liquid wastes resulting from the oper- with reference librarians to assist the
ation of the first cycle solvent extrac-
tion system, or equivalent, and the 1 These are DOE ‘‘facilities used primarily
concentrated wastes from subsequent for the receipt and storage of high-level ra-
extraction cycles, or equivalent, in a dioactive wastes resulting from activities li-
facility for reprocessing irradiated re- censed under such Act [the Atomic Energy
actor fuel, and (3) solids into which Act]’’ and ‘‘Retrievable Surface Storage Fa-
cilities and other facilities authorized for
such liquid wastes have been con- the express purpose of subsequent long-term
verted.
storage of high-level radioactive wastes gen-

HLW facility means a facility subject erated by [DOE], which are not used for, or
to the licensing and related regulatory are part of, research and development activi-
authority of the Commission pursuant ties.’’
169
§ 60.2 10 CFR Ch. I (1–1–11 Edition)
public in identifying and locating docu- used as residential quarters, but sepa-
ments and in using the NRC Web site rate rooms in a residential building
and ADAMS. The NRC Public Docu- may be set aside as a restricted area.
ment Room is open from 7:30 am to 4:15 Retrieval means the act of inten-
pm, Monday through Friday, except on tionally removing radioactive waste
Federal holidays, Reference service and from the underground location at
access to documents may also be re- which the waste had been previously
quested by telephone (1–800–397–4209) emplaced for disposal.
between 8:30 am and 4:15 pm, or by e- Saturated zone means that part of the
mail (PDR@nrc.gov), fax (301–415–3548), earth’s crust beneath the regional
or letter (NRC Public Document Room, water table in which all voids, large
One White Flint North, 11555 Rockville and small, are ideally filled with water
Pike, Room 0–1F23, Rockville, Mary- under pressure greater than atmos-
land 20852). pheric.
NRC Web site, http://www.nrc.gov is Site means the location of the
the Internet uniform resource locator preclosure controlled area, or of the
name for the Internet address of the postclosure controlled area, or both.
Web site where NRC will ordinarily Site characterization means the pro-
make available its public records for gram of exploration and research, both
inspection. in the laboratory and in the field, un-
Permanent closure means final back- dertaken to establish the geologic con-
filling of the underground facility and ditions and the ranges of those param-
the sealing of shafts and boreholes. eters of a particular site relevant to
Performance confirmation means the the procedures under this part. Site
program of tests, experiments, and characterization includes borings, sur-
analyses which is conducted to evalu- face excavations, excavation of explor-
ate the accuracy and adequacy of the atory shafts, limited subsurface lateral
information used to determine with excavations and borings, and in situ
reasonable assurance that the perform- testing at depth needed to determine
ance objectives for the period after per- the suitability of the site for a geologic
manent closure will be met. repository, but does not include pre-
Postclosure controlled area means a liminary borings and geophysical test-
surface location, to be marked by suit- ing needed to decide whether site char-
able monuments, extending hori- acterization should be undertaken.
zontally no more than 10 kilometers in Unanticipated processes and events
any direction from the outer boundary means those processes and events af-
of the underground facility, and the fecting the geologic setting that are
underlying subsurface, which area has judged not to be reasonably likely to
been committed to use as a geologic re- occur during the period the intended
pository and from which incompatible performance objective must be
activities would be restricted following achieved, but which are nevertheless
permanent closure. sufficiently credible to warrant consid-
Preclosure controlled area means that eration. Unanticipated processes and
surface area surrounding the geologic events may be either natural processes
repository operations area for which or events or processes and events initi-
the licensee exercises authority over ated by human activities other than
its use, in accordance with the provi- those activities licensed under this
sions of this part, until permanent clo- part. Processes and events initiated by
sure has been completed. human activities may only be found to
Radioactive waste or waste means be sufficiently credible to warrant con-
HLW and other radioactive materials sideration if it is assumed that: (1) The
other than HLW that are received for monuments provided for by this part
emplacement in a geologic repository. are sufficiently permanent to serve
Restricted area means an area, access their intended purpose; (2) the value to
to which is limited by the licensee for future generations of potential re-
the purpose of protecting individuals sources within the site can be assessed
against undue risks from exposure to adequately under the applicable provi-
radiation and radioactive materials. sions of this part; (3) an understanding
Restricted area does not include areas of the nature of radioactivity, and an
170
appreciation of its hazards, have been provided in this part. Failure to com-
retained in some functioning institu- ply with this requirement shall be
tions; (4) institutions are able to assess grounds for denial of a license.
risk and to take remedial action at a
level of social organization and techno- § 60.4 Communications and records.
logical competence equivalent to, or (a) Except where otherwise specified,
superior to, that which was applied in all communications and reports con-
initiating the processes or events con-
cerning the regulations in this part and
cerned; and (5) relevant records are pre-
applications filed under them should be
served, and remain accessible, for sev-
sent by mail addressed: ATTN: Docu-
eral hundred years after permanent
closure. ment Control Desk: Director, Office of
Underground facility means the under- Nuclear Material Safety and Safe-
ground structure, including openings guards, U.S. Nuclear Regulatory Com-
and backfill materials, but excluding mission, Washington, DC 20555–0001; by
shafts, boreholes, and their seals. hand delivery to the NRC’s offices at
Unrestricted area means an area, ac- 11555 Rockville Pike, Rockville, Mary-
cess to which is neither limited nor land; or, where practicable, by elec-
controlled by the licensee. tronic submission, for example, via
Unsaturated zone means the zone be- Electronic Information Exchange, or
tween the land surface and the regional CD-ROM. Electronic submissions must
water table. Generally, fluid pressure be made in a manner that enables the
in this zone is less than atmospheric NRC to receive, read, authenticate, dis-
pressure, and some of the voids may tribute, and archive the submission,
contain air or other gases at atmos- and process and retrieve it a single
pheric pressure. Beneath flooded areas page at a time. Detailed guidance on
or in perched water bodies the fluid making electronic submissions can be
pressure locally may be greater than obtained by visiting the NRC’s Web
atmospheric. site at http://www.nrc.gov/site-help/e-sub-
Waste form means the radioactive mittals.html; by e-mail to
waste materials and any encapsulating MSHD.Resource@nrc.gov; or by writing
or stabilizing matrix. the Office of Information Services, U.S.
Waste package means the waste form Nuclear Regulatory Commission,
and any containers, shielding, packing Washington, DC 20555–0001. The guid-
and other absorbent materials imme-
ance discusses, among other topics, the
diately surrounding an individual
formats the NRC can accept, the use of
waste container.
electronic signatures, and the treat-
Water table means that surface in a
groundwater body at which the water ment of nonpublic information.
pressure is atmospheric. (b) Each record required by this part
must be legible throughout the reten-
[48 FR 28217, June 21, 1983, as amended at 50 tion period specified by each Commis-
FR 29647, July 22, 1985; 51 FR 27162, July 30,
1986; 53 FR 43421, Oct. 27, 1988; 61 FR 64267,
sion regulation. The record may be the
Dec. 4, 1996; 64 FR 48953, Sept. 9, 1999; 69 FR original or a reproduced copy or a
76601, Dec. 22, 2004] microform provided that the copy or
microform is authenticated by author-
§ 60.3 License required. ized personnel and that the microform
(a) DOE shall not receive or possess is capable of producing a clear copy
source, special nuclear, or byproduct throughout the required retention pe-
material at a geologic repository oper- riod. The record may also be stored in
ations area except as authorized by a electronic media with the capability
license issued by the Commission pur- for producing legible, accurate, and
suant to this part. complete records during the required
(b) DOE shall not commence con- retention period. Records such as let-
struction of a geologic repository oper- ters, drawings, specifications, must in-
ations area unless it has filed an appli- clude all pertinent information such as
cation with the Commission and has
obtained construction authorization as
171
§ 60.5 10 CFR Ch. I (1–1–11 Edition)
stamps, initials, and signatures. The li- tion requirements contained in this
censee shall maintain adequate safe- part under control number 3150–0127.
guards against tampering with and loss (b) The approved information collec-
of records. tion requirements contained in this
part appear in §§ 60.47, 60.62, 60.63, 60.65.
FR 43421, Oct. 27, 1988; 68 FR 58813, Oct. 10, (c) In § 60.47, Form N–71 and associ-
2003; 74 FR 62682, Dec. 1, 2009] ated forms are approved under control
number 3150–0056, and DOC/NRC Forms
§ 60.5 Interpretations. AP–1, AP–A, and associated forms are
Except as specifically authorized by approved under control number 0694–
the Commission, in writing, no inter- 0135.
pretation of the meaning of the regula- [61 FR 64268, Dec. 4, 1996, as amended at 62
tions in this part by any officer or em- FR 52188, Oct. 6, 1997; 73 FR 78605, Dec. 23,
ployee of the Commission other than a 2008]
written interpretation by the General
Counsel will be considered binding § 60.9 Employee protection.
upon the Commission. (a) Discrimination by a Commission
licensee, an applicant for a Commis-
§ 60.6 Exemptions. sion license, or a contractor or subcon-
The Commission may, upon applica- tractor of a Commission licensee or ap-
tion by DOE, any interested person, or plicant against an employee for engag-
upon its own initiative, grant such ex- ing in certain protected activities is
emptions from the requirements of the prohibited. Discrimination includes
regulations in this part as it deter- discharge and other actions that relate
mines are authorized by law, will not to compensation, terms, conditions, or
endanger life or property or the com- privileges of employment. The pro-
mon defense and security, and are oth- tected activities are established in sec-
erwise in the public interest. tion 211 of the Energy Reorganization
Act of 1974, as amended, and in general
§ 60.7 License not required for certain are related to the administration or en-
preliminary activities. forcement of a requirement imposed
The requirement for a license set under the Atomic Energy Act or the
forth in § 60.3(a) of this part is not ap- Energy Reorganization Act.
plicable to the extent that DOE re- (1) The protected activities include
ceives and possesses source, special nu- but are not limited to:
clear, and byproduct material at a geo- (i) Providing the Commission or his
logic repository: or her employer information about al-
(a) For purposes of site characteriza- leged violations of either of the stat-
tion; or utes named in paragraph (a) introduc-
(b) For use, during site characteriza- tory text of this section or possible vio-
tion or construction, as components of lations of requirements imposed under
radiographic, radiation monitoring, or either of those statutes;
similar equipment or instrumentation. (ii) Refusing to engage in any prac-
tice made unlawful under either of the
§ 60.8 Information collection require- statutes named in paragraph (a) intro-
ments: Approval. ductory text or under these require-
(a) The Nuclear Regulatory Commis- ments if the employee has identified
sion has submitted the information the alleged illegality to the employer;
collection requirements contained in (iii) Requesting the Commission to
this part to the Office of Management institute action against his or her em-
and Budget (OMB) for approval as re- ployer for the administration or en-
quired by the Paperwork reduction Act forcement of these requirements;
(44 U.S.C. 3501 et seq.). The NRC may (iv) Testifying in any Commission
not conduct or sponsor, and a person is proceeding, or before Congress, or at
not required to respond to, a collection any Federal or State proceeding re-
of information unless it displays a cur- garding any provision (or proposed pro-
rently valid OMB control number. OMB vision) of either of the statutes named
has approved the information collec- in paragraph (a) introductory text.
172
(v) Assisting or participating in, or is from adverse action dictated by non-

about to assist or participate in, these prohibited considerations.
activities. (e)(1) Each licensee and each appli-
(2) These activities are protected cant for a license shall prominently
even if no formal proceeding is actu- post the revision of NRC Form 3, ‘‘No-
ally initiated as a result of the em- tice to Employees,’’ referenced in 10
ployee assistance or participation. CFR 19.11(c). This form must be posted
(3) This section has no application to at locations sufficient to permit em-
any employee alleging discrimination ployees protected by this section to ob-
prohibited by this section who, acting serve a copy on the way to or from
without direction from his or her em- their place of work. Premises must be
ployer (or the employer’s agent), delib- posted not later than 30 days after an
erately causes a violation of any re- application is docketed and remain
quirement of the Energy Reorganiza- posted while the application is pending
tion Act of 1974, as amended, or the before the Commission, during the
Atomic Energy Act of 1954, as amend- term of the license, and for 30 days fol-
ed. lowing license termination.
(b) Any employee who believes that (2) Copies of NRC Form 3 may be ob-
he or she has been discharged or other- tained by writing to the Regional Ad-
wise discriminated against by any per- ministrator of the appropriate U.S. Nu-
son for engaging in protected activities clear Regulatory Commission Regional
specified in paragraph (a)(1) of this sec- Office listed in appendix D to part 20 of
tion may seek a remedy for the dis- this chapter, by calling (301) 415–7232,
charge or discrimination through an via e-mail to FORMS.Resource@nrc.gov,
administrative proceeding in the De- or by visiting the NRC’s Web site at
partment of Labor. The administrative http://www.nrc.gov and selecting forms
proceeding must be initiated within 180 from the index found on the home page.
days after an alleged violation occurs. (f) No agreement affecting the com-
The employee may do this by filing a pensation, terms, conditions, or privi-
complaint alleging the violation with leges of employment, including an
the Department of Labor, Employment agreement to settle a complaint filed
Standards Administration, Wage and by an employee with the Department
Hour Division. The Department of of Labor pursuant to section 211 of the
Labor may order reinstatement, back Energy Reorganization Act of 1974, as
pay, and compensatory damages. amended, may contain any provision
(c) A violation of paragraph (a), (e), which would prohibit, restrict, or oth-
or (f) of this section by a Commission erwise discourage an employee from
licensee, an applicant for a Commis- participating in protected activity as
sion license, or a contractor or subcon- defined in paragraph (a)(1) of this sec-
tractor of a Commission licensee or ap- tion including, but not limited to, pro-
plicant may be grounds for— viding information to the NRC or to
(1) Denial, revocation, or suspension his or her employer on potential viola-
of the license. tions or other matters within NRC’s
(2) Imposition of a civil penalty on regulatory responsibilities.
the licensee, applicant, or a contractor [58 FR 52411, Oct. 8, 1993, as amended at 60 FR
or subcontractor of the licensee or ap- 24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996; 68
plicant. FR 58813, Oct. 10, 2003; 72 FR 63974, Nov. 14,
(3) Other enforcement action. 2007; 73 FR 30459, May 28, 2008]
(d) Actions taken by an employer, or
others, which adversely affect an em- § 60.10 Completeness and accuracy of
ployee may be predicated upon non- information.
discriminatory grounds. The prohibi- (a) Information provided to the Com-
tion applies when the adverse action mission by an applicant for a license or
occurs because the employee has en- by a licensee or information required
gaged in protected activities. An em- by statute or by the Commission’s reg-
ployee’s engagement in protected ac- ulations, orders, or license conditions
tivities does not automatically render to be maintained by the applicant or

him or her immune from discharge or the licensee shall be complete and ac-
discipline for legitimate reasons or curate in all material respects.
173
§ 60.11 10 CFR Ch. I (1–1–11 Edition)
(b) Each applicant or licensee shall conduct by a person means an inten-

notify the Commission of information tional act or omission that the person
identified by the applicant or licensee knows:
as having for the regulated activity a (1) Would cause a licensee or appli-
significant implication for public cant to be in violation of any rule, reg-
health and safety or common defense ulation, or order; or any term, condi-
and security. An applicant or licensee tion, or limitation, of any license
violates this paragraph only if the ap- issued by the Commission; or
plicant or licensee fails to notify the (2) Constitutes a violation of a re-
Commission of information that the quirement, procedure, instruction, con-
applicant or licensee has identified as tract, purchase order, or policy of a li-
having a significant implication for censee, applicant, contractor, or sub-
public health and safety or common de- contractor.
be provided to the Administrator of the [63 FR 1898, Jan. 13, 1998]
appropriate Regional Office within two
working days of identifying the infor- Subpart B—Licenses
mation. This requirement is not appli-
cable to information which is already PREAPPLICATION REVIEW
required to be provided to the Commis-
sion by other reporting or updating re- § 60.15 Site characterization.
quirements. (a) Prior to submittal of an applica-
[52 FR 49372, Dec. 31, 1987] tion for a license to be issued under
this part DOE shall conduct a program
§ 60.11 Deliberate misconduct. of site characterization with respect to
the site to be described in such applica-
(a) Any licensee, applicant for a li-
cense, employee of a licensee or appli- tion.
cant; or any contractor (including a (b) Unless the Commission deter-
supplier or consultant), subcontractor, mines with respect to the site de-
employee of a contractor or subcon- scribed in the application that it is not
tractor of any licensee or applicant for necessary, site characterization shall
a license who knowingly provides to include a program of in situ explo-
any licensee, applicant, contractor, or ration and testing at the depths that
subcontractor, any components, equip- wastes would be emplaced.
ment, materials, or other goods or (c) The program of site characteriza-
services that relate to a licensee’s or tion shall be conducted in accordance
applicant’s activities in this part, may with the following:
not: (1) Investigations to obtain the re-
(1) Engage in deliberate misconduct quired information shall be conducted
that causes or would have caused, if in such a manner as to limit adverse ef-
not detected, a licensee or applicant to fects on the long-term performance of
be in violation of any rule, regulation, the geologic repository to the extent
or order; or any term, condition, or practical.
limitation of any license issued by the (2) The number of exploratory
Commission; or boreholes and shafts shall be limited to
(2) Deliberately submit to the NRC, a the extent practical consistent with
licensee, an applicant, or a licensee’s obtaining the information needed for
or applicant’s contractor or subcon- site characterization.
tractor, information that the person (3) To the extent practical, explor-
submitting the information knows to atory boreholes and shafts in the geo-
be incomplete or inaccurate in some logic repository operations area shall
respect material to the NRC. be located where shafts are planned for
(b) A person who violates paragraph underground facility construction and
(a)(1) or (a)(2) of this section may be operation or where large unexcavated
subject to enforcement action in ac- pillars are planned.
cordance with the procedures in 10 CFR (4) Subsurface exploratory drilling,
part 2, subpart B. excavation, and in situ testing before

(c) For the purposes of paragraph and during construction shall be
(a)(1) of this section, deliberate mis- planned and coordinated with geologic
174
repository operations area design and adverse environmental impacts caused

construction. by site characterization activities, if
[46 FR 13980, Feb. 25, 1981, as amended at 48
such area is determined unsuitable for
FR 28219, June 21, 1983. Redesignated and application for a construction author-
amended at 51 FR 27162, July 30, 1986; 54 FR ization for a geologic repository oper-
27871, July 3, 1989] ations area;
(4) Criteria, developed pursuant to
§ 60.16 Site characterization plan re- section 112(a) of the Nuclear Waste Pol-
quired. icy Act of 1982, to be used to determine
Before proceeding to sink shafts at the suitability of such area for the lo-
any area which has been approved by cation of a geologic repository; and
the President for site characterization, (5) Any other information which the
DOE shall submit to the Director, for Commission, by rule or order, requires.
review and comment, a site character- (b) A description of the possible
ization plan for such area. DOE shall waste form or waste package for the
defer the sinking of such shafts until high-level radioactive waste to be em-
such time as there has been an oppor- placed in such geologic repository, a
tunity for Commission comments description (to the extent practicable)
thereon to have been solicited and con- of the relationship between such waste
sidered by DOE. form or waste package and the host
[51 FR 27162, July 30, 1986] rock at such area, and a description of
the activities being conducted by DOE
§ 60.17 Contents of site characteriza- with respect to such possible waste
tion plan. form or waste package or their rela-
The site characterization plan shall tionship; and
contain— (c) A conceptual design for the geo-
(a) A general plan for site character- logic repository operations area that
ization activities to be conducted at takes into account likely site-specific
the area to be characterized, which requirements.
general plan shall include:
(1) A description of such area, includ- [51 FR 27163, July 30, 1986]
ing information on quality assurance
programs that have been applied to the § 60.18 Review of site characterization
activities. 2
collection, recording, and retention of
information used in preparing such de- (a) The Director shall cause to be
scription. published in the FEDERAL REGISTER a
(2) A description of such site charac- notice that a site characterization plan
terization activities, including the fol- has been received from DOE and that a
lowing— staff review of such plan has begun.
(i) The extent of planned excavations; The notice shall identify the area to be
(ii) Plans for any onsite testing with characterized and the NRC staff mem-
radioactive material, including radio- bers to be consulted for further infor-
active tracers, or nonradioactive mate- mation.
rial; (b) The Director shall make a copy of
(iii) Plans for any investigation ac- the site characterization plan available
tivities that may affect the capability
of such area to isolate high-level radio- 2 In addition to the review of site charac-
active waste; terization activities specified in this section,
(iv) Plans to control any adverse im- the Commission contemplates an ongoing re-
pacts from such site characterization view of other information on site investiga-
activities that are important to safety tion and site characterization, in order to
or that are important to waste isola- allow early identification of potential licens-
tion; and ing issues for timely resolution. This activ-
(v) Plans to apply quality assurance ity will include, for example, a review of the
environmental assessments prepared by DOE
to data collection, recording, and re- at the time of site nomination, and review of
tention.
issues related to long lead time exploratory

(3) Plans for the decontamination shaft planning and procurement actions by
and decommissioning of such area, and DOE prior to issuance of site characteriza-
for the mitigation of any significant tion plans.
175
§ 60.18 10 CFR Ch. I (1–1–11 Edition)
at the Public Document Room. The Di- analysis and a request for public com-
rector shall also transmit copies of the ment within a reasonable period, as
published notice of receipt to the Gov- specified (not less than 90 days). The
ernor and legislature of the State in notice along with copies of the site
which the area to be characterized is characterization analysis shall be
located and to the governing body of available at the NRC Web site, http://
any affected Indian Tribe. The Director www.nrc.gov, and copies of any com-
shall provide an opportunity, with re- ments received will also be made avail-
spect to any area to be characterized, able there.
for the State in which such area is lo- (g) During the conduct of site charac-
cated and for affected Indian Tribes to terization activities, DOE shall report
present their views on the site charac- not less than once every six months to
terization plan and their suggestions the Commission on the nature and ex-
with respect to comments thereon tent of such activities and the informa-
which may be made by NRC. In addition that has been developed, and on
tion, the Director shall make NRC staff the progress of waste form and waste
available to consult with States and af- package research and development.
fected Indian Tribes as provided in The semiannual reports shall include
Subpart C of this part. the results of site characterization
(c) The Director shall review the site studies, the identification of new
characterization plan and prepare a issues, plans for additional studies to
site characterization analysis with re- resolve new issues, elimination of
spect to such plan. In the preparation planned studies no longer necessary,
of such site characterization analysis, identification of decision points
the Director may invite and consider reached and modifications to schedules
the views of interested persons on where appropriate. DOE shall also re-
DOE’s site characterization plan and port its progress in developing the de-
may review and consider comments sign of a geologic repository operations
made in connection with public hear- area appropriate for the area being
ings held by DOE. characterized, noting when key design
(d) The Director shall provide to DOE parameters or features which depend
the site characterization analysis to- upon the results of site characteriza-
gether with such additional comments tion will be established. Other topics
as may be warranted. These comments related to site characterization shall
shall include either a statement that also be covered if requested by the Di-
the Director has no objection to the rector.
DOE’s site characterization program, if (h) During the conduct of site charac-
such a statement is appropriate, or spe- terization activities, NRC staff shall be
cific objections with respect to DOE’s permitted to visit and inspect the loca-
program for characterization of the tions at which such activities are car-
area concerned. In addition, the Direc- ried out and to observe excavations,
tor may make specific recommenda- borings, and in situ tests as they are
tions pertinent to DOE’s site charac- done.
terization program. (i) The Director may comment at any
(e) If DOE’s planned site character- time in writing to DOE, expressing cur-
ization activities include onsite testing rent views on any aspect of site charac-
with radioactive material, including terization. In particular, such com-
radioactive tracers, the Director’s comments shall be made whenever the Di-
ments shall include a determination rector, upon review of comments in-
regarding whether or not the Commis- vited on the site characterization anal-
sion concurs that the proposed use of ysis or upon review of DOE’s semi-
such radioactive material is necessary annual reports, determines that there
to provide data for the preparation of are substantial new grounds for mak-
the environmental reports required by ing recommendations or stating objec-
law and for an application to be sub- tions to DOE’s site characterization
mitted under § 60.22 of this part. program. The Director shall invite pub-
(f) The Director shall publish in the lic comment on any comments which
FEDERAL REGISTER a notice of avail- the Director makes to DOE upon re-
ability of the site characterization view of the DOE semiannual reports or
176
on any other comments which the Di- the location of the geologic repository
rector makes to DOE on site character- operations area, the general character
ization. of the proposed activities, and the basis
(j) The Director shall transmit copies for the exercise of licensing authority
of the site characterization analysis by the Commission.
and all comments to DOE made by the (2) Proposed schedules for construc-
Director under this section to the Gov- tion, receipt of waste, and emplace-
ernor and legislature of the State in ment of wastes at the proposed geo-
which the area to be characterized is logic repository operations area.
located and to the governing body of (3) A detailed plan to provide phys-
any affected Indian Tribe. When trans- ical protection of high-level radio-
mitting the site characterization anal- active waste in accordance with § 73.51
ysis under this paragraph, the Director of this chapter. This plan must include
shall invite the addressees to review the design for physical protection, the
and comment thereon. licensee’s safeguards contingency plan,
(k) All correspondence between DOE and security organization personnel
and the NRC under this section, includ- training and qualification plan. The
ing the reports described in paragraph plan must list tests, inspections, au-
(g), shall be placed in the Public Docu- dits, and other means to be used to
ment Room. demonstrate compliance with such re-
(l) The activities described in para-
quirements.
graphs (a) through (k) of this section
constitute informal conference be- (4) A description of the program to
tween a prospective applicant and the meet the requirements of § 60.78.
staff, as described in § 2.101(a)(1) of this (5) A description of site characteriza-
chapter, and are not part of a pro- tion work actually conducted by DOE
ceeding under the Atomic Energy Act at all sites considered in the applica-
of 1954, as amended. Accordingly, nei- tion and, as appropriate, explanations
ther the issuance of a site characteriza- of why such work differed from the de-
tion analysis nor any other comments scription of the site characterization
of the Director made under this section program described in the Site Charac-
constitutes a commitment to issue any terization Report for each site.
authorization or license or in any way (c) The Safety Analysis Report shall
affect the authority of the Commis- include:
sion, the Atomic Safety and Licensing (1) A description and assessment of
Appeal Board, Atomic Safety and Li- the site at which the proposed geologic
censing Boards, other presiding offi- repository operations area is to be lo-
cers, or the Director, in any such pro- cated with appropriate attention to
ceeding. those features of the site that might
[51 FR 27163, July 30, 1986, as amended at 64
affect geologic repository operations
FR 48954, Sept. 9, 1999] area design and performance. The de-
scription of the site shall identify the
LICENSE APPLICATIONS location of the geologic repository op-
erations area with respect to the
§ 60.21 Content of application. boundary of the accessible environ-
(a) An application shall consist of ment.
general information and a Safety Anal- (i) The description of the site shall
ysis Report. An environmental impact also include the following information
statement shall be prepared in accord- regarding subsurface conditions. This
ance with the Nuclear Waste Policy description shall, in all cases, include
Act of 1982, as amended, and shall ac- this information with respect to the
company the application. Any Re- postclosure controlled area. In addi-
stricted Data or National Security In- tion, where subsurface conditions out-
formation shall be separated from un- side the postclosure controlled area
classified information. may affect isolation within the
(b) The general information shall in- postclosure controlled area, the de-
clude: scription shall include information

(1) A general description of the pro- with respect to subsurface conditions
posed geologic repository identifying outside the postclosure controlled area
177
§ 60.21 10 CFR Ch. I (1–1–11 Edition)
to the extent the information is rel- the geologic repository operations

evant and material. The detailed infor- area, against the release of radioactive
mation referred to in this paragraph material to the environment. The anal-
shall include: ysis shall also include a comparative
(A) The orientation, distribution, ap- evaluation of alternatives to the major
erture in-filling and origin of fractures, design features that are important to
discontinuities, and heterogeneities; waste isolation, with particular atten-
(B) The presence and characteristics tion to the alternatives that would pro-
of other potential pathways such as so- vide longer radionuclide containment
lution features, breccia pipes, or other and isolation.
potentially permeable features; (E) An analysis of the performance of
(C) The geomechanical properties and the major design structures, systems,
conditions, including pore pressure and and components, both surface and sub-
ambient stress conditions; surface, to identify those that are im-
(D) The hydrogeologic properties and portant to safety. For the purposes of
conditions; this analysis, it shall be assumed that
(E) The geochemical properties; and operations at the geologic repository
(F) The anticipated response of the operations area will be carried out at
geomechanical, hydrogeologic, and the maximum capacity and rate of re-
geochemical systems to the maximum ceipt of radioactive waste stated in the
design thermal loading, given the pat- application.
tern of fractures and other discontinu- (F) An explanation of measures used
ities and the heat transfer properties of to support the models used to perform
the rock mass and groundwater. the assessments required in paragraphs
(ii) The assessment shall contain: (A) through (D). Analyses and models
(A) An analysis of the geology, geo- that will be used to predict future con-
physics, hydrogeology, geochemistry, ditions and changes in the geologic set-
climatology, and meteorology of the
ting shall be supported by using an ap-
site,
propriate combination of such methods
(B) Analyses to determine the degree
as field tests, in situ tests, laboratory
to which each of the favorable and po-
tests which are representative of field
tentially adverse conditions, if present,
conditions, monitoring data, and nat-
has been characterized, and the extent
ural analog studies.
to which it contributes to or detracts
(2) A description and discussion of
from isolation. For the purpose of de-
the design, both surface and sub-
termining the presence of the poten-
surface, of the geologic repository op-
tially adverse conditions, investiga-
erations area including:
tions shall extend from the surface to a
depth sufficient to determine critical (i) The principal design criteria and
pathways for radionuclide migration their relationship to any general per-
from the underground facility to the formance objectives promulgated by
accessible environment. Potentially the Commission,
adverse conditions shall be inves- (ii) The design bases and the relation
tigated outside of the postclosure con- of the design bases to the principal de-
trolled area if they affect isolation sign criteria,
within the postclosure controlled area. (iii) Information relative to mate-
(C) An evaluation of the performance rials of construction (including geo-
of the proposed geologic repository for logic media, general arrangement, and
the period after permanent closure, as- approximate dimensions), and
suming anticipated processes and (iv) Codes and standards that DOE
events, giving the rates and quantities proposes to apply to the design and
of releases of radionuclides to the ac- construction of the geologic repository
cessible environment as a function of operations area.
time; and a similar evaluation which (3) A description and analysis of the
assumes the occurrence of unantici- design and performance requirements
pated processes and events. for structures, systems, and compo-
(D) The effectiveness of engineered nents of the geologic repository that

and natural barriers, including barriers are important to safety. The analysis
that may not be themselves a part of must include a demonstration that—
178
(i) The requirements of § 60.111(a) will discovered deposits, the exploitation of

be met, assuming occurrence of Cat- which could affect the ability of the
egory 1 design basis events; and geologic repository to isolate radio-
(ii) The requirements of § 60.136 will active wastes. Undiscovered deposits of
be met, assuming occurrence of Cat- resources characteristic of the area
egory 2 design basis events. shall be estimated by reasonable infer-
(4) A description of the quality assur- ence based on geological and geo-
ance program to be applied to the physical evidence. This evaluation of
structures, systems, and components resources, including undiscoverd depos-
important to safety and to the engi- its, shall be conducted for the site and
neered and natural barriers important for areas of similar size that are rep-
to waste isolation. resentative of and are within the geo-
(5) A description of the kind, amount, logic setting. For natural resources
and specifications of the radioactive with current markets the resources
material proposed to be received and shall be assessed, with estimates pro-
possessed at the geologic repository op- vided of both gross and net value. The
erations area. estimate of net value shall take into
(6) An identification and justification account current development, extrac-
for the selection of those variables, tion and marketing costs. For natural
conditions, or other items which are resources without current markets, but
determined to be probable subjects of which would be marketable given cred-
license specifications. Special atten- ible projected changes in economic or
tion shall be given to those items that technological factors, the resources
may significantly influence the final shall be described by physical factors
design. such as tonnage or other amount,
(7) A description of the program for grade, and quality.
control and monitoring of radioactive (14) An identification of those struc-
effluents and occupational radiation tures, systems, and components of the
exposures to maintain such effluents geologic repository, both surface and
and exposures in accordance with the subsurface, which require research and
requirements of part 20 of this chapter. development to confirm the adequacy
(8) A description of the controls that of design. For structures, systems, and
the applicant will apply to restrict ac- components important to safety and
cess and to regulate land use at the for the engineered and natural barriers
site and adjacent areas, including a
important to waste isolation, DOE
conceptual design of monuments which
shall provide a detailed description of
would be used to identify the
the programs designed to resolve safety
postclosure controlled area after per-
questions, including a schedule indi-
manent closure.
cating when these questions would be
(9) Plans for coping with radiological
resolved.
emergencies at any time prior to per-
manent closure and decontamination (15) The following information con-
or dismantlement of surface facilities. cerning activities at the geologic re-
(10) A description of the program to pository operations area:
be used to maintain the records de- (i) The organizational structure of
scribed in §§ 60.71 and 60.72. DOE as it pertains to construction and
(11) A description of design consider- operation of the geologic repository op-
ations that are intended to facilitate erations area including a description of
permanent closure and decontamina- any delegations of authority and as-
tion or dismantlement of surface facili- signments of responsibilities, whether
ties. in the form of regulations, administra-
(12) A description of plans for re- tive directives, contract provisions, or
trieval and alternate storage of the ra- otherwise.
dioactive wastes should the geologic (ii) Identification of key positions
repository prove to be unsuitable for which are assigned responsibility for
disposal of radioactive wastes. safety at and operation of the geologic
(13) An identification and evaluation repository operations area.

of the natural resources of the geologic (iii) Personnel qualifications and
setting, including estimates as to un- training requirements.
179
§ 60.22 10 CFR Ch. I (1–1–11 Edition)
(iv) Plans for startup activities and instructions from the Director or the
startup testing. Director’s designee.
(v) Plans for conduct of normal ac- (c) DOE shall, upon notification of
tivities, including maintenance, sur- the appointment of an Atomic Safety
veillance, and periodic testing of struc- and Licensing Board, update the appli-
tures, systems, and components of the cation, eliminating all superseded in-
geologic repository operation area. formation, and supplement the envi-
(vi) Plans for permanent closure and ronmental impact statement if nec-
plans for the decontamination or dis- essary, and serve the updated applica-
mantlement of surface facilities. tion and environmental impact state-
(vii) Plans for any uses of the geo- ment (as it may have been supple-
logic repository operations area for mented) as directed by the Board. At
purposes other than disposal of radio- that time DOE shall also serve one
active wastes, with an analysis of the such copy of the application and envi-
effects, if any, that such uses may have ronmental impact statement on the
upon the operation of the structures, Atomic Safety and Licensing Appeal
systems, and components important to Panel. Any subsequent amendments to
safety and the engineered and natural the application or supplements to the
barriers important to waste isolation. environmental impact statement shall
(d) The applicant for a license to re- be served in the same manner.
ceive and possess source, special nu- (d) At the time of filing of an applica-
clear, and byproduct material at a geo- tion and any amendments thereto, one
logic repository operations area sited, copy shall be made available in an ap-
constructed, or operated in accordance propriate location near the proposed
with the Nuclear Waste Policy Act of geologic repository operations area
1982 shall protect Safeguards Informa- (which shall be a public document
tion in accordance with the require- room, if one has been established) for
ments in § 73.21 and the requirements in inspection by the public and updated as
§ 73.22 or § 73.23 of this chapter, as appli- amendments to the application are
cable, and shall protect classified infor- made. The environmental impact
mation in accordance with the require- statement and any supplements there-
ments of parts 25 and 95 of this chapter, to shall be made available in the same
as applicable. manner. An updated copy of the appli-
cation, and the environmental impact
[46 FR 13980, Feb. 25, 1981, as amended at 48 statement and supplements, shall be
FR 28219, June 21, 1983; 54 FR 27871, July 3,
1989; 61 FR 64268, Dec. 4, 1996; 63 FR 26961,
produced at any public hearing held by
May 15, 1998; 73 FR 63571, Oct. 24, 2008] the Commission on the application, for
use by any party to the proceeding.
§ 60.22 Filing and distribution of appli- (e) The DOE shall certify that the up-
cation. dated copies of the application, and the
(a) An application for a construction environmental impact statement as it
authorization for a high-level radio- may have been supplemented, as re-
active waste repository at a geologic ferred to in paragraphs (c) and (d) of
repository operations area, and an ap- this section, contain the current con-
plication for a license to receive and tents of such documents submitted in
possess source, special nuclear, or by- accordance with the requirements of
product material at a geologic reposi- this part.
tory operations area at a site which [54 FR 27871, July 3, 1989, as amended at 68
has been characterized, and any FR 58814, Oct. 10, 2003; 69 FR 2279, Jan. 14,
amendments thereto, and an accom- 2004]
panying environmental impact state-
ment and any supplements, shall be § 60.23 Elimination of repetition.
signed by the Secretary of Energy or In its application, environmental re-
the Secretary’s authorized representa- port, or Site Characterization Report,
tive and must be filed with the Direc- the DOE may incorporate by reference
tor. information contained in previous ap-
(b) DOE shall maintain the capability plications, statements, or reports filed
to generate additional copies for dis- with the Commission: Provided, That
tribution in accordance with written such references are clear and specific
180
and that copies of the information so (1) DOE has described the proposed
incorporated are available in the public geologic repository including but not
document room located near the site of limited to: (i) The geologic, geo-
the proposed geologic repository. physical, geochemical and hydrologic
characteristics of the site; (ii) the
§ 60.24 Updating of application and en- kinds and quantities of radioactive
vironmental impact statement. waste to be received, possessed, stored,
(a) The application shall be as com- and disposed of in the geologic reposi-
plete as possible in the light of infor- tory operations area; (iii) the principal
mation that is reasonably available at architectural and engineering criteria
the time of docketing. for the design of the geologic reposi-
(b) The DOE shall update its applica- tory operations area; (iv) construction
tion in a timely manner so as to permit procedures which may affect the capa-
the Commission to review, prior to bility of the geologic repository to
issuance of a license: serve its intended function; and (v) fea-
(1) Additional geologic, geophysical, tures or components incorporated in
geochemical, hydrologic, meteorologic the design for the protection of the
and other data obtained during con- health and safety of the public.
struction. (2) The site and design comply with
(2) Conformance of construction of the performance objectives and criteria
structures, systems, and components contained in Subpart E of this part.
with the design. (3) The DOE’s quality assurance pro-
(3) Results of research programs car- gram complies with the requirements
ried out to confirm the adequacy of de- of Subpart G of this part.
signs. (4) The DOE’s personnel training pro-
(4) Other information bearing on the gram complies with the criteria con-
Commission’s issuance of a license that tained in Subpart H of this part.
was not available at the time a con- (5) The DOE’s emergency plan com-
struction authorization was issued. plies with the criteria contained in
(c) The DOE shall supplement its en- Subpart I of this part.
vironmental impact statement in a (6) The DOE’s proposed operating
timely manner so as to take into ac- procedures to protect health and to
count the environmental impacts of minimize danger to life or property are
any substantial changes in its proposed adequate.
actions or any significant new cir- (b) Common defense and security. That
cumstances or information relevant to there is reasonable assurance that the
environmental concerns and bearing on activities proposed in the application
the proposed action or its impacts. will not be inimical to the common de-
[46 FR 13980, Feb. 25, 1981, as amended at 54
fense and security.
FR 27872, July 3, 1989] (c) Environmental. That, after weigh-
ing the environmental, economic, tech-
CONSTRUCTION AUTHORIZATION nical and other benefits against envi-
ronmental costs and considering avail-
§ 60.31 Construction authorization. able alternatives, the action called for
Upon review and consideration of an is issuance of the construction author-
application and environmental impact ization, with any appropriate condi-
statement submitted under this part, tions to protect environmental values.
the Commission may authorize con- [46 FR 13980, Feb. 25, 1981, as amended at 48
struction if it determines: FR 28220, June 21, 1983; 54 FR 27872, July 3,
(a) Safety. That there is reasonable 1989; 63 FR 26961, May 15, 1998]
assurance that the types and amounts
of radioactive materials described in § 60.32 Conditions of construction au-
the application can be received, pos- thorization.
sessed, and disposed of in a geologic re- (a) A construction authorization
pository operations area of the design shall include such conditions as the
proposed without unreasonable risk to Commission finds to be necessary to
the health and safety of the public. In protect the health and safety of the
arriving at this determination, the public, the common defense and secu-
Commission shall consider whether: rity, or environmental values.
181
§ 60.33 10 CFR Ch. I (1–1–11 Edition)
(b) The Commission will incorporate § 60.33 Amendment of construction au-

in the construction authorization pro- thorization.
visions requiring DOE to furnish peri- (a) An application for amendment of
odic or special reports regarding: (1)
a construction authorization shall be
Progress of construction, (2) any data
filed with the Commission fully de-
about the site obtained during con-
scribing any changes desired and fol-
struction which are not within the pre-
dicted limits upon which the facility lowing as far as applicable the format
design was based, (3) any deficiencies prescribed in § 60.21.
in design and construction which, if (b) In determining whether an
uncorrected, could adversely affect amendment of a construction author-
safety at any future time, and (4) re- ization will be approved, the Commis-
sults of research and development pro- sion will be guided by the consider-
grams being conducted to resolve safe- ations which govern the issuance of the
ty questions. initial construction authorization, to
(c) The construction authorization the extent applicable.
will include restrictions on subsequent
changes to the features of the geologic LICENSE ISSUANCE AND AMENDMENT
repository and the procedures author-
§ 60.41 Standards for issuance of a li-
ized. The restrictions that may be im- cense.
posed under this paragraph can include
measures to prevent adverse effects on A license to receive and possess
the geologic setting as well as meas- source, special nuclear, or byproduct
ures related to the design and con- material at a geologic repository oper-
struction of the geologic repository op- ations area may be issued by the Com-
erations area. These restrictions will mission upon finding that:
fall into three categories of descending (a) Construction of the geologic re-
importance to public health and safety pository operations area has been sub-
as follows: (1) Those features and pro- stantially completed in conformity
cedures which may not be changed with the application as amended, the
without: (i) 60 days prior notice to the provisions of the Atomic Energy Act,
Commission (ii) 30 days notice of op- and the rules and regulations of the
portunity for a prior hearing, and (iii) Commission. Construction may be
prior Commission approval; (2) those deemed to be substantially complete
features and procedures which may not for the purposes of this paragraph if
be changed without (i) 60 days prior no- the construction of (1) surface and
tice to the Commission, and (ii) prior interconnecting structures, systems,
Commission approval; and (3) those and components, and (2) any under-
features and procedures which may not ground storage space required for ini-
be changed without 60 days notice to tial operation are substantially com-
the Commission. Features and proce- plete.
dures falling in paragraph (c)(3) of this
(b) The activities to be conducted at
section may not be changed without
the geologic repository operations area
prior Commission approval if the Com-
mission, after having received the re- will be in conformity with the applica-
quired notice, so orders. tion as amended, the provisions of the
(d) A construction authorization Atomic Energy Act and the Energy Re-
shall be subject to the limitation that organization Act, and the rules and
a license to receive and possess source, regulations of the Commission.
special nuclear, or byproduct material (c) The issuance of the license will
at the geologic repository operations not be inimical to the common defense
area shall not be issued by the Com- and security and will not constitute an
mission until (1) the DOE has updated unreasonable risk to the health and
its application as specified in § 60.24, safety of the public.
and (2) the Commission has made the (d) All applicable requirements of
findings stated in § 60.41. part 51 have been satisfied.

[46 FR 13980, Feb. 25, 1981, as amended at 48 [46 FR 13980, Feb. 25, 1981, as amended at 63
FR 28221, June 21, 1983] FR 26961, May 15, 1998]
182
§ 60.42 Conditions of license. from the analyses and evaluations in-

cluded in the application, including
(a) A license issued pursuant to this
amendments made before a license is
part shall include such conditions, in-
issued, together with such additional
cluding license specifications, as the
conditions as the Commission finds ap-
Commission finds to be necessary to
propriate.
protect the health and safety of the
(b) License conditions shall include
public, the common defense and secu-
items in the following categories:
rity, and environmental values.
(1) Restrictions as to the physical
(b) Whether stated therein or not, the
and chemical form and radioisotopic
following shall be deemed conditions in
content of radioactive waste.
every license issued:
(2) Restrictions as to size, shape, and
(1) The license shall be subject to rev-
materials and methods of construction
ocation, suspension, modification, or
of radioactive waste packaging.
amendment for cause as provided by (3) Restrictions as to the amount of
the Atomic Energy Act and the Com- waste permitted per unit volume of
mission’s regulations. storage space considering the physical
(2) The DOE shall at any time while characteristics of both the waste and
the license is in effect, upon written re- the host rock.
quest of the Commission, submit writ- (4) Requirements relating to test,
ten statements to enable the Commis- calibration, or inspection to assure
sion to determine whether or not the that the foregoing restrictions are ob-
license should be modified, suspended served.
or revoked. (5) Controls to be applied to re-
(3) The license shall be subject to the stricted access and to avoid disturb-
provisions of the Atomic Energy Act ance to the postclosure controlled area
now or hereafter in effect and to all and to areas outside the controlled
rules, regulations, and orders of the area where conditions may affect isola-
Commission. The terms and conditions tion within the controlled area.
of the license shall be subject to (6) Administrative controls, which
amendment, revision, or modification, are the provisions relating to organiza-
by reason of amendments to or by rea- tion and management, procedures, rec-
son of rules, regulations, and orders ordkeeping, review and audit, and re-
issued in accordance with the terms of porting necessary to assure that activi-
the Atomic Energy Act. ties at the facility are conducted in a
(c) Each license shall be deemed to safe manner and in conformity with
contain the provisions set forth in Sec- the other license specifications.
tion 183 b-d, inclusive, of the Atomic
Energy Act, whether or not these pro- [46 FR 13980, Feb. 25, 1981, as amended at 48
visions are expressly set forth in the li- FR 28221, June 21, 1983; 61 FR 64268, Dec. 4,
1996]
cense.
(d) The licensee (Department of En- § 60.44 Changes, tests, and experi-
ergy) shall ensure that Safeguards In- ments.
formation is protected against unau-
(a)(1) Following authorization to re-
thorized disclosure in accordance with
ceive and possess source, special nu-
the requirements in § 73.21 and the re-
clear, or byproduct material at a geo-
quirements in § 73.22 or § 73.23 of this
logic repository operations area, the
chapter, as applicable. The licensee
DOE may (i) make changes in the geo-
(Department of Energy) shall ensure
logic repository operations area as de-
that classified information is protected
scribed in the application, (ii) make
in accordance with the requirements of
changes in the procedures as described
parts 25 and 95 of this chapter, as appli-
in the application, and (iii) conduct
cable.
tests or experiments not described in
[46 FR 13980, Feb. 25, 1981, as amended at 73 the application, without prior Commis-
FR 63571, Oct. 24, 2008] sion approval, provided the change,
test, or experiment involves neither a
§ 60.43 License specification. change in the license conditions incor-

(a) A license issued under this part porated in the license nor an
shall include license conditions derived unreviewed safety question.
183
§ 60.45 10 CFR Ch. I (1–1–11 Edition)
(2) A proposed change, test, or experi- by the considerations that govern the
ment shall be deemed to involve an issuance of the initial license, to the
unreviewed safety question if (i) the extent applicable.
likelihood of occurrence or the con-
sequences of an accident or malfunc- § 60.46 Particular activities requiring
tion of equipment important to safety license amendment.
previously evaluated in the application (a) Unless expressly authorized in the
is increased, (ii) the possibility of an license, an amendment of the license
accident or malfunction of a different shall be required with respect to any of
type than any previously evaluated in the following activities:
the application is created, or (iii) the (1) Any action which would make em-
margin of safety as defined in the basis placed high-level radioactive waste ir-
for any license condition is reduced. retrievable or which would substan-
(b) The DOE shall maintain records tially increase the difficulty of retriev-
of changes in the geologic repository ing such emplaced waste.
operations area and of changes in pro- (2) Dismantling of structures.
cedures made pursuant to this section, (3) Removal or reduction of controls
to the extent that such changes con- applied to restrict access to or avoid
stitute changes in the geologic reposi- disturbance of the controlled area and
tory operations area or procedures as to areas outside the postclosure con-
described in the application. Records of trolled area where conditions may af-
tests and experiments carried out pur- fect isolation within the controlled
suant to paragraph (a) of this section area.
shall also be maintained. These records (4) Destruction or disposal of records
shall include a written safety evalua- required to be maintained under the
tion which provides the basis for the provisions of this part.
determination that the change, test, or (5) Any substantial change to the de-
experiment does not involve an sign or operating procedures from that
unreviewed safety question. The DOE specified in the license.
shall prepare annually, or at such (6) Permanent closure.
shorter intervals as may be specified in (7) Any other activity involving an
the license, a report containing a brief unreviewed safety question.
description of such changes, tests, and (b) An application for such an amend-
experiments, including a summary of ment shall be filed, and shall be re-
the safety evaluation of each. The DOE viewed, in accordance with the provi-
shall furnish the report to the appro- sions of § 60.45.
priate NRC Regional Office shown in
appendix D to part 20 of this chapter, [46 FR 13980, Feb. 25, 1981, as amended at 48
FR 28221, June 21, 1983; 61 FR 64268, Dec. 4,
by an appropriate method listed in
1996]
§ 60.4(a), with a copy to the Director of
the NRC’s Office of Nuclear Material US/IAEA SAFEGUARDS AGREEMENT
Safety and Safeguards. Any report sub-
mitted pursuant to this paragraph § 60.47 Facility information and
shall be made a part of the public verification.
record of the licensing proceedings. (a) In response to a written request
[46 FR 13980, Feb. 25, 1981, as amended at 52 by the Commission, each applicant for
FR 31612, Aug. 21, 1987; 68 FR 58814, Oct. 10, a construction authorization or license
2003] and each recipient of a construction
authorization or a license shall submit
§ 60.45 Amendment of license. facility information, as described in
(a) An application for amendment of § 75.10 of this chapter, on Form N–71
a license may be filed with the Com- and associated forms, and site informa-
mission fully describing the changes tion on DOC/NRC Form AP–A and asso-
desired and following as far as applica- ciated forms;
ble the format prescribed for license (b) As required by the Additional
applications. Protocol, applicants and licensees spec-
(b) In determining whether an ified in paragraph (a) of this section

amendment of a license will be ap- shall submit location information de-
proved, the Commission will be guided scribed in § 75.11 of this chapter on
184
DOC/NRC Form AP–1 and associated (4) The results of tests, experiments,
forms; and any other analyses relating to
(c) Shall permit verification thereof backfill of excavated areas, shaft seal-
by the International Atomic Energy ing, waste interaction with the host
Agency (IAEA) and take other action rock, and any other tests, experiments,
as necessary to implement the US/ or analyses pertinent to the long-term
IAEA Safeguards Agreement, as de- isolation of emplaced wastes within the
scribed in part 75 of this chapter. geologic repository.
(5) Any substantial revision of plans
[73 FR 78605, Dec. 23, 2008]
for permanent closure.
PERMANENT CLOSURE (6) Other information bearing upon
permanent closure that was not avail-
§ 60.51 License amendment for perma- able at the time a license was issued.
nent closure. (b) If necessary, so as to take into ac-
(a) DOE shall submit an application count the environmental impact of any
to amend the license prior to perma- substantial changes in the permanent
nent closure. The submission shall con- closure activities proposed to be car-
sist of an update of the license applica- ried out or any significant new infor-
tion submitted under §§ 60.21 and 60.22, mation regarding the environmental
including: impacts of such closure, DOE shall also
(1) A description of the program for supplement its environmental impact
post-permanent closure monitoring of statement and submit such statement,
the geologic repository. as supplemented, with the application
(2) A detailed description of the for license amendment.
measures to be employed—such as land [46 FR 13980, Feb. 25, 1981, as amended at 48
use controls, construction of monu- FR 28221, June 21, 1983; 54 FR 27872, July 3,
ments, and preservation of records—to 1989; 61 FR 64268, Dec. 4, 1996]
regulate or prevent activities that
could impair the long-term isolation of § 60.52 Termination of license.
emplaced waste within the geologic re- (a) Following permanent closure and
pository and to assure that relevant in- the decontamination or dismantlement
formation will be preserved for the use of surface facilities, DOE may apply for
of future generations. As a minimum, an amendment to terminate the li-
such measures shall include: cense.
(i) Identification of the postclosure (b) Such application shall be filed,
controlled area and geologic repository and will be reviewed, in accordance
operations area by monuments that with the provisions of § 60.45 and this
have been designed, fabricated, and em- section.
placed to be as permanent as is prac- (c) A license shall be terminated only
ticable; and when the Commission finds with re-
(ii) Placement of records in the ar- spect to the geologic repository:
chives and land record systems of local (1) That the final disposition of radio-
State, and Federal government agen- active wastes has been made in con-
cies, and archives elsewhere in the formance with the DOE’s plan, as
world, that would be likely to be con- amended and approved as part of the li-
sulted by potential human intruders— cense.
such records to identify the location of (2) That the final state of the geo-
the geologic repository operations logic repository operations area con-
area, including the underground facil- forms to DOE’s plans for permanent
ity, boreholes and shafts, and the closure and DOE’s plans for the decon-
boundaries of the postclosure contamination or dismantlement of sur-
trolled area, and the nature and hazard face facilities, as amended and ap-
of the waste. proved as part of the license.
(3) Geologic, geophysical, geo- (3) That the termination of the li-
chemical, hydrologic, and other site cense is authorized by law, including
data that are obtained during the oper- sections 57, 62, and 81 of the Atomic En-
ational period pertinent to the long- ergy Act, as amended.

term isolation of emplaced radioactive [46 FR 13980, Feb. 25, 1981, as amended at 48
wastes. FR 28222, June 21, 1983]
185
§ 60.61 10 CFR Ch. I (1–1–11 Edition)
Subpart C—Participation by State (c) Consultation under this section

Governments and Affected may include:
(1) Keeping the parties informed of
Indian Tribes the Director’s views on the progress of
site characterization.
SOURCE: 51 FR 27164, July 30, 1986, unless (2) Review of applicable NRC regula-
otherwise noted. tions, licensing procedures, schedules,
and opportunities for State and Tribe
§ 60.61 Provision of information.
participation in the Commission’s reg-
(a) The Director shall provide to the ulatory activities.
Governor and legislature of any State (3) Cooperation in development of
in which a geologic repository oper- proposals for State and Tribe participa-
ations area is or may be located, and to tion in license reviews.
the governing body of any affected In-
dian Tribe, timely and complete infor- § 60.63 Participation in license re-
mation regarding determinations or views.
plans made by the Commission with re- (a) State, local governmental bodies,
spect to the site characterization, and affected, Federally-recognized In-
siting, development, design, licensing, dian Tribes may participate in license
construction, operation, regulation, reviews as provided in subpart J of part
permanent closure, or decontamination 2 of this chapter. A State in which a re-
and dismantlement of surface facili- pository for high-level radioactive
ties, of such geologic repository oper- waste is proposed to be located and any
ations area. affected, Federally-recognized Indian
(b) For purposes of this section, a Tribe shall have an unquestionable
geologic repository operations area legal right to participate as a party in
shall be considered to be one which such proceedings.
‘‘may be located’’ in a State if the loca- (b) In addition, whenever an area has
tion thereof in such State has been de- been approved by the President for site
scribed in a site characterization plan characterization, a State or an affected
submitted to the Commission under Indian Tribe may submit to the Direc-
this part. tor a proposal to facilitate its partici-
(c) Notwithstanding paragraph (a) of pation in the review of a site charac-
this section, the Director is not re- terization plan and/or license applica-
quired to distribute any document to tion. The proposal may be submitted at
any entity if, with respect to such doc- any time and must contain a descrip-
ument, that entity or its counsel is in- tion and schedule of how the State or
cluded on a service list prepared pursu- affected Indian Tribe wishes to partici-
ant to part 2 of this chapter. pate in the review, or what services or
(d) Copies of all communications by activities the State or affected Indian
the Director under this section are Tribe wishes NRC to carry out, and
available at the NRC Web site, http:// how the services or activities proposed
www.nrc.gov, and/or at the NRC Public to be carried out by NRC would con-
Document Room, and copies are fur- tribute to such participation. The pro-
nished to DOE. posal may include educational or infor-
mation services (seminars, public
[51 FR 27164, July 30, 1986, as amended at 64 meetings) or other actions on the part
FR 48954, Sept. 9, 1999] of NRC, such as employment or ex-
change of State personnel under the
§ 60.62 Site review.
Intergovernmental Personnel Act.
(a) Whenever an area has been ap- (c) The Director shall arrange for a
proved by the President for site charac- meeting between the representatives of
terization, and upon request of a State the State or affected Indian Tribe and
or an affected Indian Tribe, the Direc- the NRC staff to discuss any proposal
tor shall make NRC staff available to submitted under paragraph (b) of this
consult with representatives of such section, with a view to identifying any
States and Tribes. modifications that may contribute to

(b) Requests for consultation shall be the effective participation by such
made in writing to the Director. State or Tribe.
186
(d) Subject to the availability of Subpart D—Records, Reports,

funds, the Director shall approve all or Tests, and Inspections
any part of a proposal, as it may be
modified through the meeting de- § 60.71 Records and reports.
scribed above, if it is determined that:
(a) DOE shall maintain such records
(1) The proposed activities are suit-
and make such reports in connection
able in light of the type and magnitude
with the licensed activity as may be re-
of impacts which the State or affected quired by the conditions of the license
Indian Tribe may bear; or by rules, regulations, and orders of
(2) The proposed activities: the Commission as authorized by the
(i) Will enhance communications be- Atomic Energy Act and the Energy Re-
tween NRC and the State or affected organization Act.
Indian Tribe; (b) Records of the receipt, handling,
(ii) Will make a productive and time- and disposition of radioactive waste at
ly contribution to the review; and a geologic repository operations area
(iii) Are authorized by law. shall contain sufficient information to
(e) The Director will advise the State provide a complete history of the
or affected Indian Tribe whether its movement of the waste from the ship-
proposal has been accepted or denied, per through all phases of storage and
and if all or any part of proposal is de- disposal. DOE shall retain these
nied, the Director shall state the rea- records in a manner that ensures their
son for the denial. useability for future generations in ac-
(f) Proposals submitted under this cordance with § 60.51(a)(2).
section, and responses thereto, shall be
made available at the NRC Web site, [48 FR 28222, June 21, 1983, as amended at 53
FR 19251, May 27, 1988]
http://www.nrc.gov, and/or at the NRC
Public Document Room. § 60.72 Construction records.
[51 FR 27164, July 30, 1986, as amended at 64 (a) DOE shall maintain records of
FR 48954, Sept. 9, 1999; 69 FR 2279, Jan. 14, construction of the geologic repository
2004]
operations area in a manner that en-
§ 60.64 Notice to States. sures their useability for future gen-
erations in accordance with § 60.51(a)(2).
If the Governor and legislature of a (b) The records required under para-
State have jointly designated on their graph (a) shall include at least the fol-
behalf a single person or entity to re- lowing:
ceive notice and information from the (1) Surveys of the underground facil-
Commission under this part, the Com- ity excavations, shafts, and boreholes
mission will provide such notice and referenced to readily identifiable sur-
information to the jointly designated face features or monuments;
person or entity instead of the Gov-
(2) A description of the materials en-
ernor and legislature separately.
countered;
§ 60.65 Representation. (3) Geologic maps and geologic cross
sections;
Any person who acts under this sub- (4) Locations and amount of seepage;
part as a representative for a State (or
(5) Details of equipment, methods,
for the Governor or legislature thereof)
progress, and sequence of work;
or for an affected Indian Tribe shall in-
(6) Construction problems;
clude in the request or other submis-
(7) Anomalous conditions encoun-
sion, or at the request of the Commis-
tered;
sion, a statement of the basis of his or
(8) Instrument locations, readings,
her authority to act in such represent-
and analysis;
ative capacity.
(9) Location and description of struc-
tural support systems;

(10) Location and description of
dewatering systems; and
187
§ 60.73 10 CFR Ch. I (1–1–11 Edition)
(11) Details, methods of emplace- sonable notice, records kept by DOE

ment, and location of seals used. pertaining to activities under this part.
[48 FR 28222, June 21, 1983, as amended at 53 (c)(1) DOE shall upon requests by the
FR 19251, May 27, 1988] Director, Office of Nuclear Material
Safety and Safeguards, provide rent-
§ 60.73 Reports of deficiencies. free office space for the exclusive use of
DOE shall promptly notify the Com- the Commission inspection personnel.
mission of each deficiency found in the Heat, air-conditioning, light, electrical
characteristics of the site, and design outlets and janitorial services shall be
and construction of the geologic reposi- furnished by DOE. The office shall be
tory operations area which, were it to convenient to and have full access to
remain uncorrected, could: (a) Be a the facility and shall provide the in-
substantial safety hazard, (b) represent spector both visual and acoustic pri-
a significant deviation from the design vacy.
criteria and design bases stated in the (2) The space provided shall be ade-
application, or (c) represent a devi- quate to accommodate a full-time in-
ation from the conditions stated in the spector, a part-time secretary and
terms of a construction authorization transient NRC personnel and will be
or the license, including license speci- generally commensurate with other of-
fications. The notification shall be in fice facilities at the geologic repository
the form of a written report, copies of operations area. A space of 250 square
which shall be sent to the Director and
feet either within the geologic reposi-
to the appropriate Nuclear Regulatory
tory operations area’s office complex
Commission Regional Office listed in
appendix D of part 20 of this chapter. or in an office trailer or other onsite
space at the geologic repository oper-
[48 FR 28222, June 21, 1983] ations area is suggested as a guide. For
locations at which activities are car-
§ 60.74 Tests.
ried out under licenses issued under
(a) DOE shall perform, or permit the other parts of this chapter, additional
Commission to perform, such tests as space may be requested to accomodate
the Commission deems appropriate or additional full-time inspectors. The Of-
necessary for the administration of the fice space that is provided shall be sub-
regulations in this part. These may in- ject to the approval of the Director, Of-
clude tests of: fice of Nuclear Material Safety and
(1) Radioactive waste, Safeguards. All furniture, supplies and
(2) The geologic repository including communication equipment will be fur-
its structures, systems, and compo- nished by the Commission.
nents,
(3) DOE shall afford any NRC resi-
(3) Radiation detection and moni-
dent inspector assigned to that loca-
toring instruments, and
tion, or other NRC inspectors identi-
(4) Other equipment and devices used
in connection with the receipt, han- fied by the Regional Administrator as
dling, or storage of radioactive waste. likely to inspect the facility, imme-
(b) The tests required under this sec- diate unfettered access, equivalent to
tion shall include a performance con- access provided regular employees, fol-
firmation program carried out in ac- lowing proper identification and com-
cordance with subpart F of this part. pliance with applicable access control
measures for security, radiological pro-
[48 FR 28222, June 21, 1983]
tection and personal safety.
§ 60.75 Inspections. [48 FR 28222, June 21, 1983, as amended at 52
(a) DOE shall allow the Commission FR 31612, Aug. 21, 1987]
to inspect the premises of the geologic
repository operations area and adja- § 60.78 Material control and account-
ing records and reports.
cent areas to which DOE has rights of
access. DOE shall implement a program of

(b) DOE shall make available to the material control and accounting (and
Commission for inspection, upon rea- accidental criticality reporting) that is
188
the same as that specified in §§ 72.72, (b) Subpart B of this part also lists
72.74, 72.76, and 72.78 of this chapter. findings that must be made in support
of an authorization to construct a geo-
[63 FR 26961, May 15, 1998]
logic repository operations area. In
particular, § 60.31(a) requires a finding
Subpart E—Technical Criteria that there is reasonable assurance that
the types and amounts of radioactive
SOURCE: 48 FR 28222, June 21, 1983, unless materials described in the application
otherwise noted. can be received, possessed, and disposed
of in a geologic repository operations
§ 60.101 Purpose and nature of find- area of the design proposed without un-
ings. reasonable risk to the health and safe-
(a)(1) Subpart B of this part pre- ty of the public. As stated in that para-
scribes the standards for issuance of a graph, in arriving at this determina-
license to receive and possess source, tion, the Commission will consider
special nuclear, or byproduct material whether the site and design comply
at a geologic repository operations with the criteria contained in this sub-
area. In particular, § 60.41(c) requires a part. Once again, while the criteria
finding that the issuance of a license may be written in unqualified terms,
will not constitute an unreasonable the demonstration of compliance may
risk to the health and safety of the take uncertainties and gaps in knowl-
public. The purpose of this subpart is edge into account, provided that the
to set out performance objectives and Commission can make the specified
site and design criteria which, if satis- finding of reasonable assurance as spec-
fied, will support such a finding of no ified in paragraph (a) of this section.
unreasonable risk.
(2) While these performance objec- § 60.102 Concepts.
tives and criteria are generally stated This section provides a functional
in unqualified terms, it is not expected overview of subpart E. In the event of
that complete assurance that they will any inconsistency with definitions
be met can be presented. A reasonable found in § 60.2, those definitions shall
assurance, on the basis of the record prevail.
before the Commission, that the objec- (a) The HLW facility. NRC exercises
tives and criteria will be met is the licensing and related regulatory au-
general standard that is required. For thority over those facilities described
§ 60.112, and other portions of this sub- in section 202 (3) and (4) of the Energy
part that impose objectives and cri- Reorganization Act of 1974. Any of
teria for repository performance over these facilities is designated a HLW fa-
long times into the future, there will cility.
inevitably be greater uncertainties. (b) The geologic repository operations
Proof of the future performance of en- area. (1) This part deals with the exer-
gineered barrier systems and the geo- cise of authority with respect to a par-
logic setting over time periods of many ticular class of HLW facility—namely a
hundreds or many thousands of years is geologic repository operations area.
not to be had in the ordinary sense of (2) A geologic repository operations area
the word. For such long-term objec- consists of those surface and sub-
tives and criteria, what is required is surface areas that are part of a geo-
reasonable assurance, making allow- logic repository where radioactive
ance for the time period, hazards, and waste handling activities are con-
uncertainties involved, that the out- ducted. The underground structure, in-
come will be in conformance with cluding openings and backfill mate-
those objectives and criteria. Dem- rials, but excluding shafts, boreholes,
onstration of compliance with such ob- and their seals, is designated the under-
jectives and criteria will involve the ground facility.
use of data from accelerated tests and (3) The exercise of Commission au-
predictive models that are supported thority requires that the geologic re-
by such measures as field and labora- pository operations area be used for
tory tests, monitoring data and nat- storage (which includes disposal) of
ural analog studies. high-level radioactive wastes (HLW).
189
§ 60.111 10 CFR Ch. I (1–1–11 Edition)
(4) HLW includes irradiated reactor (e) Isolation of waste. (1) During the
fuel as well as reprocessing wastes. first several hundred years following
However, if DOE proposes to use the permanent closure of a geologic reposi-
geologic repository operations area for tory, when radiation and thermal lev-
storage of radioactive waste other than els are high and the uncertainties in
HLW, the storage of this radioactive assessing repository performance are
waste is subject to the requirements of large, special emphasis is placed upon
this part. the ability to contain the wastes by
(c) Areas related to isolation. Although waste packages within an engineered
the activities subject to regulation barrier system. This is known as the con-
under this part are those to be carried tainment period. The engineered barrier
out at the geologic repository oper- system includes the waste packages and
ations area, the licensing process also the underground facility. A waste pack-
considers characteristics of adjacent age is composed of the waste form and
areas that are defined in other ways. any containers, shielding, packing, and
There is to be an area surrounding the absorbent materials immediately sur-
underground facility referred to above, rounding an individual waste con-
which is designated the postclosure container. The underground facility means
trolled area, within which DOE is to ex- the underground structure, including
ercise specified controls to prevent ad- openings and backfill materials, but
verse human actions following perma- excluding, shafts, boreholes, and their
nent closure. The location of the con- seals.
trolled area is the site. The accessible
(2) Following the containment period
environment is the atmosphere, land
special emphasis is placed upon the
surface, surface water, oceans, and the
ability to achieve isolation of the
portion of the lithosphere that is out-
side the controlled area. There is an wastes by virtue of the characteristics
area, designated the geologic setting, of the geologic repository. The engi-
which includes the geologic, hydro- neered barrier system works to control
logic, and geochemical systems of the the release of radioactive material to
region in which a geologic repository the geologic setting and the geologic
operations area is or may be located. setting works to control the release of
The geologic repository operations radioactive material to the accessible
area plus the portion of the geologic environment. Isolation means inhib-
setting that provides isolation of the iting the transport of radioactive ma-
radioactive waste make up the geologic terial so that amounts and concentra-
repository. tions of the materials entering the ac-
(d) Stages in the licensing process. cessible environment will be kept with-
There are several stages in the licens- in prescribed limits.
ing process. The site characterization [48 FR 28222, June 21, 1983, as amended at 61
stage, though begun before submission FR 64268, Dec. 4, 1996]
of a license application, may result in
consequences requiring evaluation in PERFORMANCE OBJECTIVES
the license review. The construction
stage would follow, after issuance of a § 60.111 Performance of the geologic
construction authorization. A period of repository operations area through
operations follows the issuance of a li- permanent closure.
cense by the Commission. The period of (a) Protection against radiation expo-
operations includes the time during sures and releases of radioactive material.
which emplacement of wastes occurs; The geologic repository operations
any subsequent period before perma- area shall be designed so that until per-
nent closure during which the em- manent closure has been completed, ra-
placed wastes are retrievable; and per-
diation exposures and radiation levels,
manent closure, which includes sealing
and releases of radioactive materials to
of shafts. Permanent closure represents
unrestricted areas, will be maintained

the end of active human intervention
within the limits specified in part 20 of
with respect to the engineered barrier
system.
190
this chapter and such generally appli- anticipated processes and events and
cable environmental standards for ra- unanticipated processes and events.
dioactivity as may have been estab-
lished by the Environmental Protec- § 60.113 Performance of particular bar-
tion Agency. riers after permanent closure.
(b) Retrievability of waste. (1) The geo- (a) General provisions—(1) Engineered
logic repository operations area shall barrier system. (i) The engineered bar-
be designed to preserve the option of rier system shall be designed so that
waste retrieval throughout the period assuming anticipated processes and
during which wastes are being em-
events: (A) Containment of HLW will
placed and, thereafter, until the com-
be substantially complete during the
pletion of a preformance confirmation
period when radiation and thermal con-
program and Commission review of the
information obtained from such a pro- ditions in the engineered barrier sys-
gram. To satisfy this objective, the tem are dominated by fission product
geologic repository operations area decay; and (B) any release of radio-
shall be designed so that any or all of nuclides from the engineered barrier
the emplaced waste could be retrieved system shall be a gradual process
on a reasonable schedule starting at which results in small fractional re-
any time up to 50 years after waste em- leases to the geologic setting over long
placement operations are initiated, un- times. For disposal in the saturated
less a different time period is approved zone, both the partial and complete
or specified by the Commission. This filling with groundwater of available
different time period may be estab- void spaces in the underground facility
lished on a case-by-case basis con- shall be appropriately considered and
sistent with the emplacement schedule analysed among the anticipated proc-
and the planned performance confirma- esses and events in designing the engi-
tion program. neered barrier system.
(2) This requirement shall not pre- (ii) In satisfying the preceding re-
clude decisions by the Commission to quirement, the engineered barrier sys-
allow backfilling part or all of, or per- tem shall be designed, assuming antici-
manent closure of, the geologic reposi-
pated processes and events, so that:
tory operations area prior to the end of
(A) Containment of HLW within the
the period of design for retrievability.
(3) For purposes of this paragraph, a waste packages will be substantially
reasonable schedule for retrieval is one complete for a period to be determined
that would permit retrieval in about by the Commission taking into account
the same time as that devoted to con- the factors specified in § 60.113(b) pro-
struction of the geologic repository op- vided, that such period shall be not less
erations area and the emplacement of than 300 years nor more than 1,000
wastes. years after permanent closure of the
geologic repository; and
[48 FR 28222, June 21, 1983, as amended at 61
FR 64268, Dec. 4, 1996; 62 FR 59276, Nov. 3, (B) The release rate of any radio-
1997] nuclide from the engineered barrier
system following the containment pe-
§ 60.112 Overall system performance riod shall not exceed one part in 100,000
objective for the geologic repository per year of the inventory of that radio-
after permanent closure.
nuclide calculated to be present at 1,000
The geologic setting shall be selected years following permanent closure, or
and the engineered barrier system and such other fraction of the inventory as
the shafts, boreholes and their seals may be approved or specified by the
shall be designed to assure that re- Commission; provided, that this re-
leases of radioactive materials to the quirement does not apply to any radio-
accessible environment following per- nuclide which is released at a rate less
manent closure conform to such gen-
than 0.1% of the calculated total re-
erally applicable environmental stand-
lease rate limit. The calculated total

ards for radioactivity as may have been
established by the Environmental Pro- release rate limit shall be taken to be
tection Agency with respect to both
191
§ 60.121 10 CFR Ch. I (1–1–11 Edition)
one part in 100,000 per year of the in- (2) These lands shall be held free and
ventory of radioactive waste, origi- clear of all encumbrances, if signifi-
nally emplaced in the underground fa- cant, such as: (i) Rights arising under
cility, that remains after 1,000 years of the general mining laws; (ii) easements
radioactive decay. for right-of-way; and (iii) all other
(2) Geologic setting. The geologic re- rights arising under lease, rights of
pository shall be located so that pre- entry, deed, patent, mortgage, appro-
waste-emplacement groundwater trav- priation, prescription, or otherwise.
el time along the fastest path of likely (b) Additional controls. Appropriate
radionuclide travel from the disturbed controls shall be established outside of
zone to the accessible environment the postclosure controlled area. DOE
shall be at least 1,000 years or such shall exercise any jurisdiction and con-
other travel time as may be approved trol over surface and subsurface estates
or specified by the Commission. necessary to prevent adverse human
(b) On a case-by-case basis, the Com- actions that could significantly reduce
mission may approve or specify some the geologic repository’s ability to
other radionuclide release rate, de- achieve isolation. The rights of DOE
signed containment period or pre- may take the form of appropriate
waste-emplacement groundwater trav- possessory interests, servitudes, or
el time, provided that the overall sys- withdrawals from location or patent
tem performance objective, as it re- under the general mining laws.
lates to anticipated processes and (c) Water rights. (1) DOE shall also
events, is satisfied. Among the factors have obtained such water rights as
that the Commission may take into ac- may be needed to accomplish the pur-
count are: pose of the geologic repository oper-
(1) Any generally applicable environ- ations area.
mental standard for radioactivity es- (2) Water rights are included in the
tablished by the Environmental Pro- additional controls to be established
tection Agency; under paragraph (b) of this section.
(2) The age and nature of the waste, [48 FR 28222, June 21, 1983, as amended at 61
and the design of the underground fa- FR 64268, Dec. 4, 1996]
cility, particularly as these factors
bear upon the time during which the SITING CRITERIA
thermal pulse is dominated by the
decay heat from the fission products; § 60.122 Siting criteria.
(3) The geochemical characteristics (a)(1) A geologic setting shall exhibit
of the host rock, surrounding strata an appropriate combination of the con-
and groundwater; and ditions specified in paragraph (b) of
(4) Particular sources of uncertainty this section so that, together with the
in predicting the performance of the engineered barriers system, the favor-
geologic repository. able conditions present are sufficient
(c) Additional requirements may be to provide reasonable assurance that
found to be necessary to satisfy the the performance objectives relating to
overall system performance objective isolation of the waste will be met.
as it relates to unanticipated processes (2) If any of the potentially adverse
and events. conditions specified in paragraph (c) of
this section is present, it may com-
LAND OWNERSHIP AND CONTROL promise the ability of the geologic re-
pository to meet the performance ob-
§ 60.121 Requirements for ownership jectives relating to isolation of the
and control of interests in land. waste. In order to show that a poten-
(a) Ownership of land. (1) Both the tially adverse condition does not so
geologic repository operations area and compromise the performance of the
the postclosure controlled area shall be geologic repository the following must
located in and on lands that are either be demonstrated:
acquired lands under the jurisdiction (i) The potentially adverse human ac-
and control of DOE, or lands perma- tivity or natural condition has been
nently withdrawn and reserved for its adequately investigated, including the
use. extent to which the condition may be
192
present and still be undetected taking (iii) Inhibit the transport of radio-
into account the degree of resolution nuclides by particulates, colloids, and
achieved by the investigations; and complexes.
(ii) The effect of the potentially ad- (4) Mineral assemblages that, when
verse human activity or natural condi- subjected to anticipated thermal load-
tion on the site has been adequately ing, will remain unaltered or alter to
evaluated using analyses which are mineral assemblages having equal or
sensitive to the potentially adverse increased capacity to inhibit radio-
human activity or natural condition nuclide migration.
and assumptions which are not likely (5) Conditions that permit the em-
to underestimate its effect; and placement of waste at a minimum
(iii)(A) The potentially adverse depth of 300 meters from the ground
human activity or natural condition is surface. (The ground surface shall be
shown by analysis pursuant to para- deemed to be the elevation of the low-
graph (a)(2)(ii) of this section not to af- est point on the surface above the dis-
fect significantly the ability of the turbed zone.)
geologic repository to meet the per- (6) A low population density within
formance objectives relating to isola- the geologic setting and a postclosure
tion of the waste, or controlled area that is remote from
(B) The effect of the potentially ad- population centers.
verse human activity or natural condi- (7) Pre-waste-emplacement ground-
tion is compensated by the presence of water travel time along the fastest
a combination of the favorable charac- path of likely radionuclide travel from
teristics so that the performance objec- the disturbed zone to the accessible en-
tives relating to isolation of the waste vironment that substantially exceeds
are met, or 1,000 years.
(C) The potentially adverse human (8) For disposal in the unsaturated
activity or natural condition can be zone, hydrogeologic conditions that
remedied. provide—
(i) Low moisture flux in the host
(b) Favorable conditions. (1) The na-
rock and in the overlying and under-
ture and rates of tectonic,
lying hydrogeologic units;
hydrogeologic, geochemical, and geo-
(ii) A water table sufficiently below
morphic processes (or any of such proc-
the underground facility such that
esses) operating within the geologic
fully saturated voids contiguous with
setting during the Quaternary Period,
the water table do not encounter the
when projected, would not affect or
underground facility;
would favorably affect the ability of
(iii) A laterally extensive low-perme-
the geologic repository to isolate the
ability hydrogeologic unit above the
waste.
host rock that would inhibit the down-
(2) For disposal in the saturated zone,
ward movement of water or divert
hydrogeologic conditions that provide:
downward moving water to a location
(i) A host rock with low horizontal beyond the limits of the underground
and vertical permeability; facility;
(ii) Downward or dominantly hori- (iv) A host rock that provides for free
zontal hydraulic gradient in the host drainage; or
rock and immediately surrounding (v) A climatic regime in which the
hydrogeologic units; and average annual historic precipitation is
(iii) Low vertical permeability and a small percentage of the average an-
low hydraulic gradient between the nual potential evapotranspiration.
host rock and the surrounding (c) Potentially adverse conditions. The
hydrogeologic units. following conditions are potentially
(3) Geochemical conditions that: adverse conditions if they are char-
(i) Promote precipitation or sorption acteristic of the postclosure controlled
of radionuclides; area or may affect isolation within the
(ii) Inhibit the formation of particu- controlled area.
lates, colloids, and inorganic and or- (1) Potential for flooding of the un-
ganic complexes that increase the mo- derground facility, whether resulting
bility of radionuclides; or from the occupancy and modification
193
§ 60.122 10 CFR Ch. I (1–1–11 Edition)
of floodplains or from the failure of ex- (13) Indications, based on correla-

isting or planned man-made surface tions of earthquakes with tectonic
water impoundments. processes and features, that either the
(2) Potential for foreseeable human frequency of occurrence or magnitude
activity to adversely affect the ground- of earthquakes may increase.
water flow system, such as ground- (14) More frequent occurrence of
water withdrawal, extensive irrigation, earthquakes or earthquakes of higher
subsurface injection of fluids, under- magnitude than is typical of the area
ground pumped storage, military activ- in which the geologic setting is lo-
ity or construction of large scale sur- cated.
face water impoundments.
(15) Evidence of igneous activity
(3) Potential for natural phenomena
such as landslides, subsidence, or vol- since the start of the Quaternary Pe-
canic activity of such a magnitude that riod.
large-scale surface water impound- (16) Evidence of extreme erosion dur-
ments could be created that could ing the Quaternary Period.
change the regional groundwater flow (17) The presence of naturally occur-
system and thereby adversely affect ring materials, whether identified or
the performance of the geologic reposi- undiscovered, within the site, in such
tory. form that:
(4) Structural deformation, such as (i) Economic extraction is currently
uplift, subsidence, folding, or faulting feasible or potentially feasible during
that may adversely affect the regional the foreseeable future; or
groundwater flow system. (ii) Such materials have greater gross
(5) Potential for changes in hydro- value or net value than the average for
logic conditions that would affect the other areas of similar size that are rep-
migration of radionuclides to the ac- resentative of and located within the
cessible environment, such as changes geologic setting.
in hydraulic gradient, average intersti-
(18) Evidence of subsurface mining
tial velocity, storage coefficient, hy-
draulic conductivity, natural recharge, for resources within the site.
potentiometric levels, and discharge (19) Evidence of drilling for any pur-
points. pose within the site.
(6) Potential for changes in hydro- (20) Rock or groundwater conditions
logic conditions resulting from reason- that would require complex engineer-
ably foreseeable climatic changes. ing measures in the design and con-
(7) Groundwater conditions in the struction of the underground facility
host rock, including chemical composi- or in the sealing of boreholes and
tion, high ionic strength or ranges of shafts.
Eh-pH, that could increase the solu- (21) Geomechanical properties that
bility or chemical reactivity of the en- do not permit design of underground
gineered barrier system. opening that will remain stable
(8) Geochemical processes that would through permanent closure.
reduce sorption of radionuclides, result (22) Potential for the water table to
in degradation of the rock strength, or rise sufficiently so as to cause satura-
adversely affect the performance of the tion of an underground facility located
engineered barrier system. in the unsaturated zone.
(9) Groundwater conditions in the
(23) Potential for existing or future
host rock that are not reducing.
(10) Evidence of dissolutioning such perched water bodies that may satu-
as breccia pipes, dissolution cavities, rate portions of the underground facil-
or brine pockets. ity or provide a faster flow path from
(11) Structural deformation such as an underground facility located in the
uplift, subsidence, folding, and faulting unsaturated zone to the accessible en-
during the Quaternary Period. vironment.
(12) Earthquakes which have oc- (24) Potential for the movement of
curred historically that if they were to radionuclides in a gaseous state

be repeated could affect the site sig-
nificantly.
194
through air-filled pore spaces of an un- viding adequate space for ease of oper-
saturated geologic medium to the ac- ation;
cessible environment. (3) Suitable shielding;
[48 FR 28222, June 21, 1983, as amended at 50 (4) Means to monitor and control the
FR 29647, July 22, 1985; 61 FR 64269, Dec. 4, dispersal of radioactive contamination;
1996] (5) Means to control access to high
radiation areas or airborne radioac-
DESIGN CRITERIA FOR THE GEOLOGIC tivity areas; and
REPOSITORY OPERATIONS AREA (6) A radiation alarm system to warn
of significant increases in radiation
§ 60.130 General considerations.
levels, concentrations of radioactive
(a) Pursuant to the provisions of material in air, and of increased radio-
§ 60.21(c)(2)(i), an application for con- activity released in effluents. The
struction authorization for a high-level alarm system shall be designed with
radioactive waste repository at a geo- provisions for calibration and for test-
logic repository operations area, and ing its operability.
an application for a license to receive, (b) Protection against design basis
possess, store, and dispose of high-level events. The structures, systems, and
radioactive waste in the geologic re- components important to safety shall
pository operations area, must include be designed so that they will perform
the principal design criteria for a pro- their necessary safety functions, as-
posed facility. The principal design cri- suming occurrence of design basis
teria establish the necessary design, events.
fabrication, construction, testing, (c) Protection against dynamic effects
maintenance, and performance require- of equipment failure and similar events.
ments for structures, systems, and The structures, systems, and compo-
components important to safety and/or nents important to safety shall be de-
important to waste isolation. Sections signed to withstand dynamic effects
60.131 through 60.134 specify minimum such as missile impacts, that could re-
requirements for the principal design sult from equipment failure, and simi-
criteria for the geologic repository op- lar events and conditions that could
erations area. lead to loss of their safety functions.
(b) These design criteria are not in- (d) Protection against fires and explo-
tended to be exhaustive. However, sions. (1) The structures, systems, and
omissions in §§ 60.131 through 60.134 do components important to safety shall
not relieve DOE from any obligation to be designed to perform their safety
provide such features in a specific fa- functions during and after credible
cility needed to achieve the perform- fires or explosions in the geologic re-
ance objectives. pository operations area.
[69 FR 2280, Jan. 14, 2004] (2) To the extent practicable, the geo-
logic repository operations area shall
§ 60.131 General design criteria for the be designed to incorporate the use of
geologic repository operations area. noncombustible and heat resistant ma-
(a) Radiological protection. The geo- terials.
logic repository operations area shall (3) The geologic repository oper-
be designed to maintain radiation ations area shall be designed to include
doses, levels, and concentrations of ra- explosion and fire detection alarm sys-
dioactive material in air in restricted tems and appropriate suppression sys-
areas within the limits specified in tems with sufficient capacity and capa-
part 20 of this chapter. Design shall in- bility to reduce the adverse effects of
clude: fires and explosions on structures, sys-
(1) Means to limit concentrations of tems, and components important to
radioactive material in air; safety.
(2) Means to limit the time required (4) The geologic repository oper-
to perform work in the vicinity of ra- ations area shall be designed to include
dioactive materials, including, as ap- means to protect systems, structures,

propriate, designing equipment for ease and components important to safety
of repair and replacement and pro- against the adverse effects of either the
195
§ 60.132 10 CFR Ch. I (1–1–11 Edition)
operation or failure of the fire suppres- ciently below unity to show at least a
sion systems. 5 percent margin, after allowance for
(e) Emergency capability. (1) The the bias in the method of calculation
structures, systems, and components and the uncertainty in the experiments
important to safety shall be designed used to validate the method of calcula-
to maintain control of radioactive tion.
waste and radioactive effluents, and (i) Instrumentation and control systems.
permit prompt termination of oper- The design shall include provisions for
ations and evacuation of personnel dur- instrumentation and control systems
ing an emergency. to monitor and control the behavior of
(2) The geologic repository oper- systems important to safety, assuming
ations area shall be designed to include occurrence of design basis events.
onsite facilities and services that en- (j) Compliance with mining regulations.
sure a safe and timely response to To the extent that DOE is not subject
emergency conditions and that facili- to the Federal Mine Safety and Health
tate the use of available offsite serv- Act of 1977, as to the construction and
ices (such as fire, police, medical, and operation of the geologic repository op-
ambulance service) that may aid in re- erations area, the design of the geo-
covery from emergencies. logic repository operations area shall
(f) Utility services. (1) Each utility nevertheless include provisions for
service system that is important to worker protection necessary to provide
safety shall be designed so that essen- reasonable assurance that all struc-
tial safety functions can be performed, tures, systems, and components impor-
assuming occurrence of the design tant to safety can perform their in-
basis events. tended functions. Any deviation from
(2) The utility services important to relevant design requirements in 30
safety shall include redundant systems CFR, chapter I, subchapters D, E, and
to the extent necessary to maintain, N will give rise to a rebuttable pre-
with adequate capacity, the ability to sumption that this requirement has
perform their safety functions. not been met.
(3) Provisions shall be made so that, (k) Shaft conveyances used in radio-
if there is a loss of the primary electric active waste handling. (1) Hoists impor-
power source or circuit, reliable and tant to safety shall be designed to pre-
timely emergency power can be pro- clude cage free fall.
vided to instruments, utility service (2) Hoists important to safety shall
systems, and operating systems, in- be designed with a reliable cage loca-
cluding alarm systems, important to tion system.
safety. (3) Loading and unloading systems
(g) Inspection, testing, and mainte- for hoists important to safety shall be
nance. The structures, systems, and designed with a reliable system of
components important to safety shall interlocks that will fail safely upon
be designed to permit periodic inspec- malfunction.
tion, testing, and maintenance, as nec- (4) Hoists important to safety shall
essary, to ensure their continued func- be designed to include two independent
tioning and readiness. indicators to indicate when waste
(h) Criticality control. All systems for packages are in place and ready for
processing, transporting, handling, transfer.
storage, retrieval, emplacement, and [48 FR 28222, June 21, 1983, as amended at 61
isolation of radioactive waste shall be FR 64269, Dec. 4, 1996]
designed to ensure that nuclear criti-
cality is not possible unless at least § 60.132 Additional design criteria for
two unlikely, independent, and concur- surface facilities in the geologic re-
rent or sequential changes have oc- pository operations area.
curred in the conditions essential to (a) Facilities for receipt and retrieval of
nuclear criticality safety. Each system waste. Surface facilities in the geologic
must be designed for criticality safety repository operations area shall be de-
assuming occurrence of design basis signed to allow safe handling and stor-
events. The calculated effective mul- age of wastes at the geologic repository
tiplication factor (keff) must be suffi- operations area, whether these wastes
196
are on the surface before emplacement (2) The underground facility shall be
or as a result of retrieval from the un- designed so that the effects of credible
derground facility. disruptive events during the period of
(b) Surface facility ventilation. Surface operations, such as flooding, fires and
facility ventilation systems supporting explosions, will not spread through the
waste transfer, inspection, decon- facility.
tamination, processing, or packaging (b) Flexibility of design. The under-
shall be designed to provide protection ground facility shall be designed with
against radiation exposures and offsite sufficient flexibility to allow adjust-
releases as provided in § 60.111(a). ments where necessary to accommo-
(c) Radiation control and monitoring— date specific site conditions identified
(1) Effluent control. The surface facili- through in situ monitoring, testing, or
ties shall be designed to control the re- excavation.
lease of radioactive materials in (c) Retrieval of waste. The under-
effluents during Category 1 design ground facility shall be designed to
basis events so as to meet the perform- permit retrieval of waste in accordance
ance objectives of § 60.111(a). with the performance objectives of
(2) Effluent monitoring. The effluent § 60.111.
monitoring systems shall be designed (d) Control of water and gas. The de-
to measure the amount and concentra- sign of the underground facility shall
tion of radionuclides in any effluent provide for control of water or gas in-
with sufficient precision to determine trusion.
whether releases conform to the design
(e) Underground openings. (1) Open-
requirement for effluent control. The
ings in the underground facility shall
monitoring systems shall be designed
be designed so that operations can be
to include alarms that can be periodi-
cally tested. carried out safely and the
retrievability option maintained.
(d) Waste treatment. Radioactive
waste treatment facilities shall be de- (2) Openings in the underground facil-
signed to process any radioactive ity shall be designed to reduce the po-
wastes generated at the geologic repos- tential for deleterious rock movement
itory operations area into a form suit- or fracturing of overlying or sur-
able to permit safe disposal at the geo- rounding rock.
logic repository operations area or to (f) Rock excavation. The design of the
permit safe transportation and conver- underground facility shall incorporate
sion to a form suitable for disposal at excavation methods that will limit the
an alternative site in accordance with potential for creating a preferential
any regulations that are applicable. pathway for groundwater to contact
(e) Consideration of decommissioning. the waste packages or radionuclide mi-
The surface facility shall be designed gration to the accessible environment.
to facilitate decontamination or dis- (g) Underground facility ventilation.
mantlement to the same extent as The ventilation system shall be de-
would be required, under other parts of signed to:
this chapter, with respect to equivalent (1) Control the transport of radio-
activities licensed thereunder. active particulates and gases within
[48 FR 28222, June 21, 1983, as amended at 61
and releases from the underground fa-
FR 64270, Dec. 4, 1996] cility in accordance with the perform-
ance objectives of § 60.111(a),
§ 60.133 Additional design criteria for (2) Assure the ability to perform es-
the underground facility. sential safety functions assuming oc-
(a) General criteria for the underground currence of design basis events.
facility. (1) The orientation, geometry, (3) Separate the ventilation of exca-
layout, and depth of the underground vation and waste emplacement areas.
facility, and the design of any engi- (h) Engineered barriers. Engineered
neered barriers that are part of the un- barriers shall be designed to assist the
derground facility shall contribute to geologic setting in meeting the per-

the containment and isolation of radio- formance objectives for the period fol-
nuclides. lowing permanent closure.
197
§ 60.134 10 CFR Ch. I (1–1–11 Edition)
(i) Thermal loads. The underground fa- (b) Specific criteria for HLW package
cility shall be designed so that the per- design—(1) Explosive, pyrophoric, and
formance objectives will be met taking chemically reactive materials. The waste
into account the predicted thermal and package shall not contain explosive or
thermomechanical response of the host pyrophoric materials or chemically re-
rock, and surrounding strata, ground- active materials in an amount that
water system. could compromise the ability of the
[48 FR 28222, June 21, 1983, as amended at 50 underground facility to contribute to
FR 29648, July 22, 1985; 61 FR 64270, Dec. 4, waste isolation or the ability of the
1996] geologic repository to satisfy the per-
formance objectives.
§ 60.134 Design of seals for shafts and (2) Free liquids. The waste package
boreholes. shall not contain free liquids in an
(a) General design criterion. Seals for amount that could compromise the
shafts and boreholes shall be designed ability of the waste packages to
so that following permanent closure achieve the performance objectives re-
they do not become pathways that lating to containment of HLW (because
compromise the geologic repository’s of chemical interactions or formation
ability to meet the performance objec- of pressurized vapor) or result in spill-
tives or the period following permanent age and spread of contamination in the
closure. event of waste package perforation
(b) Selection of materials and placement during the period through permanent
methods. Materials and placement closure.
methods for seals shall be selected to (3) Handling. Waste packages shall be
reduce, to the extent practicable: designed to maintain waste contain-
(1) The potential for creating a pref- ment during transportation, emplace-
erential pathway for groundwater to ment, and retrieval.
contact the waste packages or
(4) Unique identification. A label or
(2) For radionuclide migration
other means of identification shall be
through existing pathways.
provided for each waste package. The
[48 FR 28222, June 21, 1983, as amended at 50 identification shall not impair the in-
FR 29648, July 22, 1985] tegrity of the waste package and shall
be applied in such a way that the infor-
DESIGN CRITERIA FOR THE WASTE mation shall be legible at least to the
PACKAGE end of the period of retrievability.
§ 60.135 Criteria for the waste package Each waste package identification
and its components. shall be consistent with the waste
package’s permanent written records.
(a) High-level-waste package design in
(c) Waste form criteria for HLW.
general. (1) Packages for HLW shall be
High-level radioactive waste that is
designed so that the in situ chemical,
emplaced in the underground facility
physical, and nuclear properties of the
shall be designed to meet the following
waste package and its interactions
criteria:
with the emplacement environment do
not compromise the function of the (1) Solidification. All such radioactive
waste packages or the performance of wastes shall be in solid form and placed
the underground facility or the geo- in sealed containers.
logic setting. (2) Consolidation. Particulate waste
(2) The design shall include but not forms shall be consolidated (for exam-
be limited to consideration of the fol- ple, by incorporation into an encap-
lowing factors: solubility, oxidation/re- sulating matrix) to limit the avail-
duction reactions, corrosion, ability and generation of particulates.
hydriding, gas generation, thermal ef- (3) Combustibles. All combustible ra-
fects, mechanical strength, mechanical dioactive wastes shall be reduced to a
stress, radiolysis, radiation damage, noncombustible form unless it can be
radionuclide retardation, leaching, fire demonstrated that a fire involving the

and explosion hazards, thermal loads, waste packages containing combusti-
and synergistic interactions. bles will not compromise the integrity
198
of other waste packages, adversely af- Subpart F—Performance

fect any structures, systems, or compo- Confirmation Program
nents important to safety, or com-
promise the ability of the underground SOURCE: 48 FR 28228, June 21, 1983, unless
facility to contribute to waste isola- otherwise noted.
tion.
(d) Design criteria for other radioactive § 60.140 General requirements.
wastes. Design criteria for waste types (a) The performance confirmation
other than HLW will be addressed on program shall provide data which indi-
an individual basis if and when they cates, where practicable, whether:
are proposed for disposal in a geologic (1) Actual subsurface conditions en-
repository. countered and changes in those condi-
tions during construction and waste
PRECLOSURE CONTROLLED AREA emplacement operations are within the
limits assumed in the licensing review;
§ 60.136 Preclosure controlled area. and
(a) A preclosure controlled area must (2) Natural and engineered systems
be established for the geologic reposi- and components required for repository
tory operations area. operation, or which are designed or as-
(b) The geologic repository oper- sumed to operate as barriers after per-
ations area shall be designed so that, manent closure, are functioning as in-
for Category 2 design basis events, no tended and anticipated.
(b) The program shall have been
individual located on or beyond any
started during site characterization
point on the boundary of the preclosure
and it will continue until permanent
controlled area will receive the more
closure.
limiting of a total effective dose equiv- (c) The program shall include in situ
alent of 0.05 Sv (5 rem), or the sum of monitoring, laboratory and field test-
the deep-dose equivalent and the com- ing, and in situ experiments, as may be
mitted dose equivalent to any indi- appropriate to accomplish the objec-
vidual organ or tissue (other than the tive as stated above.
lens of the eye) of 0.5 Sv (50 rem). The (d) The program shall be imple-
eye dose equivalent shall not exceed mented so that:
0.15 Sv (15 rem), and the shallow dose (1) It does not adversely affect the
equivalent to skin shall not exceed 0.5 ability of the natural and engineered
Sv (50 rem). The minimum distance elements of the geologic repository to
from the surface facilities in the geo- meet the performance objectives.
logic repository operations area to the (2) It provides baseline information
boundary of the preclosure controlled and analysis of that information on
area must be at least 100 meters. those parameters and natural processes
(c) The preclosure controlled area pertaining to the geologic setting that
may be traversed by a highway, rail- may be changed by site characteriza-
road, or waterway, so long as appro- tion, construction, and operational ac-
priate and effective arrangements are tivities.
made to control traffic and to protect (3) It monitors and analyzes changes
public health and safety. from the baseline condition of param-
eters that could affect the performance
[61 FR 64270, Dec. 4, 1996] of a geologic repository.
(4) It provides an established plan for
PERFORMANCE CONFIRMATION feedback and analysis of data, and im-
REQUIREMENTS plementation of appropriate action.
§ 60.137 General requirements for per- § 60.141 Confirmation of geotechnical
formance confirmation. and design parameters.
The geologic repository operations (a) During repository construction
area shall be designed so as to permit and operation, a continuing program of
implementation of a performance con- surveillance, measurement, testing,

firmation program that meets the re- and geologic mapping shall be con-
quirements of subpart F of this part. ducted to ensure that geotechnical and
199
§ 60.142 10 CFR Ch. I (1–1–11 Edition)
design parameters are confirmed and to ation proceeds to seal boreholes and
ensure that appropriate action is taken shafts.
to inform the Commission of changes
needed in design to accommodate ac- § 60.143 Monitoring and testing waste
tual field conditions encountered. packages.
(b) Subsurface conditions shall be (a) A program shall be established at
monitored and evaluated against de- the geologic repository operations area
sign assumptions. for monitoring the condition of the
(c) As a minimum, measurements waste packages. Waste packages cho-
shall be made of rock deformations and sen for the program shall be represent-
displacement, changes in rock stress ative of those to be emplaced in the un-
and strain, rate and location of water derground facility.
inflow into subsurface areas, changes (b) Consistent with safe operation at
in groundwater conditions, rock pore the geologic repository operations
water pressures including those along area, the environment of the waste
packages selected for the waste pack-
fractures and joints, and the thermal
age monitoring program shall be rep-
and thermomechanical response of the
resentative of the environment in
rock mass as a result of development
which the wastes are to be emplaced.
and operations of the geologic reposi-
(c) The waste package monitoring
tory.
program shall include laboratory ex-
(d) These measurements and observa- periments which focus on the internal
tions shall be compared with the origi- condition of the waste packages. To
nal design bases and assumptions. If the extent practical, the environment
significant differences exist between experienced by the emplaced waste
the measurements and observations packages within the underground facil-
and the original design bases and as- ity during the waste package moni-
sumptions, the need for modifications toring program shall be duplicated in
to the design or in construction meth- the laboratory experiments.
ods shall be determined and these dif- (d) The waste package monitoring
ferences and the recommended changes program shall continue as long as prac-
reported to the Commission. tical up to the time of permanent clo-
(e) In situ monitoring of the sure.
thermomechanical response of the un-
derground facility shall be conducted Subpart G—Quality Assurance
until permanent closure to ensure that
the performance of the natural and en-
SOURCE: 48 FR 28228, June 21, 1983, unless
gineering features are within design otherwise noted.
limits.
§ 60.150 Scope.
§ 60.142 Design testing.
As used in this part, quality assurance
(a) During the early or develop- comprises all those planned and sys-
mental stages of construction, a pro- tematic actions necessary to provide
gram for in situ testing of such fea- adequate confidence that the geologic
tures as borehole and shaft seals, back- repository and its subsystems or com-
fill, and the thermal interaction effects ponents will perform satisfactorily in
of the waste packages, backfill, rock, service. Quality assurance includes
and groundwater shall be conducted. quality control, which comprises those
(b) The testing shall be initiated as quality assurance actions related to
early as is practicable. the physical characteristics of a mate-
(c) A backfill test section shall be rial, structure, component, or system
constructed to test the effectiveness of which provide a means to control the
backfill placement and compaction quality of the material, structure,
procedures against design requirements component, or system to predeter-
before permanent backfill placement is mined requirements.
begun.
(d) Test sections shall be established § 60.151 Applicability.

to test the effectiveness of borehole The quality assurance program ap-
and shaft seals before full-scale oper- plies to all systems, structures and
200
components important to safety, to de- cally disqualify a person, so long as ap-

sign and characterization of barriers propriate provisions are made to ac-
important to waste isolation and to accommodate such conditions.
tivities related thereto. These activi-
ties include: site characterization, fa- Subpart I—Emergency Planning
cility and equipment construction, fa- Criteria [Reserved]
cility operation, performance con-
firmation, permanent closure, and de-
contamination and dismantling of sur-
Subpart J—Violations
face facilities. § 60.181 Violations.
§ 60.152 Implementation. (a) The Commission may obtain an
DOE shall implement a quality assur- vent a violation of the provisions of—
ance program based on the criteria of (1) The Atomic Energy Act of 1954, as
appendix B of 10 CFR part 50 as appli- amended;
cable, and appropriately supplemented (2) Title II of the Energy Reorganiza-
by additional criteria as required by tion Act of 1974, as amended; or
§ 60.151. (3) A regulation or order issued pur-
suant to those Acts.
Subpart H—Training and (b) The Commission may obtain a
Certification of Personnel court order for the payment of a civil
penalty imposed under section 234 of
SOURCE: 48 FR 28229, June 21, 1983, unless the Atomic Energy Act:
otherwise noted. (1) For violations of—
(i) Sections 53, 57, 62, 63, 81, 82, 101,
§ 60.160 General requirements. 103, 104, 107, or 109 of the Atomic En-
Operations of systems and compo- ergy Act of 1954, as amended;
nents that have been identified as im- (ii) Section 206 of the Energy Reorga-
portant to safety in the Safety Anal- nization Act;
ysis Report and in the license shall be (iii) Any rule, regulation, or order
performed only by trained and certified issued pursuant to the sections speci-
personnel or by personnel under the di- fied in paragraph (b)(1)(i) of this sec-
rect visual supervision of an individual tion;
with training and certification in such (iv) Any term, condition, or limita-
operation. Supervisory personnel who tion of any license issued under the
direct operations that are important to sections specified in paragraph (b)(1)(i)
safety must also be certified in such of this section.
operations. (2) For any violation for which a li-
cense may be revoked under section 186
§ 60.161 Training and certification proof the Atomic Energy Act of 1954, as
gram. amended.
DOE shall establish a program for [57 FR 55076, Nov. 24, 1992]
training, proficiency testing, certifi-
cation and requalification of operating § 60.183 Criminal penalties.
and supervisory personnel. (a) Section 223 of the Atomic Energy
Act of 1954, as amended, provides for
§ 60.162 Physical requirements. criminal sanctions for willful violation
The physical condition and the gen- of, attempted violation of, or con-
eral health of personnel certified for spiracy to violate, any regulation
operations that are important to safety issued under sections 161b, 161i, or 161o
shall not be such as might cause oper- of the Act. For purposes of section 223,
ational errors that could endanger the all the regulations in part 60 are issued
public health and safety. Any condition under one or more of sections 161b, 161i,
which might cause impaired judgment or 161o, except for the sections listed in
or motor coordination must be consid- paragraph (b) of this section.
ered in the selection of personnel for (b) The regulations in part 60 that
activities that are important to safety. are not issued under sections 161b, 161i,
These conditions need not categori- or 161o for the purposes of section 223
201
are as follows: §§ 60.1, 60.2, 60.3, 60.5, 61.42 Protection of individuals from inad-
60.6, 60.7, 60.8, 60.15, 60.16, 60.17, 60.18, vertent intrusion.
60.21, 60.22, 60.23, 60.24, 60.31, 60.32, 60.33, 61.43 Protection of individuals during oper-
ations.
60.41, 60.42, 60.43, 60.44, 60.45, 60.46, 60.51, 61.44 Stability of the disposal site after clo-
60.52, 60.61, 60.62, 60.63, 60.64, 60.65, sure.
60.101, 60.102, 60.111, 60.112, 60.113, 60.121,
60.122, 60.130, 60.131, 60.132, 60.133, 60.134, Subpart D—Technical Requirements for
60.135, 60.137, 60.140, 60.141, 60.142, 60.143, Land Disposal Facilities
60.150, 60.151, 60.152, 60.162, 60.181, and
61.50 Disposal site suitability requirements
60.183.
for land disposal.
[57 FR 55076, Nov. 24, 1992] 61.51 Disposal site design for land disposal.
61.52 Land disposal facility operation and
disposal site closure.
PART 61—LICENSING REQUIRE- 61.53 Environmental monitoring.
MENTS FOR LAND DISPOSAL OF 61.54 Alternative requirements for design
RADIOACTIVE WASTE and operations.
61.55 Waste classification.
61.56 Waste characteristics.
61.57 Labeling.
Sec. 61.58 Alternative requirements for waste
61.1 Purpose and scope. classification and characteristics.
61.2 Definitions. 61.59 Institutional requirements.
61.3 License required.
61.4 Communications. Subpart E—Financial Assurances
61.61 Applicant qualifications and assur-
61.6 Exemptions.
61.7 Concepts. ances.
61.8 Information collection requirements: 61.62 Funding for disposal site closure and
OMB approval. stabilization.
61.9 Employee protection. 61.63 Financial assurances for institutional
61.9a Completeness and accuracy of infor- controls.
mation.
61.9b Deliberate misconduct. Subpart F—Participation by State
Governments and Indian Tribes
Subpart B—Licenses 61.70 Scope.
61.10 Content of application. 61.71 State and Tribal government consulta-
61.11 General information. tion.
61.12 Specific technical information. 61.72 Filing of proposals for State and Trib-
61.13 Technical analyses. al participation.
61.14 Institutional information. 61.73 Commission approval of proposals.
61.15 Financial information.
61.16 Other information. Subpart G—Records, Reports, Tests, and
61.20 Filing and distribution of application. Inspections
61.21 Elimination of repetition.
61.22 Updating of application. 61.80 Maintenance of records, reports, and
61.23 Standards for issuance of a license. transfers.
61.81 Tests at land disposal facilities.
61.24 Conditions of licenses.
61.82 Commission inspections of land dis-
61.25 Changes.
posal facilities.
61.26 Amendment of license.
61.83 Violations.
61.27 Application for renewal or closure.
61.28 Contents of application for closure.
61.29 Post-closure observation and mainte- AUTHORITY: Secs. 53, 57, 62, 63, 65, 81, 161,
nance. 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954,
61.30 Transfer of license. as amended (42 U.S.C. 2073, 2077, 2092, 2093,
61.31 Termination of license. 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10
US/IAEA SAFEGUARDS AGREEMENT and 14, Pub. L. 95–601, 92 Stat. 2951 (42 U.S.C.
61.32 Facility information and verification. 2021a and 5851) and Pub. L. 102–486, sec. 2902,
106 Stat. 3123, (42 U.S.C. 5851); sec. 1704, 112
Subpart C—Performance Objectives Stat. 2750 (44 U.S.C. 3504 note); sec. 651(e),
Pub. L. 109–58, 119 Stat. 806–810 (42 U.S.C.

61.40 General requirement. 2014, 2021, 2021b, 2111).
61.41 Protection of the general population Section 61.9 is also issued under Pub. L. 95–
from releases of radioactivity. 601, sec. 10, 92 Stat. 2951 as amended by Pub.
202
L. 102–486, sec. 2902, 106 Stat. 3123 (42 U.S.C. § 61.2 Definitions.
5851).
As used in this part:
SOURCE: 47 FR 57463, Dec. 27, 1982, unless
otherwise noted. Active maintenance means any signifi-
cant remedial activity needed during
the period of institutional control to
Subpart A—General Provisions maintain a reasonable assurance that
§ 61.1 Purpose and scope. the performance objectives in §§ 61.41
and 61.42 are met. Such active mainte-
(a) The regulations in this part estab- nance includes ongoing activities such
lish, for land disposal of radioactive as the pumping and treatment of water
waste, the procedures, criteria, and from a disposal unit or one-time meas-
terms and conditions upon which the ures such as replacement of a disposal
Commission issues licenses for the dis- unit cover. Active maintenance does
posal of radioactive wastes containing not include custodial activities such as
byproduct, source and special nuclear repair of fencing, repair or replacement
material received from other persons. of monitoring equipment, revegetation,
Disposal of waste by an individual li- minor additions to soil cover, minor re-
censee is set forth in part 20 of this
pair of disposal unit covers, and gen-
chapter. Applicability of the require-
eral disposal site upkeep such as mow-
ments in this part to Commission li-
ing grass.
censes for waste disposal facilities in
effect on the effective date of this rule Buffer zone is a portion of the dis-
will be determined on a case-by-case posal site that is controlled by the li-
basis and implemented through terms censee and that lies under the disposal
and conditions of the license or by or- units and between the disposal units
ders issued by the Commission. and the boundary of the site.
(b) Except as provided in part 150 of Chelating agent means amine
this chapter, which addresses assump- polycarboxylic acids (e.g., EDTA,
tion of certain regulatory authority by DTPA), hydroxy-carboxylic acids, and
Agreement States, and § 61.6 ‘‘Exemp- polycarboxylic acids (e.g., citric acid,
tions,’’ the regulations in this part carbolic acid, and glucinic acid).
apply to all persons in the United Commencement of construction means
States. The regulations in this part do any clearing of land, excavation, or
not apply to— other substantial action that would ad-
(1) Disposal of high-level waste as versely affect the environment of a
provided for in part 60 or 63 of this land disposal facility. The term does
chapter; not mean disposal site exploration,
(2) Disposal of uranium or thorium necessary roads for disposal site explo-
tailings or wastes (byproduct material ration, borings to determine founda-
as defined in § 40.4 (a-1) as provided for tion conditions, or other
in part 40 of this chapter in quantities preconstruction monitoring or testing
greater than 10,000 kilograms and con- to establish background information
taining more than 5 millicuries of ra- related to the suitability of the dis-
dium-226; or posal site or the protection of environ-
(3) Disposal of licensed material as mental values.
provided for in part 20 of this chapter. Commission means the Nuclear Regu-
(c) This part also gives notice to all latory Commission or its duly author-
persons who knowingly provide to any ized representatives.
licensee, applicant, contractor, or sub- Custodial Agency means an agency of
contractor, components, equipment, the government designated to act on
materials, or other goods or services, behalf of the government owner of the
that relate to a licensee’s or appli- disposal site.
cant’s activities subject to this part, Director means the Director, Office of
that they may be individually subject Federal and State Materials and Envi-
to NRC enforcement action for viola- ronmental Management Programs,
tion of § 61.9b. U.S. Nuclear Regulatory Commission.
[47 FR 57463, Dec. 27, 1982, as amended at 56 Disposal means the isolation of radio-
FR 40690, Aug. 15, 1991; 63 FR 1898, Jan. 13, active wastes from the biosphere in-
1998; 66 FR 55791, Nov. 2, 2001] habited by man and containing his food
203
§ 61.2 10 CFR Ch. I (1–1–11 Edition)
chains by emplacement in a land dis- vide equivalent protection to the inad-

posal facility. vertent intruder.
Disposal site means that portion of a Land disposal facility means the land,
land disposal facility which is used for building, and structures, and equip-
disposal of waste. It consists of dis- ment which are intended to be used for
posal units and a buffer zone. the disposal of radioactive wastes. For
Disposal unit means a discrete portion purposes of this chapter, a ‘‘geologic re-
of the disposal site into which waste is pository’’ as defined in part 60 or 63 is
placed for disposal. For near-surface not considered a land disposal facility.
disposal the unit is usually a trench. License means a license issued under
Engineered barrier means a man-made the regulations in part 61 of this chap-
structure or device that is intended to
ter. Licensee means the holder of such a
improve the land disposal facility’s
license.
ability to meet the performance objec-
tives in subpart C. Monitoring means observing and mak-
Explosive material means any chem- ing measurements to provide data to
ical compound, mixture, or device, evaluate the performance and charac-
which produces a substantial instanta- teristics of the disposal site.
neous release of gas and heat spontane- Near-surface disposal facility means a
ously or by contact with sparks or land disposal facility in which radio-
flame. active waste is disposed of in or within
Government agency means any execu- the upper 30 meters of the earth’s sur-
tive department, commission, inde- face.
pendent establishment, or corporation, Person means (1) any individual, cor-
wholly or partly owned by the United poration, partnership, firm, associa-
States of America which is an instru- tion, trust, estate, public or private in-
mentality of the United States; or any stitution, group, government agency
board, bureau, division, service, office, other than the Commission or the De-
officer, authority, administration, or partment of Energy (except that the
other establishment in the executive Department of Energy is considered a
branch of the government. person within the meaning of the regu-
Hazardous waste means those wastes lations in this part to the extent that
designated as hazardous by Environ- its facilities and activities are subject
mental Protection Agency regulations to the licensing and related regulatory
in 40 CFR part 261. authority of the Commission pursuant
Hydrogeologic unit means any soil or to law), any State or any political sub-
rock unit or zone which by virtue of its
division of or any political entity with-
porosity or permeability, or lack there-
in a State, any foreign government or
of, has a distinct influence on the stor-
nation or any political subdivision of
age or movement of groundwater.
any such government or nation, or
Inadvertent intruder means a person
who might occupy the disposal site other entity; and (2) any legal suc-
after closure and engage in normal ac- cessor, representative, agent, or agency
tivities, such as agriculture, dwelling of the foregoing.
construction, or other pursuits in Pyrophoric liquid means any liquid
which the person might be unknow- that ignites spontaneously in dry or
ingly exposed to radiation from the moist air at or below 130 °F (54.5 °C). A
waste. pyrophoric solid is any solid material,
Indian Tribe means an Indian tribe as other than one classed as an explosive,
defined in the Indian Self-Determina- which under normal conditions is liable
tion and Education Assistance Act (25 to cause fires through friction, re-
U.S.C. 450). tained heat from manufacturing or
Intruder barrier means a sufficient processing, or which can be ignited
depth of cover over the waste that in- readily and when ignited burns so vig-
hibits contact with waste and helps to orously and persistently as to create a
ensure that radiation exposures to an serious transportation, handling, or
inadvertent intruder will meet the per- disposal hazard. Included are spontane-
formance objectives set forth in this ously combustible and water-reactive
part, or engineered structures that pro- materials.
204
Site closure and stablization means § 61.4 Communications.

those actions that are taken upon com-
Except where otherwise specified, all
pletion of operations that prepare the
communications and reports con-
disposal site for custodial care and that cerning the regulations in this part and
assure that the disposal site will re- applications filed under them should be
main stable and will not need ongoing sent by mail addressed: ATTN: Docu-
active maintenance. ment Control Desk; Director, Office of
State means any State, Territory, or Federal and State Materials and Envi-
possession of the United States, Puerto ronmental Management Programs,
Rico, and the District of Columbia. U.S. Nuclear Regulatory Commission,
Stability means structural stabillity. Washington, DC 20555–0001; by hand de-
Surveillance means observation of the livery to the NRC’s Offices at 11555
disposal site for purposes of visual de- Rockville Pike, Rockville, Maryland;
tection of need for maintenance, custo- or, where practicable, by electronic
dial care, evidence of intrusion, and submission, for example, via Electronic
compliance with other license and reg- Information Exchange, or CD–ROM.
ulatory requirements. Electronic submissions must be made
Tribal Governing Body means a Tribal in a manner that enables the NRC to
organization as defined in the Indian receive, read, authenticate, distribute,
Self-Determination and Education As- and archive the submission, and proc-
sistance Act (25 U.S.C. 450). ess and retrieve it a single page at a
Waste means those low-level radio- time. Detailed guidance on making
active wastes containing source, spe- electronic submissions can be obtained
cial nuclear, or byproduct material
that are acceptable for disposal in a
land disposal facility. For the purposes
or by writing the Office of Information
of this definition, low-level radioactive Services, U.S. Nuclear Regulatory
waste means radioactive waste not Commission, Washington, DC 20555–
classified as high-level radioactive 0001. The guidance discusses, among
waste, transuranic waste, spent nu- other topics, the formats the NRC can
clear fuel, or byproduct material as de- accept, the use of electronic signa-
fined in paragraphs (2), (3), and (4) of tures, and the treatment of nonpublic
the definition of Byproduct material set information.
forth in § 20.1003 of this chapter.
[73 FR 5725, Jan. 31, 2008, as amended at 74
[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 62683, Dec. 1, 2009]
FR 22583, May 25, 1989; 58 FR 33891, June 22,
1993; 66 FR 55792, Nov. 2, 2001; 72 FR 55933, § 61.5 Interpretations.
Oct. 1, 2007; 73 FR 5725, Jan. 31, 2008]
§ 61.3 License required. the Commission in writing, no inter-
pretation of the meaning of the regula-
(a) No person may receive, possess, tions in this part by any officer or em-
and dispose of radioactive waste con- ployee of the Commission other than a
taining source, special nuclear, or by- written interpretation by the General
product material at a land disposal fa- Counsel will be considered binding
cility unless authorized by a license upon the Commission.
issued by the Commission pursuant to
this part, or unless exemption has been § 61.6 Exemptions.
granted by the Commission under § 61.6 The Commission may, upon applica-
of this part. tion by any interested person, or upon
(b) Each person shall file an applica- its own initiative, grant any exemption
tion with the Commission and obtain a from the requirements of the regula-
license as provided in this part before tions in this part as it determines is
commencing construction of a land dis- authorized by law, will not endanger
posal facility. Failure to comply with life or property or the common defense
this requirement may be grounds for and security, and is otherwise in the
denial of a license. public interest.
205
§ 61.7 10 CFR Ch. I (1–1–11 Edition)
§ 61.7 Concepts. tion of individuals from inadvertent in-

(a) The disposal facility. (1) Part 61 is trusion, and protection of individuals
intended to apply to land disposal of during operations. A fourth objective is
radioactive waste and not to other to ensure stability of the site after clo-
methods such as sea or extraterrestrial sure.
disposal. Part 61 contains procedural (2) A cornerstone of the system is
requirements and performance objec- stability—stability of the waste and
tives applicable to any method of land the disposal site so that once emplaced
disposal. It contains specific technical and covered, the access of water to the
requirements for near-surface disposal waste can be minimized. Migration of
of radioactive waste, a subset of land radionuclides is thus minimized, long-
disposal, which involves disposal in the term active maintenance can be avoid-
uppermost portion of the earth, ap- ed, and potential exposures to intrud-
proximately 30 meters. Near-surface ers reduced. While stability is a desir-
disposal includes disposal in engineered able characteristic for all waste much
facilities which may be built totally or radioactive waste does not contain suf-
partially above-grade provided that ficient amounts of radionuclides to be
such facilities have protective earthen of great concern from these stand-
covers. Near-surface disposal does not points; this waste, however, tends to be
include disposal facilities which are unstable, such as ordinary trash type
partially or fully above-grade with no wastes. If mixed with the higher activ-
protective earthen cover, which are re- ity waste, their deterioration could
ferred to as ‘‘above-ground disposal.’’ lead to failure of the system and per-
Burial deeper than 30 meters may also mit water to penetrate the disposal
be satisfactory. Technical require- unit and cause problems with the high-
ments for alternative methods may be er activity waste. Therefore, in order
added in the future. to avoid placing requirements for a sta-
(2) Near-surface disposal of radio- ble waste form on relatively innocuous
active waste takes place at a near-sur- waste, these wastes have been classed
face disposal facility, which includes as Class A waste. The Class A waste
all of the land and buildings necessary will be disposed of in separate disposal
to carry out the disposal. The disposal units at the disposal site. However,
site is that portion of the facility Class A waste that is stable may be
which is used for disposal of waste and mixed with other classes of waste.
consists of disposal units and a buffer Those higher activity wastes that
zone. A disposal unit is a discrete por- should be stable for proper disposal are
tion of the disposal site into which classed as Class B and C waste. To the
waste is placed for disposal. For near- extent that it is practicable, Class B
surface disposal, the disposal unit is and C waste forms or containers should
usually a trench. A buffer zone is a por- be designed to be stable, i.e., maintain
tion of the disposal site that is con- gross physical properties and identity,
trolled by the licensee and that lies over 300 years. For certain radio-
under the site and between the bound- nuclides prone to migration, a max-
ary of the disposal site and any dis- imum disposal site inventory based on
posal unit. It provides controlled space the characteristics of the disposal site
to establish monitoring locations may be established to limit potential
which are intended to provide an early exposure.
warning of radionuclide movement, and (3) It is possible but unlikely that
to take mitigative measures if needed. persons might occupy the site in the
In choosing a disposal site, site charac- future and engage in normal pursuits
teristics should be considered in terms without knowing that they were re-
of the indefinite future and evaluated ceiving radiation exposure. These per-
for at least a 500–year timeframe. sons are referred to as inadvertent in-
(b) Waste classification and near-sur- truders. Protection of such intruders
face disposal. (1) Disposal of radioactive can involve two principal controls: in-
waste in near-surface disposal facilities stitutional control over the site after
has the following safety objectives: operations by the site owner to ensure
protection of the general population that no such occupation or improper
from releases of radioactivity, protec- use of the site occurs; or, designating
206
which waste could present an unaccept- of interest and narrowing the choice to
able risk to an intruder, and disposing the proposed site. Through a detailed
of this waste in a manner that provides investigation of the disposal site char-
some form of intruder barrier that is acteristics the potential applicant ob-
intended to prevent contact with the tains data on which to base an analysis
waste. This regulation incorporates of the disposal site’s suitability. Along
both types of protective controls. with these data and analyses, the ap-
(4) Institutional control of access to plicant submits other more general in-
the site is required for up to 100 years. formation to the Commission in the
This permits the disposal of Class A form of an application for a license for
and Class B waste without special pro- land disposal. The Commission’s review
visions for intrusion protection, since of the application is in accordance with
these classes of waste contain types administrative procedures established
and quantities of radioisotopes that by rule and may involve participation
will decay during the 100-year period by affected State governments or In-
and will present an acceptable hazard dian tribes. While the proposed disposal
to an intruder. The government land- site must be owned by a State or the
owner administering the active institu- Federal government before the Com-
tional control program has flexibility mission will issue a license, it may be
in controlling site access which may privately owned during the
include allowing productive uses of the preoperational phase if suitable ar-
land provided the integrity and long- rangements have been made with a
term performance of the site are not State or the Federal government to
affected. take ownership in fee of the land before
(5) Waste that will not decay to lev- the license is issued.
els which present an acceptable hazard (2) During the operational phase, the
to an intruder within 100 years is des- licensee carries out disposal activities
ignated as Class C waste. This waste is in accordance with the requirements of
disposed of at a greater depth than the this regulation and any conditions on
other classes of waste so that subse- the license. Periodically, the authority
quent surface activities by an intruder to conduct the above ground operations
will not disturb the waste. Where site and dispose of waste will be subject to
conditions prevent deeper disposal, in- a license renewal, at which time the
truder barriers such as concrete covers operating history will be reviewed and
may be used. The effective life of these a decision made to permit or deny con-
intruder barriers should be 500 years. A tinued operation. When disposal oper-
maximum concentration of radio- ations are to cease, the licensee applies
nuclides is specified for all wastes so for an amendment to his license to per-
that at the end of the 500 year period, mit site closure. After final review of
remaining radioactivity will be at a the licensee’s site closure and sta-
level that does not pose an unaccept- bilization plan, the Commission may
able hazard to an intruder or public approve the final activities necessary
health and safety. Waste with con- to prepare the disposal site so that on-
centrations above these limits is gen- going active maintenance of the site is
erally unacceptable for near-surface not required during the period of insti-
disposal. There may be some instances tutional control.
where waste with concentrations great- (3) During the period when the final
er than permitted for Class C would be site closure and stabilization activities
acceptable for near-surface disposal are being carried out, the licensee is in
with special processing or design. a disposal site closure phase. Following
These will be evaluated on a case-by- that, for a period of 5 years, the li-
case basis. Class C waste must also be censee must remain at the disposal site
stable. for a period of post-closure observation
(c) The licensing process. (1) During and maintenance to assure that the
the preoperational phase, the potential disposal site is stable and ready for in-
applicant goes through a process of dis- stitutional control. The Commission
posal site selection by selecting a re- may approve shorter or require longer
gion of interest, examining a number of periods if conditions warrant. At the
possible disposal sites within the area end of this period, the licensee applies
207
§ 61.8 10 CFR Ch. I (1–1–11 Edition)
for a license transfer to the disposal approved under control numbers 0694–
site owner. 0135.
(4) After a finding of satisfactory dis- [58 FR 33891, June 22, 1993, as amended at 62
posal site closure, the Commission will FR 52188, Oct. 6, 1997; 73 FR 78606, Dec. 23,
transfer the license to the State or 2008]
Federal government that owns the dis-
posal site. If the Department of Energy § 61.9 Employee protection.
is the Federal agency administering (a) Discrimination by a Commission
the land on bahalf of the Federal gov- licensee, an applicant for a Commis-
ernment the license will be terminated sion license, or a contractor or subcon-
because the Commission lacks regu- tractor of a Commission licensee or ap-
latory authority over the Department plicant against an employee for engag-
for this activity. Under the conditions ing in certain protected activities is
of the transferred license, the owner prohibited. Discrimination includes
will carry out a program of monitoring discharge and other actions that relate
to assure continued satisfactory dis- to compensation, terms, conditions, or
posal site performance, physical sur- privileges of employment. The pro-
veillance to restrict access to the site tected activities are established in sec-
and carry out minor custodial activi- tion 211 of the Energy Reorganization
ties. During this period, productive Act of 1974, as amended, and in general
uses of the land might be permitted if are related to the administration or en-
those uses do not affect the stability of forcement of a requirement imposed
the site and its ability to meet the per- under the Atomic Energy Act or the
formance objectives. At the end of the Energy Reorganization Act.
prescribed period of institutional con- (1) The protected activities include
trol, the license will be terminated by but are not limited to:
the Commission. (i) Providing the Commission or his
or her employer information about al-
[47 FR 57463, Dec. 27, 1982, as amended at 58 leged violations of either of the stat-
FR 33891, June 22, 1993]
utes named in paragraph (a) introduc-
§ 61.8 Information collection require- tory text of the section or possible vio-
ments: OMB approval. lations of requirements imposed under
either of those statutes;
(a) The Nuclear Regulatory Commis- (ii) Refusing to engage in any prac-
sion has submitted the information tice made unlawful under either of the
collection requirements contained in statutes named in paragraph (a) intro-
this part to the Office of Management ductory text or under these require-
and Budget (OMB) for approval as re- ments if the employee has identified
quired by the Paperwork Reduction the alleged illegality to the employer;
Act (44 U.S.C. 3501 et seq.). The NRC (iii) Requesting the Commission to
may not conduct or sponsor, and a per- institute action against his or her em-
son is not required to respond to, a col- ployer for the administration or en-
lection of information unless it dis- forcement of these requirements;
plays a currently valid OMB control (iv) Testifying in any Commission
number. OMB has approved the infor- proceeding, or before Congress, or at
mation collection requirements con- any Federal or State proceeding re-
tained in this part under control num- garding any provision (or proposed pro-
ber 3150–0135. vision) of either of the statutes named
(b) The approved information collec- in paragraph (a) introductory text.
tion requirements contained in this (v) Assisting or participating in, or is
Part appear in §§ 61.3, 61.6, 61.9, 61.10, about to assist or participate in, these
61.11, 61.12, 61.13, 61.14, 61.15, 61.16, 61.20, activities.
61.22, 61.24, 61.26, 61.27, 61.28, 61.30, 61.31, (2) These activities are protected
61.32, 61.53, 61.55, 61.57, 61.58, 61.61, 61.62, even if no formal proceeding is actu-
61.63, 61.72, and 61.80. ally initiated as a result of the em-
(c) In § 61.32, Form N–71 and associ- ployee assistance or participation.
ated forms are approved under control (3) This section has no application to
number 3150–0056, and DOC/NRC Forms any employee alleging discrimination
AP–1, AP–A, and associated forms are prohibited by this section who, acting
208
Nuclear Regulatory Commission § 61.9a
without direction from his or her em- their place of work. Premises must be
ployer (or the employer’s agent), delib- posted not later than 30 days after an
erately causes a violation of any re- application is docketed and remain
quirement of the Energy Reorganiza- posted while the application is pending
tion Act of 1974, as amended, or the before the Commission, during the
Atomic Energy Act of 1954, as amend- term of the license, and for 30 days fol-
ed. lowing license termination.
(b) Any employee who believes that (2) Copies of NRC Form 3 can be ob-
he or she has been discharged or other- tained by writing to the Regional Ad-
wise discriminated against by any per- ministrator of the appropriate U.S. Nu-
son for engaging in protected activities clear Regulatory Commission Regional
specified in paragraph (a)(1) of this sec- Office listed in appendix D to part 20 of
tion may seek a remedy for the dis- this chapter, by calling (301) 415–7232,
charge or discrimination through an via e-mail to FORMS.Resource@nrc.gov,
administrative proceeding in the De- or by visiting the NRC’s Web site at
partment of Labor. The administrative http://www.nrc.gov and selecting forms
proceeding must be initiated within 180 from the index found on the home page.
days after an alleged violation occurs. (f) No agreement affecting the com-
The employee may do this by filing a pensation, terms, conditions, or privi-
complaint alleging the violation with leges of employment, including an
the Department of Labor, Employment agreement to settle a complaint filed
Standards Administration, Wage and by an employee with the Department
Hour Division. The Department of of Labor pursuant to section 211 of the
Labor may order reinstatement, back Energy Reorganization Act of 1974, as
pay, and compensatory damages. amended, may contain any provision
(c) A violation of paragraph (a), (e), which would prohibit, restrict, or oth-
or (f) of this section by a Commission erwise discourage an employee from
licensee, an applicant for a Commis- participating in protected activity as
sion license, or a contractor or subcon- defined in paragraph (a)(1) of this sec-
tractor of a Commission licensee or ap- tion including, but not limited to, pro-
plicant may be grounds for— viding information to the NRC or to
(1) Denial, revocation, or suspension his or her employer on potential viola-
of the license. tions or other matters within NRC’s
(2) Imposition of a civil penalty on regulatory responsibilities.
the licensee, applicant, or a contractor [58 FR 52412, Oct. 8, 1993, as amended at 60 FR
or subcontractor of the licensee or ap- 24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996; 68
plicant. FR 58814, Oct. 10, 2003; 72 FR 63974, Nov. 14,
(3) Other enforcement action. 2007; 73 FR 30459, May 28, 2008]
(d) Actions taken by an employer, or
others, which adversely affect an em- § 61.9a Completeness and accuracy of
ployee may be predicated upon non- information.
discriminatory grounds. The prohibi- (a) Information provided to the Com-
tion applies when the adverse action mission by an applicant for a license or
occurs because the employee has en- by a licensee or information required
gaged in protected activities. An em- by statute or by the Commission’s reg-
ployee’s engagement in protected ac- ulations, orders, or license conditions
tivities does not automatically render to be maintained by the applicant or
him or her immune from discharge or the licensee shall be complete and ac-
discipline for legitimate reasons or curate in all material respects.
from adverse action dictated by non- (b) Each applicant or licensee shall
prohibited considerations. notify the Commission of information
(e)(1) Each licensee and each appli- identified by the applicant or licensee
cant for a license shall prominently as having for the regulated activity a
post the revision of NRC Form 3, ‘‘No- significant implication for public
tice to Employees,’’ referenced in 10 health and safety or common defense
CFR 19.11(c). This form must be posted and security. An applicant or licensee
at locations sufficient to permit em- violates this paragraph only if the ap-
ployees protected by this section to ob- plicant or licensee fails to notify the
serve a copy on the way to or from Commission of information that the
209
§ 61.9b 10 CFR Ch. I (1–1–11 Edition)
applicant or licensee has identified as tract, purchase order, or policy of a li-

having a significant implication for censee, applicant, contractor, or sub-
public health and safety or common de- contractor.
[63 FR 1898, Jan. 13, 1998]
be provided to the Administrator of the
appropriate Regional Office within two
working days of identifying the infor- Subpart B—Licenses
mation. This requirement is not appli-
cable to information which is already § 61.10 Content of application.
required to be provided to the Commis- An application to receive from oth-
sion by other reporting or updating re- ers, possess and dispose of wastes con-
quirements. taining or contaminated with source,
[52 FR 49372, Dec. 31, 1987] byproduct or special nuclear material
by land disposal must consist of gen-
§ 61.9b Deliberate misconduct. eral information, specific technical in-
(a) Any licensee, applicant for a li- formation, institutional information,
cense, employee of a licensee or appli- and financial information as set forth
cant; or any contractor (including a in §§ 61.11 through 61.16. An environ-
supplier or consultant), subcontractor, mental report prepared in accordance
employee of a contractor or subcon- with subpart A of part 51 of this chap-
tractor of any licensee or applicant for ter must accompany the application.
a license, who knowingly provides to [49 FR 9405, Mar. 12, 1984]
any licensee, applicant, contractor, or
subcontractor, any components, equip- § 61.11 General information.
ment, materials, or other goods or The general information must in-
services that relate to a licensee’s or clude each of the following:
applicant’s activities in this part, may
(a) Identity of the applicant includ-
not:
ing:
(1) Engage in deliberate misconduct
(1) The full name, address, telephone
that causes or would have caused, if
number and description of the business
not detected, a licensee or applicant to
be in violation of any rule, regulation, or occupation of the applicant;
or order; or any term, condition, or (2) If the applicant is a partnership,
limitation of any license issued by the the name, and address of each partner
Commission; or and the principal location where the
(2) Deliberately submit to the NRC, a partnership does business;
licensee, an applicant, or a licensee’s (3) If the applicant is a corporation or
or applicant’s contractor or subcon- an unincorporated association, (i) the
tractor, information that the person state where it is incorporated or orga-
submitting the information knows to nized and the principal location where
be incomplete or inaccurate in some it does business, and (ii) the names and
respect material to the NRC. addresses of its directors and principal
(b) A person who violates paragraph officers; and
(a)(1) or (a)(2) of this section may be (4) If the applicant is acting as an
subject to enforcement action in ac- agent or representative of another per-
cordance with the procedures in 10 CFR son in filing the application, all infor-
part 2, subpart B. mation required under this paragraph
(c) For the purposes of paragraph must be supplied with respect to the
(a)(1) of this section, deliberate mis- other person.
conduct by a person means an inten- (b) Qualifications of the applicant:
tional act or omission that the person (1) The organizational structure of
knows: the applicant, both offsite and onsite,
(1) Would cause a licensee or appli- including a description of lines of au-
cant to be in violation of any rule, reg- thority and assignments of responsibil-
ulation, or order; or any term, condi- ities, whether in the form of adminis-
tion, or limitation, of any license trative directives, contract provisions,
issued by the Commission; or or otherwise;

(2) Constitutes a violation of a re- (2) The technical qualifications, in-
quirement, procedure, instruction, concluding training and experience, of the
210
applicant and members of the appli- maintenance; inadvertent intrusion;

cant’s staff to engage in the proposed occupational exposures; disposal site
activities. Minimum training and expe- monitoring; and adequacy of the size of
rience requirements for personnel fill- the buffer zone for monitoring and po-
ing key positions described in para- tential mitigative measures.
graph (b)(1) of this section must be pro- (c) A description of the principal de-
vided; sign criteria and their relationship to
(3) A description of the applicant’s the performance objectives.
personnel training program; and (d) A description of the design basis
(4) The plan to maintain an adequate natural events or phenomena and their
complement of trained personnel to
relationship to the principal design cri-
carry out waste receipt, handling, and
teria.
disposal operations in a safe manner.
(c) A description of: (e) A description of codes and stand-
(1) The location of the proposed dis- ards which the applicant has applied to
posal site; the design and which will apply to con-
(2) The general character of the pro- struction of the land disposal facilities.
posed activities; (f) A description of the construction
(3) The types and quantities of radio- and operation of the land disposal fa-
active waste to be received, possessed, cility. The description must include as
and disposed of; a minimum the methods of construc-
(4) Plans for use of the land disposal tion of disposal units; waste emplace-
facility for purposes other than dis- ment; the procedures for and areas of
posal of radioactive wastes; and waste segregation; types of intruder
(5) The proposed facilities and equip- barriers; onsite traffic and drainage
ment. systems; survey control program;
(d) Proposed schedules for construc- methods and areas of waste storage;
tion, receipt of waste, and first em- and methods to control surface water
placement of waste at the proposed and groundwater access to the wastes.
land disposal facility. The description must also include a de-
scription of the methods to be em-
§ 61.12 Specific technical information.
ployed in the handling and disposal of
The specific technical information wastes containing chelating agents or
must include the following information other non-radiological substances that
needed for demonstration that the per- might affect meeting the performance
formance objectives of subpart C of objectives in subpart C of this part.
this part and the applicable technical (g) A description of the disposal site
requirements of subpart D of this part closure plan, including those design
will be met: features which are intended to facili-
(a) A description of the natural and tate disposal site closure and to elimi-
demographic disposal site characteris- nate the need for ongoing active main-
tics as determined by disposal site se- tenance.
lection and characterization activities.
(h) An identification of the known
The description must include geologic,
natural resources at the disposal site,
geotechnical, hydrologic, meteorologic,
climatologic, and biotic features of the the exploitation of which could result
disposal site and vicinity. in inadvertent intrusion into the low-
(b) A description of the design fea- level wastes after removal of active in-
tures of the land disposal facility and stitutional control.
the disposal units. For near-surface (i) A description of the kind, amount,
disposal, the description must include classification and specifications of the
those design features related to infil- radioactive material proposed to be re-
tration of water; integrity of covers for ceived, possessed, and disposed of at
disposal units; structural stability of the land disposal facility.
backfill, wastes, and covers; contact of (j) A description of the quality assur-
wastes with standing water; disposal ance program, tailored to LLW dis-
site drainage; disposal site closure and posal, developed and applied by the ap-
stabilization; elimination to the extent plicant for the determination of nat-
practicable of long-term disposal site ural disposal site characteristics and
211
§ 61.13 10 CFR Ch. I (1–1–11 Edition)
for quality assurance during the de- (b) Analyses of the protection of indi-
sign, construction, operation, and clo- viduals from inadvertent intrusion
sure of the land disposal facility and must include demonstration that there
the receipt, handling, and emplace- is reasonable assurance the waste clas-
ment of waste. sification and segregation require-
(k) A description of the radiation ments will be met and that adequate
safety program for control and moni- barriers to inadvertent intrusion will
toring of radioactive effluents to en- be provided.
sure compliance with the performance (c) Analyses of the protection of indi-
objective in § 61.41 of this part and oc- viduals during operations must include
cupational radiation exposure to en- assessments of expected exposures due
sure compliance with the requirements to routine operations and likely acci-
of part 20 of this chapter and to control dents during handling, storage, and dis-
contamination of personnel, vehicles, posal of waste. The analyses must pro-
equipment, buildings, and the disposal vide reasonable assurance that expo-
site. Both routine operations and acci- sures will be controlled to meet the re-
dents must be addressed. The program quirements of part 20 of this chapter.
description must include procedures, (d) Analyses of the long-term sta-
instrumentation, facilities, and equip- bility of the disposal site and the need
ment. for ongoing active maintenance after
(l) A description of the environ- closure must be based upon analyses of
mental monitoring program to provide active natural processes such as ero-
data to evaluate potential health and sion, mass wasting, slope failure, set-
environmental impacts and the plan tlement of wastes and backfill, infiltra-
for taking corrective measures if mi- tion through covers over disposal areas
gration of radionuclides is indicated. and adjacent soils, and surface drain-
(m) A description of the administra- age of the disposal site. The analyses
tive procedures that the applicant will must provide reasonable assurance
apply to control activities at the land that there will not be a need for ongo-
disposal facility. ing active maintenance of the disposal
(n) A description of the facility elec- site following closure.
tronic recordkeeping system as re-
quired in § 61.80. § 61.14 Institutional information.
[47 FR 57463, Dec. 27, 1982, as amended at 58 The institutional information must
FR 33891, June 22, 1993; 60 FR 15666, Mar. 27, include:
1995] (a) A certification by the Federal or
State government which owns the dis-
§ 61.13 Technical analyses. posal site that the Federal or State
The specific technical information government is prepared to accept
must also include the following anal- transfer of the license when the provi-
yses needed to demonstrate that the sions of § 61.30 are met, and will assume
performance objectives of subpart C of responsibility for custodial care after
this part will be met: site closure and postclosure observa-
(a) Pathways analyzed in dem- tion and maintenance.
onstrating protection of the general (b) Where the proposed disposal site
population from releases of radioac- is on land not owned by the Federal or
tivity must include air, soil, ground- a State government, the applicant
water, surface water, plant uptake, and must submit evidence that arrange-
exhumation by burrowing animals. The ments have been made for assumption
analyses must clearly identify and dif- of ownership in fee by the Federal or a
ferentiate between the roles performed State government before the Commis-
by the natural disposal site character- sion issues a license.
istics and design features in isolating
and segregating the wastes. The anal- § 61.15 Financial information.
yses must clearly demonstrate that The financial information must be
there is reasonable assurance that the sufficient to demonstrate that the fi-
exposure to humans from the release of nancial qualifications of the applicant

radioactivity will not exceed the limits are adequate to carry out the activities
set forth in § 61.41. for which the license is sought and
212
meet other financial assurance require- (b) The applicant shall maintain the
ments as specified in subpart E of this capability to generate additional cop-
part. ies of the application for distribution
in accordance with written instruc-
§ 61.16 Other information. tions from the Director or the Direc-
Depending upon the nature of the tor’s designee.
wastes to be disposed of, and the design (c) Fees. Application, amendment,
and proposed operation of the land dis- and inspection fees applicable to a li-
posal facility, additional information cense covering the receipt and disposal
may be requested by the Commission of radioactive wastes in a land disposal
including the following: facility are required by part 170 of this
(a) Physical security measures, if appro- chapter.
priate. Any application to receive and [47 FR 57463, Dec. 27, 1982, as amended at 49
possess special nuclear material in FR 9405, Mar. 12, 1984; 68 FR 58814, Oct. 10,
quantities subject to the requirements 2003]
of part 73 of this chapter shall dem-
onstrate how the physical security re- § 61.21 Elimination of repetition.
quirements of part 73 will be met. In In its application, the applicant may
determining whether receipt and pos- incorporate by reference information
session will be subject to the require- contained in previous applications,
ments of part 73, the applicant shall statements, or reports filed with the
not consider the quantity of special nu- Commission if these references are
clear material that has been disposed clear and specific.
of.
[49 FR 9405, Mar. 12, 1984]
(b) Safety information concerning criti-
cality, if appropriate. (1) Any applica- § 61.22 Updating of application.
tion to receive and possess special nu-
clear material in quantities that would (a) The application must be as com-
be subject to the requirements of plete as possible in the light of infor-
mation that is available at the time of
§ 70.24, ‘‘Criticality accident require-
submittal.
ments’’ of part 70 of this chapter shall
demonstrate how the requirements of (b) The applicant shall supplement
that section will be met, unless the ap- its application in a timely manner, as
plicant requests an exemption pursu- necessary, to permit the Commission
ant to § 70.24(d). In determining wheth- to review, prior to issuance of a li-
er receipt and possession would be sub- cense, any changes in the activities
ject to the requirements of § 70.24, the proposed to be carried out or new infor-
applicant shall not consider the quan- mation regarding the proposed activi-
tity of special nuclear material that ties.
has been disposed of. [49 FR 9405, Mar. 12, 1984]
(2) Any application to receive and
possess special nuclear material shall § 61.23 Standards for issuance of a li-
describe proposed procedures for avoid- cense.
ing accidental criticality, which ad- A license for the receipt, possession,
dress both storage of special nuclear and disposal of waste containing or
material prior to disposal and waste contaminated with source, special nu-
emplacement for disposal. clear, or byproduct material will be
issued by the Commission upon finding
§ 61.20 Filing and distribution of appli- that the issuance of the license will not
cation. be inimical to the common defense and
(a) An application for a license under security and will not constitute an un-
this part, and any amendments there- reasonable risk to the health and safe-
to, must be filed with the Director, ty of the public, and:
must be signed by the applicant or the (a) The applicant is qualified by rea-
applicant’s authorized representative son of training and experience to carry
under oath or affirmation, and, if the out the disposal operations requested
document is in paper form, must be the in a manner that protects health and
signed original. minimizes danger to life or property.
213
§ 61.24 10 CFR Ch. I (1–1–11 Edition)
(b) The applicant’s proposed disposal trol meets the requirements of § 61.59,
site, disposal design, land disposal fa- Institutional requirements.
cility operations (including equipment, (h) The information on financial as-
facilities, and procedures), disposal site surances meets the requirements of
closure, and postclosure institutional subpart E of this part.
control are adequate to protect the (i) The applicant’s physical security
public health and safety in that they information provides reasonable assur-
provide reasonable assurance that the ance that the requirements of part 73
general population will be protected of this chapter will be met, insofar as
from releases of radioactivity as speci- they are applicable to special nuclear
fied in the performance objective in material to be possessed before dis-
§ 61.41, Protection of the general popu- posal under the license.
lation from releases of radioactivity. (j) The applicant’s criticality safety
(c) The applicant’s proposed disposal procedures are adequate to protect the
site, disposal site design, land disposal public health and safety and provide
facility operations (including equip- reasonable assurance that the require-
ment, facilities, and procedures), dis- ments of § 70.24, Criticality accident re-
posal site closure, and postclosure in- quirements, of part 70 of this chapter
stitutional control are adequate to pro- will be met, insofar as they are applica-
tect the public health and safety in ble to special nuclear material to be
that they will provide reasonable as- possessed before disposal under the li-
surance that individual inadvertent in- cense.
truders are protected in accordance (k) Any additional information sub-
with the performance objective in mitted as requested by the Commission
§ 61.42, Protection of individuals from pursuant to § 61.16, Other information,
inadvertent intrusion. is adequate.
(d) The applicant’s proposed land dis- (l) The requirements of subpart A of
posal facility operations, including part 51 of this chapter have been met.
equipment, facilities, and procedures, [47 FR 57463, Dec. 27, 1982, as amended at 49
are adequate to protect the public FR 9405, Mar. 12, 1984]
health and safety in that they will pro-
vide reasonable assurance that the § 61.24 Conditions of licenses.
standards for radiation protection set (a) A license issued under this part,
out in part 20 of this chapter will be or any right thereunder, may be trans-
met. ferred, assigned, or in any manner dis-
(e) The applicant’s proposed disposal posed of, either voluntarily or involun-
site, disposal site design, land disposal tarily, directly or indirectly, through
facility operations, disposal site clo- transfer of control of the license to any
sure, and postclosure institutional con- person, only if the Commission finds,
trol are adequate to protect the public after securing full information, that
health and safety in that they will pro- the transfer is in accordance with the
vide reasonable assurance that long- provisions of the Atomic Energy Act
term stability of the disposed waste and gives its consent in writing in the
and the disposal site will be achieved form of a license amendment.
and will eliminate to the extent prac- (b) The licensee shall submit written
ticable the need for ongoing active statements under oath upon request of
maintenance of the disposal site fol- the Commission, at any time before
lowing closure. termination of the license, to enable
(f) The applicant’s demonstration the Commission to determine whether
provides reasonable assurance that the or not the license should be modified,
applicable technical requirements of suspended, or revoked.
subpart D of this part will be met. (c) The license will be transferred to
(g) The applicant’s proposal for insti- the site owner only on the full imple-
tutional control provides reasonable mentation of the final closure plan as
assurance that institutional control approved by the Commission, including
will be provided for the length of time post-closure observation and mainte-
found necessary to ensure the findings nance.

in paragraphs (b) through (e) of this (d) The licensee shall be subject to
section and that the institutional con- the provisions of the Atomic Energy
214
Act now or hereafter in effect, and to this part in quantities that would be
all rules, regulations, and orders of the subject to the requirements of § 70.24 of
Commission. The terms and conditions part 70 of this chapter shall comply
of the license are subject to amend- with the requirements of that section.
ment, revision, or modification, by rea- The licensee shall not consider the
son of amendments to, or by reason of quantity of special nuclear material
rules, regulations, and orders issued in that has been disposed of.
accordance with the terms of the (j) The authority to dispose of wastes
Atomic Energy Act. expires on the date stated in the li-
(e) Any license may be revoked, sus- cense except as provided in § 61.27(a) of
pended or modified in whole or in part this part.
for any material false statement in the (k)(1) Each licensee shall notify the
application or any statement of fact re- appropriate NRC Regional Adminis-
quired under Section 182 of the Act, or trator, in writing, immediately fol-
because of conditions revealed by any lowing the filing of a voluntary or in-
application or statement of fact or any voluntary petition for bankruptcy
report, record, or inspection or other under any Chapter of Title 11 (Bank-
means which would warrant the Com- ruptcy) of the United States Code by or
mission to refuse to grant a license to against:
the original application, or for failure (i) The licensee;
to operate the facility in accordance (ii) An entity (as that term is defined
with the terms of the license, or for in 11 U.S.C. 101(14)) controlling the li-
any violation of, or failure to observe censee or listing the license or licensee
any of the terms and conditions of the as property of the estate; or
Act, or any rule, regulation, license or (iii) An affiliate (as that term is de-
order of the Commission. fined in 11 U.S.C. 101(2)) of the licensee.
(f) Each person licensed by the Com- (2) This notification must indicate:
mission pursuant to the regulations in (i) The bankruptcy court in which
this part shall confine possession and the petition for bankruptcy was filed;
use of materials to the locations and and
purposes authorized in the license. (ii) The date of the filing of the peti-
(g) No radioactive waste may be dis- tion.
posed of until the Commission has in- [47 FR 57463, Dec. 27, 1982, as amended at 52
spected the land disposal facility and FR 1295, Jan. 12, 1987]
has found it to be in conformance with
the description, design, and construc- § 61.25 Changes.
tion described in the application for a (a) Except as provided for in specific
license. license conditions, the licensee shall
(h) The Commission may incorporate not make changes in the land disposal
in any license at the time of issuance, facility or procedures described in the
or thereafter, by appropriate rule, reg- license application. The license will in-
ulation or order, additional require- clude conditions restricting subsequent
ments and conditions with respect to changes to the facility and the proce-
the licensee’s receipt, possession, and dures authorized which are important
disposal of source, special nuclear or to public health and safety. These li-
byproduct material as it deems appro- cense restrictions will fall into three
priate or necessary in order to: categories of descending importance to
(1) Promote the common defense and public health and safety as follows: (1)
security; those features and procedures which
(2) Protect health or to minimize may not be changed without (i) 60 days
danger to life or property; prior notice to the Commission, (ii) 30
(3) Require reports and the keeping of days notice of opportunity for a prior
records, and to provide for inspections hearing, and (iii) prior Commission ap-
of activities under the license that may proval; (2) those features and proce-
be necessary or appropriate to effec- dures which may not be changed with-
tuate the purposes of the Act and regu- out (i) 60 days prior notice to the
lations thereunder. Commisson, and (ii) prior Commission

(i) Any licensee who receives and pos- approval; and (3) those features and
sesses special nuclear material under procedures which may not be changed
215
§ 61.26 10 CFR Ch. I (1–1–11 Edition)
without 60 days prior notice to the Commission has taken final action on
Commission. Features and procedures the application for renewal.
falling in paragraph (a)(3) of this sec- (d) In determining whether a license
tion may not be changed without prior will be renewed, the Commission will
Commission approval if the Commis- apply the criteria set forth in § 61.23.
sion, after having received the required
notice, so orders. § 61.28 Contents of application for clo-
(b) Amendments authorizing site closure.
sure, license transfer, or license termi- (a) Prior to final closure of the dis-
nation shall be included in paragraph posal site, or as otherwise directed by
(a)(1) of this section. the Commission, the applicant shall
(c) The Commission shall provide a submit an application to amend the li-
copy of the notice for opportunity for cense for closure. This closure applica-
hearings provided in paragraph (a)(1) of tion must include a final revision and
this section to State and local officials specific details of the disposal site clo-
or tribal governing bodies specified in sure plan included as part of the li-
§ 2.104(e) of part 2 of this chapter.
cense application submitted under
§ 61.26 Amendment of license. § 61.12(g) that includes each of the fol-
lowing:
(a) An application for amendment of (1) Any additional geologic, hydro-
a license must be filed in accordance logic, or other disposal site data perti-
with § 61.20 and shall fully describe the nent to the long-term containment of
changes desired.
emplaced radioactive wastes obtained
(b) In determining whether an during the operational period.
amendment to a license will be ap-
(2) The results of tests, experiments,
proved, the Commission will apply the
or any other analyses relating to back-
criteria set forth in § 61.23.
fill of excavated areas, closure and
§ 61.27 Application for renewal or clo- sealing, waste migration and inter-
sure. action with emplacement media, or
any other tests, experiments, or anal-
(a) Any expiration date on a license
ysis pertinent to the long-term con-
applies only to the above ground ac-
tainment of emplaced waste within the
tivities and to the authority to dispose
of waste. Failure to renew the license disposal site.
shall not relieve the licensee of respon- (3) Any proposed revision of plans for:
sibility for carrying out site closure, (i) Decontamination and/or dis-
postclosure observation and transfer of mantlement of surface facilities;
the license to the site owner. An appli- (ii) Backfilling of excavated areas; or
cation for renewal or an application for (iii) Stabilization of the disposal site
closure under § 61.28 must be filed at for post-closure care.
least 30 days prior to license expira- (b) An environmental report or a sup-
tion. plement to an environmental report
(b) Applications for renewal of a li- prepared in accordance with subpart A
cense must be filed in accordance with of part 51 of this chapter must accom-
§§ 61.10 through 61.16 and § 61.20. Appli- pany the application.
cations for closure must be filed in ac- (c) Upon review and consideration of
cordance with §§ 61.20 and 61.28. Infor- an application to amend the license for
mation contained in previous applica- closure submitted in accordance with
tions, statements or reports filed with paragraph (a) of this section, the Com-
the Commission under the license may mission shall issue an amendment au-
be incorporated by reference if the ref-
thorizing closure if there is reasonable
erences are clear and specific.
assurance that the long-term perform-
(c) In any case in which a licensee ance objectives of subpart C of this
has timely filed an application for re-
part will be met.

newal of a license, the license for con-
tinued receipt and disposal of licensed [47 FR 57463, Dec. 27, 1982, as amended at 49
materials does not expire until the FR 9406, Mar. 12, 1984]
216
§ 61.29 Post-closure observation and (b) This application must be filed,

maintenance. and will be reviewed, in accordance
Following completion of closure au- with the provision of § 61.20 and of this
section.
thorized in § 61.28, the licensee shall ob-
serve, monitor, and carry out nec- (c) A license is terminated only when
essary maintenance and repairs at the the Commission finds:
disposal site until the license is trans- (1) That the institutional control re-
ferred by the Commission in accord- quirements found necessary under
ance with § 61.30. Responsibility for the § 61.23(g) have been met; and
disposal site must be maintained by (2) That any additional requirements
the licensee for 5 years. A shorter or resulting from new information devel-
longer time period for post-closure ob- oped during the institutional control
servation and maintenance may be es- period have been met, and that perma-
tablished and approved as part of the nent monuments or markers warning
site closure plan, based on site-specific against intrusion have been installed.
conditions. (3) That the records required by
§ 61.80 (e) and (f) have been sent to the
§ 61.30 Transfer of license. party responsible for institutional con-
trol of the disposal site and a copy has
(a) Following closure and the period
been sent to the Commission imme-
of post-closure observation and mainte-
diately prior to license termination.
nance, the licensee may apply for an
amendment to transfer the license to [47 FR 57463, Dec. 27, 1982, as amended at 61
the disposal site owner. The license FR 24674, May 16, 1996]
shall be transferred when the Commis-
sion finds: US/IAEA SAFEGUARDS AGREEMENT
(1) That the closure of the disposal
§ 61.32 Facility information and
site has been made in conformance verification.
with the licensee’s disposal site closure
plan, as amended and approved as part (a) In response to a written request
of the license; by the Commission, each applicant for
(2) That reasonable assurance has a license and each recipient of a license
been provided by the licensee that the shall submit facility information, as
performance objectives of subpart C of described in § 75.10 of this chapter, on
this part are met; Form N–71 and associated forms and
(3) That any funds for care and site information on DOC/NRC Form
records required by § 61.80 (e) and (f) AP–A, and associated forms;
have been transferred to the disposal (b) As required by the Additional
site owner; Protocol, applicants and licensees spec-
(4) That the post-closure monitoring ified in paragraph (a) of this section
program is operational for implemen- shall submit location information de-
tation by the disposal site owner; and scribed in § 75.11 of this chapter on
DOC/NRC Form AP–1 and associated
(5) That the Federal or State govern-
forms; and
ment agency which will assume respon-
(c) Shall permit verification thereof
sibility for institutional control of the
by the International Atomic Energy
disposal site is prepared to assume re-
Agency (IAEA) and take other action
sponsibility and ensure that the insti-
as necessary to implement the US/
tutional requirements found necessary
IAEA Safeguards Agreement, as de-
under § 61.23(g) will be met.
scribed in Part 75 of this chapter.
[47 FR 57463, Dec. 27, 1982, as amended at 61
FR 24674, May 16, 1996] [73 FR 78606, Dec. 23, 2008]
§ 61.31 Termination of license. Subpart C—Performance

(a) Following any period of institu- Objectives
tional control needed to meet the re-
quirements found necessary under § 61.40 General requirement.

§ 61.23, the licensee may apply for an Land disposal facilities must be
amendment to terminate the license. sited, designed, operated, closed, and
217
§ 61.41 10 CFR Ch. I (1–1–11 Edition)
controlled after closure so that reason- Subpart D—Technical Require-

able assurance exists that exposures to ments for Land Disposal Facili-
humans are within the limits estab- ties
lished in the performance objectives in
§§ 61.41 through 61.44. § 61.50 Disposal site suitability re-
quirements for land disposal.
§ 61.41 Protection of the general popu-
lation from releases of radioac- (a) Disposal site suitability for near-sur-
tivity. face disposal. (1) The purpose of this
section is to specify the minimum
Concentrations of radioactive mate- characteristics a disposal site must
rial which may be released to the gen- have to be acceptable for use as a near-
eral environment in ground water, sur- surface disposal facility. The primary
face water, air, soil, plants, or animals emphasis in disposal site suitability is
must not result in an annual dose ex- given to isolation of wastes, a matter
ceeding an equivalent of 25 millirems having long-term impacts, and to dis-
to the whole body, 75 millirems to the posal site features that ensure that the
thyroid, and 25 millirems to any other long-term performance objectives of
organ of any member of the public. subpart C of this part are met, as op-
Reasonable effort should be made to posed to short-term convenience or
maintain releases of radioactivity in benefits.
effluents to the general environment as (2) The disposal site shall be capable
low as is reasonably achievable. of being characterized, modeled, ana-
lyzed and monitored.
§ 61.42 Protection of individuals from (3) Within the region or state where
inadvertent intrusion.
the facility is to be located, a disposal
Design, operation, and closure of the site should be selected so that pro-
land disposal facility must ensure projected population growth and future
tection of any individual inadvertently developments are not likely to affect
intruding into the disposal site and oc- the ability of the disposal facility to
cupying the site or contacting the meet the performance objectives of
waste at any time after active institu- subpart C of this part.
tional controls over the disposal site (4) Areas must be avoided having
are removed. known natural resources which, if ex-
ploited, would result in failure to meet
§ 61.43 Protection of individuals dur- the performance objectives of subpart
ing operations. C of this part.
Operations at the land disposal facil- (5) The disposal site must be gen-
ity must be conducted in compliance erally well drained and free of areas of
with the standards for radiation pro- flooding or frequent ponding. Waste
tection set out in part 20 of this chap- disposal shall not take place in a 100-
ter, except for releases of radioactivity year flood plain, coastal high-hazard
in effluents from the land disposal fa- area or wetland, as defined in Execu-
cility, which shall be governed by tive Order 11988, ‘‘Floodplain Manage-
§ 61.41 of this part. Every reasonable ef- ment Guidelines.’’
fort shall be made to maintain radi- (6) Upstream drainage areas must be
ation exposures as low as is reasonably minimized to decrease the amount of
achievable. runoff which could erode or inundate
waste disposal units.
§ 61.44 Stability of the disposal site (7) The disposal site must provide
after closure. sufficient depth to the water table that
The disposal facility must be sited, ground water intrusion, perennial or
designed, used, operated, and closed to otherwise, into the waste will not
achieve long-term stability of the dis- occur. The Commission will consider
posal site and to eliminate to the ex- an exception to this requirement to
tent practicable the need for ongoing allow disposal below the water table if
active maintenance of the disposal site it can be conclusively shown that dis-
following closure so that only surveil- posal site characteristics will result in
lance, monitoring, or minor custodial molecular diffusion being the predomi-
care are required. nant means of radionuclide movement
218
and the rate of movement will result in that the performance objectives of sub-
the performance objectives of subpart part C of this part will be met.
C of this part being met. In no case will (4) Covers must be designed to mini-
waste disposal be permitted in the zone mize to the extent practicable water
of fluctuation of the water table. infiltration, to direct percolating or
(8) The hydrogeologic unit used for surface water away from the disposed
disposal shall not discharge ground waste, and to resist degradation by sur-
water to the surface within the dis- face geologic processes and biotic ac-
posal site. tivity.
(9) Areas must be avoided where
(5) Surface features must direct sur-
tectonic processes such as faulting,
face water drainage away from disposal
folding, seismic activity, or vulcanism
may occur with such frequency and ex- units at velocities and gradients which
tent to significantly affect the ability will not result in erosion that will re-
of the disposal site to meet the per- quire ongoing active maintenance in
formance objectives of subpart C of the future.
this part, or may preclude defensible (6) The disposal site must be designed
modeling and prediction of long-term to minimize to the extent practicable
impacts. the contact of water with waste during
(10) Areas must be avoided where sur- storage, the contact of standing water
face geologic processes such as mass with waste during disposal, and the
wasting, erosion, slumping, contact of percolating or standing
landsliding, or weathering occur with water with wastes after disposal.
such frequency and extent to signifi- (b) Disposal site design for other than
cantly affect the ability of the disposal near-surface disposal. [Reserved]
site to meet the performance objec-
tives of subpart C of this part, or may § 61.52 Land disposal facility operation
preclude defensible modeling and pre- and disposal site closure.
diction of long-term impacts. (a) Near-surface disposal facility oper-
(11) The disposal site must not be lo-
ation and disposal site closure. (1) Wastes
cated where nearby facilities or activi-
designated as Class A pursuant to
ties could adversely impact the ability
of the site to meet the performance ob- § 61.55, must be segregated from other
jectives of subpart C of this part or sig- wastes by placing in disposal units
nificantly mask the environmental which are sufficiently separated from
monitoring program. disposal units for the other waste
(b) Disposal site suitability requirements classes so that any interaction between
for land disposal other than near-surface. Class A wastes and other wastes will
[Reserved] not result in the failure to meet the
performance objectives in subpart C of
§ 61.51 Disposal site design for land this Part. This segregation is not nec-
disposal. essary for Class A wastes if they meet
(a) Disposal site design for near-surface the stability requirements in § 61.56(b)
disposal. (1) Site design features must of this part.
be directed toward long-term isolation (2) Wastes designated as Class C pur-
and avoidance of the need for con- suant to § 61.55, must be disposed of so
tinuing active maintenance after site that the top of the waste is a minimum
closure. of 5 meters below the top surface of the
(2) The disposal site design and oper- cover or must be disposed of with in-
ation must be compatible with the dis- truder barriers that are designed to
posal site closure and stabilization protect against an inadvertent intru-
plan and lead to disposal site closure sion for a least 500 years.
that provides reasonable assurance
(3) All wastes shall be disposed of in
that the performance objectives of sub-
part C of this part will be met. accordance with the requirements of
(3) The disposal site must be designed paragraphs (a) (4) through (11) of this
to complement and improve, where ap- section.

propriate, the ability of the disposal
site’s natural characteristics to assure
219
§ 61.53 10 CFR Ch. I (1–1–11 Edition)
(4) Wastes must be emplaced in a (b) Facility operation and disposal site
manner that maintains the package in- closure for land disposal facilities other
tegrity during emplacement, mini- than near-surface. [Reserved]
mizes the void spaces between pack- [47 FR 57463, Dec. 27, 1982, as amended at 56
ages, and permits the void spaces to be FR 23474, May 21, 1991; 56 FR 61352, Dec. 3,
filled. 1991; 58 FR 67662, Dec. 22, 1993]
(5) Void spaces between waste pack-
§ 61.53 Environmental monitoring.
ages must be filled with earth or other
material to reduce future subsidence (a) At the time a license application
within the fill. is submitted, the applicant shall have
(6) Waste must be placed and covered conducted a preoperational monitoring
in a manner that limits the radiation program to provide basic environ-
mental data on the disposal site char-
dose rate at the surface of the cover to
acteristics. The applicant shall obtain
levels that at a minimum will permit
information about the ecology, meteor-
the licensee to comply with all provi- ology, climate, hydrology, geology,
sions of §§ 20.1301 and 20.1302 of this geochemistry, and seismology of the
chapter at the time the license is disposal site. For those characteristics
transferred pursuant to § 61.30 of this that are subject to seasonal variation,
part. data must cover at least a twelve
(7) The boundaries and locations of month period.
each disposal unit (e.g., trenches) must (b) The licensee must have plans for
be accurately located and mapped by taking corrective measures if migra-
means of a land survey. Near-surface tion of radionuclides would indicate
disposal units must be marked in such that the performance objectives of sub-
a way that the boundaries of each unit part C may not be met.
can be easily defined. Three permanent (c) During the land disposal facility
survey marker control points, ref- site construction and operation, the li-
erenced to United States Geological censee shall maintain a monitoring
Survey (USGS) or National Geodetic program. Measurements and observa-
Survey (NGS) survey control stations, tions must be made and recorded to
must be established on the site to fa- provide data to evaluate the potential
cilitate surveys. The USGS or NGS health and environmental impacts dur-
ing both the construction and the oper-
control stations must provide hori-
ation of the facility and to enable the
zontal and vertical controls as checked
evaluation of long-term effects and the
against USGS or NGS record files. need for mitigative measures. The
(8) A buffer zone of land must be monitoring system must be capable of
maintained between any buried waste providing early warning of releases of
and the disposal site boundary and be- radionuclides from the disposal site be-
neath the disposed waste. The buffer fore they leave the site boundary.
zone shall be of adequate dimensions to (d) After the disposal site is closed,
carry out environmental monitoring the licensee responsible for post-oper-
activities specified in § 61.53(d) of this ational surveillance of the disposal site
part and take mitigative measures if shall maintain a monitoring system
needed. based on the operating history and the
(9) Closure and stabilization meas- closure and stabilization of the dis-
ures as set forth in the approved site posal site. The monitoring system
closure plan must be carried out as must be capable of providing early
each disposal unit (e.g., each trench) is warning of releases of radionuclides
filled and covered. from the disposal site before they leave
(10) Active waste disposal operations the site boundary.
must not have an adverse effect on § 61.54 Alternative requirements for
completed closure and stabilization design and operations.
measures. The Commission may, upon request
(11) Only wastes containing or con- or on its own initiative, authorize pro-
taminated with radioactive materials visions other than those set forth in
shall be disposed of at the disposal site. §§ 61.51 through 61.53 for the segregation
220
and disposal of waste and for the design (iv) Waste that is not generally ac-
and operation of a land disposal facil- ceptable for near-surface disposal is
ity on a specific basis, if it finds rea- waste for which form and disposal
sonable assurance of compliance with methods must be different, and in gen-
the performance objectives of subpart eral more stringent, than those speci-
C of this part. fied for Class C waste. In the absence of
specific requirements in this part, such
§ 61.55 Waste classification. waste must be disposed of in a geologic
(a) Classification of waste for near sur- repository as defined in part 60 or 63 of
face disposal—(1) Considerations. Deter- this chapter unless proposals for dis-
mination of the classification of radio- posal of such waste in a disposal site li-
active waste involves two consider- censed pursuant to this part are ap-
ations. First, consideration must be proved by the Commission.
given to the concentration of long- (3) Classification determined by long-
lived radionuclides (and their shorter- lived radionuclides. If radioactive waste
lived precursors) whose potential haz- contains only radionuclides listed in
ard will persist long after such pre- Table 1, classification shall be deter-
cautions as institutional controls, im- mined as follows:
proved waste form, and deeper disposal (i) If the concentration does not ex-
have ceased to be effective. These pre- ceed 0.1 times the value in Table 1, the
cautions delay the time when long- waste is Class A.
lived radionuclides could cause expo- (ii) If the concentration exceeds 0.1
sures. In addition, the magnitude of times the value in Table 1 but does not
the potential dose is limited by the exceed the value in Table 1, the waste
concentration and availability of the is Class C.
radionuclide at the time of exposure. (iii) If the concentration exceeds the
Second, consideration must be given to value in Table 1, the waste is not gen-
the concentration of shorter-lived erally acceptable for near-surface dis-
radionuclides for which requirements posal.
on institutional controls, waste form, (iv) For wastes containing mixtures
and disposal methods are effective. of radionuclides listed in Table 1, the
total concentration shall be deter-
(2) Classes of waste. (i) Class A waste
mined by the sum of fractions rule de-
is waste that is usually segregated
scribed in paragraph (a)(7) of this sec-
from other waste classes at the dis-
tion.
posal site. The physical form and char-
acteristics of Class A waste must meet TABLE 1
the minimum requirements set forth in
§ 61.56(a). If Class A waste also meets Concentra-
tion curies
the stability requirements set forth in Radionuclide per cubic
§ 61.56(b), it is not necessary to seg- meter
regate the waste for disposal. C–14 ................................................................ 8
(ii) Class B waste is waste that must C–14 in activated metal ................................... 80
meet more rigorous requirements on Ni–59 in activated metal .................................. 220
Nb–94 in activated metal ................................. 0.2
waste form to ensure stability after Tc–99 ............................................................... 3
disposal. The physical form and charac- I–129 ................................................................ 0.08
teristics of Class B waste must meet Alpha emitting transuranic nuclides with half-
life greater than 5 years ............................... 1 100
both the minimum and stability re- 1 3,500
Pu–241 ............................................................
quirements set forth in § 61.56. Cm–242 ........................................................... 1 20,000
(iii) Class C waste is waste that not 1 Units are nanocuries per gram.
only must meet more rigorous require-
ments on waste form to ensure sta- (4) Classification determined by short-
bility but also requires additional lived radionuclides. If radioactive waste
measures at the disposal facility to does not contain any of the radio-
protect against inadvertent intrusion. nuclides listed in Table 1, classification
The physical form and characteristics shall be determined based on the con-
of Class C waste must meet both the centrations shown in Table 2. However,
minimum and stability requirements as specified in paragraph (a)(6) of this
set forth in § 61.56. section, if radioactive waste does not
221
§ 61.56 10 CFR Ch. I (1–1–11 Edition)
contain any nuclides listed in either does not exceed the value shown in Col-
Table 1 or 2, it is Class A. umn 3 of Table 2.
(i) If the concentration does not ex- (6) Classification of wastes with radio-
ceed the value in Column 1, the waste nuclides other than those listed in Tables
is Class A. 1 and 2. If radioactive waste does not
(ii) If the concentration exceeds the contain any nuclides listed in either
value in Column 1, but does not exceed Table 1 or 2, it is Class A.
the value in Column 2, the waste is (7) The sum of the fractions rule for
Class B. mixtures of radionuclides. For deter-
(iii) If the concentration exceeds the mining classification for waste that
value in Column 2, but does not exceed contains a mixture of radionuclides, it
the value in Column 3, the waste is is necessary to determine the sum of
Class C. fractions by dividing each nuclide’s
(iv) If the concentration exceeds the concentration by the appropriate limit
value in Column 3, the waste is not and adding the resulting values. The
generally acceptable for near-surface appropriate limits must all be taken
disposal. from the same column of the same
(v) For wastes containing mixtures of table. The sum of the fractions for the
the nuclides listed in Table 2, the total column must be less than 1.0 if the
concentration shall be determined by waste class is to be determined by that
the sum of fractions rule described in column. Example: A waste contains Sr-
paragraph (a)(7) of this section. 90 in a concentration of 50 Ci/m3 and
Cs-137 in a concentration of 22 Ci/m3.
TABLE 2 Since the concentrations both exceed
Concentration, curies the values in Column 1, Table 2, they
per cubic meter must be compared to Column 2 values.
Radionuclide
Col. Col. For Sr-90 fraction 50/150=0.33; for Cs-137
Col. 1 2 3 fraction, 22/44=0.5; the sum of the
Total of all nuclides with less than 5
fractions=0.83. Since the sum is less
year half-life ................................... 700 (1) (1) than 1.0, the waste is Class B.
H–3 .................................................... 40 (1) (1) (8) Determination of concentrations in
Co–60 ................................................ 700 (1) (1) wastes. The concentration of a radio-
Ni–63 ................................................. 3.5 70 700
Ni–63 in activated metal .................... 35 700 7000 nuclide may be determined by indirect
Sr–90 ................................................. 0.04 150 7000 methods such as use of scaling factors
Cs–137 .............................................. 1 44 4600 which relate the inferred concentration
1 There are no limits established for these radionuclides in
of one radionuclide to another that is
Class B or C wastes. Practical considerations such as the ef-
fects of external radiation and internal heat generation on measured, or radionuclide material ac-
transportation, handling, and disposal will limit the concentra- countability, if there is reasonable as-
tions for these wastes. These wastes shall be Class B unless
the concentrations of other nuclides in Table 2 determine the surance that the indirect methods can
waste to be Class C independent of these nuclides. be correlated with actual measure-
(5) Classification determined by both ments. The concentration of a radio-
long- and short-lived radionuclides. If ra- nuclide may be averaged over the vol-
dioactive waste contains a mixture of ume of the waste, or weight of the
radionuclides, some of which are listed waste if the units are expressed as
in Table 1, and some of which are listed nanocuries per gram.
in Table 2, classification shall be deter- [47 FR 57463, Dec. 27, 1982, as amended at 54
mined as follows: FR 22583, May 25, 1989; 66 FR 55792, Nov. 2,
(i) If the concentration of a nuclide 2001]
listed in Table 1 does not exceed 0.1
times the value listed in Table 1, the § 61.56 Waste characteristics.
class shall be that determined by the (a) The following requirements are
concentration of nuclides listed in minimum requirements for all classes
Table 2. of waste and are intended to facilitate
(ii) If the concentration of a nuclide handling at the disposal site and pro-
listed in Table 1 exceeds 0.1 times the vide protection of health and safety of
value listed in Table 1 but does not ex- personnel at the disposal site.
ceed the value in Table 1, the waste (1) Waste must not be packaged for
shall be Class C, provided the con- disposal in cardboard or fiberboard
centration of nuclides listed in Table 2 boxes.
222
(2) Liquid waste must be solidified or can be provided by the waste form
packaged in sufficient absorbent mate- itself, processing the waste to a stable
rial to absorb twice the volume of the form, or placing the waste in a disposal
liquid. container or structure that provides
(3) Solid waste containing liquid stability after disposal.
shall contain as little free standing and (2) Notwithstanding the provisions in
noncorrosive liquid as is reasonably § 61.56(a) (2) and (3), liquid wastes, or
achievable, but in no case shall the liq- wastes containing liquid, must be con-
uid exceed 1% of the volume. verted into a form that contains as lit-
(4) Waste must not be readily capable tle free standing and noncorrosive liq-
of detonation or of explosive decompo- uid as is reasonably achievable, but in
sition or reaction at normal pressures no case shall the liquid exceed 1% of
and temperatures, or of explosive reac- the volume of the waste when the
tion with water. waste is in a disposal container de-
(5) Waste must not contain, or be ca- signed to ensure stability, or 0.5% of
pable of generating, quantities of toxic the volume of the waste for waste proc-
gases, vapors, or fumes harmful to per- essed to a stable form.
sons transporting, handling, or dis- (3) Void spaces within the waste and
posing of the waste. This does not between the waste and its package
apply to radioactive gaseous waste must be reduced to the extent prac-
packaged in accordance with paragraph ticable.
(a)(7) of this section.
(6) Waste must not be pyrophoric. § 61.57 Labeling.
Pyrophoric materials contained in Each package of waste must be clear-
waste shall be treated, prepared, and ly labeled to identify whether it is
packaged to be nonflammable. Class A waste, Class B waste, or Class
(7) Waste in a gaseous form must be C waste, in accordance with § 61.55.
packaged at a pressure that does not
exceed 1.5 atmospheres at 20 °C. Total § 61.58 Alternative requirements for
activity must not exceed 100 curies per waste classification and character-
container. istics.
(8) Waste containing hazardous, bio- The Commission may, upon request
logical, pathogenic, or infectious mate- or on its own initiative, authorize
rial must be treated to reduce to the other provisions for the classification
maximum extent practicable the po- and characteristics of waste on a spe-
tential hazard from the non-radio- cific basis, if, after evaluation, of the
logical materials. specific characteristics of the waste,
(b) The requirements in this section disposal site, and method of disposal, it
are intended to provide stability of the finds reasonable assurance of compli-
waste. Stability is intended to ensure ance with the performance objectives
that the waste does not structurally in subpart C of this part.
degrade and affect overall stability of
the site through slumping, collapse, or § 61.59 Institutional requirements.
other failure of the disposal unit and (a) Land ownership. Disposal of radio-
thereby lead to water infiltration. Sta- active waste received from other per-
bility is also a factor in limiting expo- sons may be permitted only on land
sure to an inadvertent intruder, since owned in fee by the Federal or a State
it provides a recognizable and non- government.
dispersible waste. (b) Institutional control. The land
(1) Waste must have structural sta- owner or custodial agency shall carry
bility. A structurally stable waste form out an institutional control program to
will generally maintain its physical di- physically control access to the dis-
mensions and its form, under the ex- posal site following transfer of control
pected disposal conditions such as of the disposal site from the disposal
weight of overburden and compaction site operator. The institutional control
equipment, the presence of moisture, program must also include, but not be
and microbial activity, and internal limited to, carrying out an environ-
factors such as radiation effects and mental monitoring program at the dis-
chemical changes. Structural stability posal site, periodic surveillance, minor
223
§ 61.61 10 CFR Ch. I (1–1–11 Edition)
custodial care, and other requirements Commission will accept this arrange-
as determined by the Commission; and ment only if they are considered ade-
administration of funds to cover the quate to satisfy these requirements
costs for these activities. The period of and that the portion of the surety
institutional controls will be deter- which covers the closure of the disposal
mined by the Commission, but institu- site is clearly identified and committed
tional controls may not be relied upon for use in accomplishing these activi-
for more than 100 years following ties.
transfer of control of the disposal site (c) The licensee’s surety mechanism
to the owner. will be annually reviewed by the Com-
mission to assure that sufficient funds
Subpart E—Financial Assurances are available for completion of the clo-
sure plan, assuming that the work has
§ 61.61 Applicant qualifications and as- to be performed by an independent con-
surances. tractor.
Each applicant shall show that it ei- (d) The amount of surety liability
ther possesses the necessary funds or should change in accordance with the
has reasonable assurance of obtaining predicted cost of future closure and
the necessary funds, or by a combina- stabilization. Factors affecting closure
tion of the two, to cover the estimated and stabilization cost estimates in-
costs of conducting all licensed activi- clude: inflation; increases in the
ties over the planned operating life of amount of disturbed land; changes in
the project, including costs of con- engineering plans; closure and sta-
struction and disposal. bilization that has already been accom-
plished and any other conditions af-
§ 61.62 Funding for disposal site clo- fecting costs. This will yield a surety
sure and stabilization. that is at least sufficient at all times
(a) The applicant shall provide assur- to cover the costs of closure of the dis-
ance that sufficient funds will be avail- posal units that are expected to be used
able to carry out disposal site closure before the next license renewal.
and stabilization, including: (1) Decon- (e) The term of the surety mecha-
tamination or dismantlement of land nism must be open ended unless it can
disposal facility structures; and (2) clo- be demonstrated that another arrange-
sure and stabilization of the disposal ment would provide an equivalent level
site so that following transfer of the of assurance. This assurance could be
disposal site to the site owner, the need provided with a surety mechanism
for ongoing active maintenance is which is written for a specified period
eliminated to the extent practicable of time (e.g., five years) yet which
and only minor custodial care, surveil- must be automatically renewed unless
lance, and monitoring are required. the party who issues the surety noti-
These assurances shall be based on fies the Commission and the bene-
Commission-approved cost estimates ficiary (the site owner) and the prin-
reflecting the Commission-approved cipal (the licensee) not less than 90
plan for disposal site closure and sta- days prior to the renewal date of its in-
bilization. The applicant’s cost esti- tention not to renew. In such a situa-
mates must take into account total tion the licensee must submit a re-
capital costs that would be incurred if placement surety within 30 days after
an independent contractor were hired notification of cancellation. If the li-
to perform the closure and stabiliza- censee fails to provide a replacement
tion work. surety acceptable to the Commission,
(b) In order to avoid unnecessary du- the site owner may collect on the origi-
plication and expense, the Commission nal surety.
will accept financial sureties that have (f) Proof of forfeiture must not be
been consolidated with earmarked fi- necessary to collect the surety so that
nancial or surety arrangements estab- in the event that the licensee could not
lished to meet requirements of other provide an acceptable replacement sur-
Federal or State agencies and/or local ety within the required time, the sur-
governing bodies for such decontamina- ety shall be automatically collected
tion, closure and stabilization. The prior to its expiration. The conditions
224
described above would have to be clear- the review of a license application for a
ly stated on any surety instrument land disposal facility. Nothing in this
which is not open-ended, and must be subpart may be construed to bar the
agreed to by all parties. Liability State or tribal governing body from
under the surety mechanism must re- participating in subsequent Commis-
main in effect until the closure and sion proceedings concerning the license
stabilization program has been com- application as provided under Federal
pleted and approved by the Commission law and regulations.
and the license has been transferred to
the site owner. § 61.71 State and Tribal government
(g) Financial surety arrangements consultation.
generally acceptable to the Commis- Upon request of a State or tribal gov-
sion include: surety bonds, cash depos- erning body, the Director shall make
its, certificates of deposits, deposits of available Commission staff to discuss
government securities, escrow ac-
with representatives of the State or
counts, irrevocable letters or lines of
tribal governing body information sub-
credit, trust funds, and combinations
mitted by the applicant, applicable
of the above or such other types of ar-
Commission regulations, licensing pro-
rangements as may be approved by the
Commission. However, self-insurance, cedures, potential schedules, and the
or any arrangement which essentially type and scope of State activities in
constitutes pledging the assets of the the license review permitted by law. In
licensee, will not satisfy the surety re- addition, staff shall be made available
quirement for private sector applicants to consult and cooperate with the
since this provides no additional assur- State or tribal governing body in devel-
ance other than that which already ex- oping proposals for participation in the
ists through license requirements. license review.
§ 61.63 Financial assurances for insti- § 61.72 Filing of proposals for State
tutional controls. and Tribal participation.
(a) Prior to the issuance of the li- (a) A State or tribal governing body
cense, the applicant shall provide for whose interest is affected by a near-
Commission review and approval a surface disposal facility at the pro-
copy of a binding arrangement, such as posed site may submit to the Director
a lease, between the applicant and the a proposal for participation in the re-
disposal site owner that ensures that view of a license application. Proposals
sufficient funds will be available to must be submitted within the following
cover the costs of monitoring and any time periods:
required maintenance during the insti- (1) For the State in which the dis-
tutional control period. The binding ar- posal facility will be located, or any
rangement will be reviewed periodi- State that is member of an interstate
cally by the Commission to ensure that compact that includes the State in
changes in inflation, technology and which the disposal facility is located,
disposal facility operations are re- no later than 45 days following publica-
flected in the arrangements. tion in the FEDERAL REGISTER of the
(b) Subsequent changes to the bind- notice of tendering of an application
ing arrangement specified in paragraph submitted under § 61.20.
(a) of this section relevant to institu- (2) For any other State, or for a trib-
tional control shall be submitted to the al governing body, no later than 120
Commission for approval. days following publication in the FED-
ERAL REGISTER of the notice of ten-
Subpart F—Participation by State dering of an application submitted
Governments and Indian Tribes under § 61.20.
(b) Proposals for participation in the
§ 61.70 Scope. licensing process must be made in writ-
This subpart describes mechanisms ing and must be signed by the Gov-
through which the Commission will im- ernor of the State or the official other-
plement a formal request from a State wise provided for by State or tribal
or tribal government to participate in law.
225
§ 61.73 10 CFR Ch. I (1–1–11 Edition)
(c) At a minimum, proposals must (c) The decision of the Director will
contain each of the following items of be transmitted in writing to the gov-
information: ernor or the designated official of the
(1) A general description of how the tribal governing body.
State or tribe wishes to participate in (d) Participation by a State or Indian
the licensing process specifically iden- tribe shall not affect their rights to
tifying those issues it wishes to review. participate in an adjudicatory hearing
(2) A description of material and in- as provided by part 2 of this chapter.
formation which the State or tribe
plans to submit to the Commission for Subpart G—Records, Reports,
consideration in the licensing process. Tests, and Inspections
A tentative schedule referencing steps
in the review and calendar dates for § 61.80 Maintenance of records, re-
planned submittals should be included. ports, and transfers.
(3) A description of any work that (a) Each licensee shall maintain any
the State or tribe proposes to perform records and make any reports in con-
for the Commission in support of the li- nection with the licensed activities as
censing process. may be required by the conditions of
(4) A description of State or tribal the license or by the rules, regulations,
plans to facilitate local government and orders of the Commission.
and citizen participation. (b) Records which are required by the
(5) A preliminary estimate of the regulations in this part or by license
types and extent of impacts which the conditions must be maintained for a
State expects, should a disposal facil- period specified by the appropriate reg-
ity be located as proposed. ulations in this chapter or by license
(6) If desired, any requests for edu- condition. If a retention period is not
cational or information services (semi- otherwise specified, these records must
nars, public meetings) or other actions be maintained and transferred to the
from the Commission such as establish- officials specified in paragraph (e) of
ment of additional Public Document this section as a condition of license
Rooms or exchange of State personnel termination unless the Commission
under the Intergovernmental Personnel otherwise authorizes their disposition.
Act. (c) Records which must be main-
tained pursuant to this part may be the
§ 61.73 Commission approval of pro-
posals. original or a reproduced copy or a
microform if this reproduced copy or
(a) Upon receipt of a proposal sub- microform is capable of producing copy
mitted in accordance with § 61.72, the that is clear and legible at the end of
Director shall arrange for a meeting the required retention period. The
between the representatives of the record may also be stored in electronic
State or tribal governing body and the media with the capability for pro-
Commission staff to discuss the producing legible, accurate, and complete
posal and to ensure full and effective records during the required retention
participation by the State or tribe in period. Records such as letters, draw-
the Commission’s license review. ings, specifications, must include all
(b) If requested by a State or tribal pertinent information such as stamps,
governing body, the Director may ap- initials, and signatures. The licensee
prove all or any part of a proposal if shall maintain adequate safeguards
the Director determines that: against tampering with and loss of
(1) The proposed activities are within records.
the scope of Commission statutory re- (d) If there is a conflict between the
sponsibility and the type and mag- Commission’s regulations in this part,
nitude of impacts which the State or license condition, or other written
tribe may bear are sufficient to justify Commission approval or authorization
their participation; and pertaining to the retention period for
(2) The proposed activities will con- the same type of record, the longest re-
tribute productively to the licensing tention period specified takes prece-
review. dence.
226
(e) Notwithstanding paragraphs (a) other persons shall file a copy of its fi-
through (d) of this section, the licensee nancial report or a certified financial
shall record the location and the quan- statement annually with the Commis-
tity of radioactive wastes contained in sion in order to update the information
the disposal site and transfer these base for determining financial quali-
records upon license termination to the fications.
chief executive of the nearest munici- (i)(1) Each licensee authorized to dis-
pality, the chief executive of the coun- pose of waste materials received from
ty in which the facility is located, the other persons under this part shall sub-
county zoning board or land develop- mit annual reports to the Director, Of-
ment and planning agency, the State fice of Federal and State Materials and
governor and other State, local, and Environmental Management Programs,
Federal governmental agencies as des- by an appropriate method listed in
ignated by the Commission at the time § 60.4 of this chapter, with a copy to the
of license termination. appropriate NRC Regional Office shown
(f) Following receipt and acceptance in appendix D to part 20 of this chap-
of a shipment of radioactive waste, the ter. Reports must be submitted by the
licensee shall record the date that the end of the first calendar quarter of
shipment is received at the disposal fa- each year for the preceding year.
cility, the date of disposal of the waste, (2) The reports shall include (i) speci-
a traceable shipment manifest number, fication of the quantity of each of the
a description of any engineered barrier principal radionuclides released to un-
or structural overpack provided for dis- restricted areas in liquid and in air-
posal of the waste, the location of dis- borne effluents during the preceding
posal at the disposal site, the contain- year, (ii) the results of the environ-
ment integrity of the waste disposal mental monitoring program, (iii) a
containers as received, any discrep- summary of licensee disposal unit sur-
ancies between materials listed on the
vey and maintenance activities, (iv) a
manifest and those received, the vol-
summary, by waste class, of activities
ume of any pallets, bracing, or other
and quantities of radionuclides dis-
shipping or onsite generated materials
posed of, (v) any instances in which ob-
that are contaminated, and are dis-
served site characteristics were signifi-
posed of as contaminated or suspect
cantly different from those described
materials, and any evidence of leaking
in the application for a license; and (vi)
or damaged disposal containers or radi-
any other information the Commission
ation or contamination levels in excess
may require. If the quantities of radio-
of limits specified in Department of
Transportation and Commission regu- active materials released during the re-
lations. The licensee shall briefly de- porting period, monitoring results, or
scribe any repackaging operations of maintenance performed are signifi-
any of the disposal containers included cantly different from those expected in
in the shipment, plus any other infor- the materials previously reviewed as
mation required by the Commission as part of the licensing action, the report
a license condition. The licensee shall must cover this specifically.
retain these records until the Commis- (j) Each licensee shall report in ac-
sion transfers or terminates the license cordance with the requirements of
that authorizes the activities described § 70.52 of this chapter.
in this section. (k) Any transfer of byproduct,
(g) Each licensee shall comply with source, and special nuclear materials
the safeguards reporting requirements by the licensee is subject to the re-
of §§ 30.55, 40.64, 74.13, and 74.15 of this quirements in §§ 30.41, 40.51, and 70.42 of
chapter if the quantities or activities this chapter. Byproduct, source and
of materials received or transferred ex- special nuclear material means mate-
ceed the limits of these sections. In- rials as defined in these parts, respec-
ventory reports required by these sec- tively.
tions are not required for materials (l) In addition to the other require-
after disposal. ments of this section, the licensee shall

(h) Each licensee authorized to dis- store, or have stored, manifest and
pose of radioactive waste received from other information pertaining to receipt
227
§ 61.81 10 CFR Ch. I (1–1–11 Edition)
and disposal of radioactive waste in an § 61.83 Violations.

electronic recordkeeping system.
(1) The manifest information that
must be electronically stored is—
(i) That required in 10 CFR part 20, vent a violation of the provisions of—
appendix G, with the exception of ship- (1) The Atomic Energy Act of 1954, as
per and carrier telephone numbers and amended;
shipper and consignee certifications; (2) Title II of the Energy Reorganiza-
and tion Act of 1974, as amended; or
(ii) That information required in (3) A regulation or order issued pur-
paragraph (f) of this section. suant to those Acts.
(2) As specified in facility license (b) The Commission may obtain a
conditions, the licensee shall report court order for the payment of a civil
the stored information, or subsets of penalty imposed under section 234 of
this information, on a computer-read- the Atomic Energy Act:
able medium. (1) For violations of—
[47 FR 57463, Dec. 27, 1982, as amended at 52 (i) Sections 53, 57, 62, 63, 81, 82, 101,
FR 31612, Aug. 21, 1987; 53 FR 19251, May 27, 103, 104, 107, or 109 of the Atomic En-
1988; 58 FR 33891, June 22, 1993; 60 FR 15666, ergy Act of 1954, as amended;
Mar. 27, 1995; 67 FR 78141, Dec. 23, 2002; 68 FR (ii) Section 206 of the Energy Reorga-
58814, Oct. 10, 2003; 73 FR 5725, Jan. 31, 2008] nization Act;
§ 61.81 Tests at land disposal facilities. (iii) Any rule, regulation, or order
issued pursuant to the sections speci-
(a) Each licensee shall perform, or fied in paragraph (b)(1)(i) of this sec-
permit the Commission to perform, any tion;
tests as the Commission deems appro- (iv) Any term, condition, or limita-
priate or necessary for the administration of any license issued under the
tion of the regulations in this part, in- sections specified in paragraph (b)(1)(i)
cluding tests of: of this section.
(1) Radioactive wastes and facilities
used for the receipt, storage, treat-
ment, handling and disposal of radio-
of the Atomic Energy Act of 1954, as
active wastes.
amended.
(2) Radiation detection and moni-
toring instruments; and [57 FR 55077, Nov. 24, 1992]
(3) Other equipment and devices used
in connection with the receipt, posses- § 61.84 Criminal penalties.
sion, handling, treatment, storage, or (a) Section 223 of the Atomic Energy
disposal of radioactive waste. Act of 1954, as amended, provides for
§ 61.82 Commission inspections of land criminal sanctions for willful violation
disposal facilities. of, attempted violation of, or con-
spiracy to violate, any regulation
(a) Each licensee shall afford to the issued under sections 161b, 161i, or 161o
Commission at all reasonable times op- of the Act. For purposes of section 223,
portunity to inspect radioactive waste all the regulations in part 61 are issued
not yet disposed of, and the premises, under one or more of sections 161b, 161i,
equipment, operations, and facilities in or 161o, except for the sections listed in
which radioactive wastes are received, paragraph (b) of this section.
possessed, handled, treated, stored, or
(b) The regulations in part 61 that
disposed of.
(b) Each licensee shall make avail-
or 161o for the purposes of Section 223
able to the Commission for inspection,
are as follows: §§ 61.1, 61.2, 61.4, 61.5,
upon reasonable notice, records kept
61.6, 61.7, 61.8, 61.10, 61.11, 61.12, 61.13,
by it pursuant to the regulations in
61.14, 61.15, 61.16, 61.20, 61.21, 61.22, 61.23,
this chapter. Authorized representa-
61.26, 61.30, 61.31, 61.50, 61.51, 61.54, 61.55,
tives of the Commission may copy and
61.58, 61.59, 61.61, 61.63, 61.70, 61.71, 61.72,

take away copies of, for the Commis-
61.73, 61.83, and 61.84.
sion’s use, any record required to be
kept pursuant to this part. [57 FR 55077, Nov. 24, 1992]
228
PART 62—CRITERIA AND PROCE- Subpart A—General Provisions

DURES FOR EMERGENCY ACCESS
§ 62.1 Purpose and scope.
TO NON-FEDERAL AND RE-
GIONAL LOW-LEVEL WASTE DIS- (a) The regulations in this part estab-
POSAL FACILITIES lish for specific low-level radioactive
waste:
(1) Criteria and procedures for grant-
ing emergency access under section 6 of
Sec. the Low-Level Radioactive Waste Pol-
62.1 Purpose and scope. icy Amendments Act of 1985 (42 U.S.C.
62.2 Definitions. 2021) to any non-Federal or regional
62.3 Communications. low-level radioactive waste (LLW) dis-
62.4 Interpretations. posal facility or to any non-Federal
62.5 Specific exemptions.
disposal facility within a State that is
62.8 Information collection requirements:
OMB approval. not a member of a Compact, and
(2) The terms and conditions upon
Subpart B—Request for a Commission which the Commission will grant this
Determination emergency access.
(b) The regulations in this part apply
62.11 Filing and distribution of a determina- to all persons as defined by this regula-
tion request. tion, who have been denied access to
62.12 Contents of a request for emergency
existing regional or non-Federal low-
access: General information.
62.13 Contents of a request for emergency level radioactive waste disposal facili-
access: Alternatives. ties and who submit a request to the
62.14 Contents of a request for an extension Commission for a determination pursu-
of emergency access. ant to this part.
62.15 Additional information. (c) The regulations in this part apply
62.16 Withdrawal of a determination re- only to the LLW that the States have
quest. the responsibility to dispose of pursu-
62.17 Elimination of repetition. ant to section 3(1)(a) of the Act.
62.18 Denial of request.
§ 62.2 Definitions.
Subpart C—Issuance of a Commission
Determination As used in this part:
Act means the Low-Level Radioactive
62.21 Determination for granting emergency Waste Policy Amendments Act of 1985
access. (Pub. L. 99–240).
62.22 Notice of issuance of a determination. Agreement State means a State that—
62.23 Determination for granting temporary
(1) Has entered into an agreement
emergency access.
62.24 Extension of emergency access. with the Nuclear Regulatory Commis-
62.25 Criteria for a Commission determina- sion under section 274 of the Atomic
tion. Energy Act of 1954 (42 U.S.C. 2021); and
62.26 Criteria for designating a disposal fa- (2) Has authority to regulate the dis-
cility. posal of low-level radioactive waste
under such agreement.
Subpart D—Termination of Emergency Commission means the Nuclear Regu-
Access latory Commission or its duly author-
62.31 Termination of emergency access. ized representatives.
Compact means a Compact entered
AUTHORITY: Secs. 81, 161, as amended, 68 into by two or more States pursuant to
Stat. 935, 948, 950, 951, as amended (42 U.S.C. the Low-Level Radioactive Waste Pol-
211, 2201; secs. 201, 209, as amended, 88 Stat.
1242, 1248, as amended (42 U.S.C. 5841, 5849);
icy Amendments Act of 1985.
secs. 3, 4, 5, 6, 99 Stat. 1843, 1844, 1845, 1846, Compact Commission means the re-
1847, 1848, 1849, 1850, 1851, 1852, 1853, 1854, 1855, gional commission, committee, or
1856, 1857 (42 U.S.C. 2021c, 2021d, 2021e, 2021f; board established in a Compact to ad-
sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); minister such Compact.
sec. 651(e), Pub. L. 109–58, 119 Stat. 806–810 (42 Disposal means the permanent isola-
U.S.C. 2014, 2021, 2021b, 2111). tion of low-level radioactive waste pur-
SOURCE: 54 FR 5420, Feb. 3, 1989, unless suant to the requirements established
other noted. by the Nuclear Regulatory Commission
229
§ 62.3 10 CFR Ch. I (1–1–11 Edition)
under applicable laws, or by an Agree- Temporary emergency access means ac-

ment State if such isolation occurs in cess that is granted at NRC’s discre-
this Agreement State. tion under § 62.23 of this part upon de-
Emergency access means access to an termining that access is necessary to
operating non-Federal or regional low- eliminate an immediate and serious
level radioactive waste disposal facil- threat to the public health and safety
ity or facilities for a period not to ex- or the common defense and security.
ceed 180 days, which is granted by NRC Such access expires 45 days after the
to a generator of low-level radioactive granting and cannot be extended.
waste who has been denied the use of
[54 FR 5420, Feb. 3, 1989, as amended at 72 FR
those facilities. 55933, Oct. 1, 2007]
Extension of emergency access means
an extension of the access that had § 62.3 Communications.
been previously granted by NRC to an
Except where otherwise specified, all
operating non-Federal or regional low-
communications and reports con-
level radioactive waste disposal facil-
cerning the regulations in this part and
ity or facilities for a period not to ex-
applications filed under them should be
ceed 180 days.
sent by mail addressed: ATTN: Docu-
Low-level radioactive waste (LLW)
ment Control Desk, Director, Office of
means radioactive material that—
Federal and State Materials and Envi-
(1) Is not high-level radioactive
ronmental Management Programs,
waste, spent nuclear fuel, or byproduct
U.S. Nuclear Regulatory Commission,
material (as defined in paragraphs (2),
Washington, DC 20555–0001; by hand de-
(3), and (4) of the definition of Byprod-
livery to the NRC’s offices at 11555
uct Material set forth in § 20.1003 of this
Rockville Pike, Rockville, Maryland;
chapter); and
or, where practicable, by electronic
(2) The NRC, consistent with existing
submission, for example, via Electronic
law and in accordance with paragraph
Information Exchange, or CD–ROM.
(1) of this definition, classifies as low-
Electronic submissions must be made
level radioactive waste.
in a manner that enables the NRC to
Non-Federal disposal facility means a
receive, read, authenticate, distribute,
low-level radioactive waste disposal fa-
and archive the submission, and proc-
cility that is commercially operated or
ess and retrieve it a single page at a
is operated by a State.
time. Detailed guidance on making
Person means any individual, cor-
electronic submissions can be obtained
poration, partnership, firm, associa-
tion, trust, State, public or private in-
stitution, group or agency who is an
NRC or NRC Agreement State licensed
or by writing the Office of Information
generator of low-level radioactive
Services, U.S. Nuclear Regulatory
waste within the scope of § 62.1(c) of
Commission, Washington, DC 20555–
this part; any Governor (or for any
0001. The guidance discusses, among
State without a Governor, the chief ex-
other topics, the formats the NRC can
ecutive officer of the State) on behalf of
accept, the use of electronic signa-
any NRC or NRC Agreement State li-
tures, and the treatment of nonpublic
censed generator or generators of low-
information.
level radioactive waste within the
scope of § 62.1(c) of this part located in [73 FR 5725, Jan. 31, 2008, as amended at 74
his or her State; or their duly author- FR 62683, Dec. 1, 2009]
ized representative, legal successor, or
agent. § 62.4 Interpretations.
Regional disposal facility means a non- Except as specifically authorized by
Federal low-level radioactive waste the Commission in writing, no inter-
disposal facility in operation on Janu- pretation of the meaning of the regula-
ary 1, 1985, or subsequently established tions in this part by any officer or em-
and operated under a compact. ployee of the Commission other than a
State means any State of the United written interpretation by the General
States, the District of Columbia, and Counsel will be considered binding on
the Commonwealth of Puerto Rico. the Commission.
230
§ 62.5 Specific exemptions. require that public comment on the re-

The Commission may, upon applica- quest be submitted within 10 days of
tion of any interested person or upon the publication date of the notice. A
its own initiative, grant an exemption copy of the request will be made avail-
from the requirements of the regula- able for inspection or copying at the
tions in this part that it determines is NRC Web site, http://www.nrc.gov, and/
authorized by law and will not endan- or at the NRC Public Document Room.
ger life or property or the common de- The Secretary of the Commission shall
fense and security and is otherwise in also transmit a copy of the request to
the public interest. the U.S. Department of Energy, to the
Governors of the States of the Compact
§ 62.8 Information collection require- region where the waste is generated, to
ments: OMB approval. the Governors of the States with oper-
(a) The Nuclear Regulatory Commis- ating non-Federal low-level radioactive
sion has submitted the information waste disposal facilities, to the Com-
collection requirements contained in pact Commissions with operating re-
this part to the Office of Management gional low-level radioactive waste dis-
and Budget (OMB) for approval as re- posal facilities, and to the Governors of
quired by the Paperwork Reduction the States in the Compact Commis-
Act (44 U.S.C. 3501 et seq.). The NRC sions with operating disposal facilities.
may not conduct or sponsor, and a per- (c) Upon receipt of a request for a de-
son is not required to respond to, a col- termination based on a serious and im-
lection of information unless it dis- mediate threat to the common defense
plays a currently valid OMB control and security, the Commission will no-
number. OMB has approved the infor- tify DOD and/or DOE and provide a
mation collection requirements con- copy of the request as needed for their
tained in this part under control num- consideration.
ber 3150–0143. (d) Fees applicable to a request for a
(b) The approved information collec- Commission determination under this
tion requirements contained in this part will be determined in accordance
part appear in §§ 62.11, 62.12, 62.13, 62.14, with the procedures set forth for spe-
and 62.15. cial projects under category 12 of
§ 170.31 of this chapter.
(e) In the event that the allocations
52188, Oct. 6, 1997]
or limitations established in section
5(b) or 6(h) of the Act are met at all op-
Subpart B—Request for a erating non-Federal or regional LLW
Commission Determination disposal facilities, the Commission
may suspend the processing or accept-
§ 62.11 Filing and distribution of a de-
termination request. ance of requests for emergency access
determinations until additional LLW
(a) The person submitting a request disposal capacity is authorized by Con-
for a Commission determination shall gress.
file a signed original of the request
with the Commission at the address [54 FR 5420, Feb. 3, 1989, as amended at 64 FR
specified in § 62.3 of this part, with a 48954, Sept. 9, 1999; 68 FR 58814, Oct. 10, 2003]
copy also provided to the appropriate
§ 62.12 Contents of a request for emer-
Regional Administrator at the address gency access: General information.
specified in appendix D to part 20 of
this chapter. The request must be A request for a Commission deter-
signed by the person requesting the de- mination under this part must include
termination or the person’s authorized the following information for each gen-
representative under oath or affirma- erator to which the request applies:
tion. (a) Name and address of the person
(b) Upon receipt of a request for a de- making the request;
termination, the Secretary of the Com- (b) Name and address of the person(s)
mission shall publish a notice acknowl- or company(ies) generating the low-

edging receipt of the request in the level radioactive waste for which the
FEDERAL REGISTER. The notice must determination is sought;
231
§ 62.12 10 CFR Ch. I (1–1–11 Edition)
(c) A statement indicating whether (6) Description of the volume reduc-

the generator is basing the request on tion and waste minimization tech-
the grounds of a serious and immediate niques applied to the waste which as-
threat to the public health and safety sure that it is reduced to the maximum
or the common defense and security; extent practicable, and the actual re-
(d) Certification that the radioactive duction in volume that occurred;
waste for which emergency access is re- (i) Basis for requesting the deter-
quested is low-level radioactive waste mination set out in this part, includ-
within § 62.1(c) of this part; ing—
(e) The low-level waste generation fa- (1) The circumstances that led to the
cility(ies) producing the waste for denial of access to existing low-level
which the request is being made; radioactive waste disposal facilities;
(f) A description of the activity that (2) A description of the situation that
generated the waste; is responsible for creating the serious
(g) Name of the disposal facility or and immediate threat to the public
facilities which had been receiving the health and safety or the common de-
waste stream of concern before the fense and security, including the date
generator was denied access; when the need for emergency access
(h) A description of the low-level ra- was identified;
dioactive waste for which emergency (3) A chronology and description of
access is requested, including— the actions taken by the person re-
(1) The characteristics and composi- questing emergency access to prevent
tion of the waste, including, but not the need for making such a request, in-
limited to— cluding consideration of all alter-
(i) Type of waste (e.g. solidified oil, natives set forth in § 62.13 of this part,
scintillation fluid, failed equipment); and any supporting documentation as
(ii) Principal chemical composition; appropriate;
(iii) Physical state (solid, liquid, (4) An explanation of the impacts of
gas); the waste on the public health and
(iv) Type of solidification media; and safety or the common defense and secu-
(v) Concentrations and percentages of rity if emergency access is not granted,
any hazardous or toxic chemicals, and the basis for concluding that these
chelating agents, or infectious or bio- impacts constitute a serious and imme-
logical agents associated with the diate threat to the public health and
waste; safety or the common defense and secu-
(2) The radiological characteristics of rity. The impacts to the public health
the waste such as— and safety or the common defense and
(i) The classification of the waste in security should also be addressed if the
accordance with 61.55; generator’s services, including research
(ii) A list of the radionuclides present activities, were to be curtailed, either
or potentially present in the waste, for a limited period of time or indefi-
their concentration or contamination nitely;
levels, and total quantity; (5) Other consequences if emergency
(iii) Distribution of the radionuclides access is not granted;
within the waste (surface or volume (j) Steps taken by the person request-
distribution); ing emergency access to correct the
(iv) Amount of transuranics (nano- situation requiring emergency access
curies/gram); and the person’s plans to eliminate the
(3) The minimum volume of the need for additional or future emer-
waste requiring emergency access to gency access requests;
eliminate the threat to the public (k) Documentation certifying that
health and safety or the common de- access has been denied;
fense and security; (l) Documentation that the waste for
(4) The time duration for which emer- which emergency access is requested
gency access is requested (not to ex- could not otherwise qualify for disposal
ceed 180 days); pursuant to the Unusual Volumes pro-
(5) Type of disposal container or vision (Section 5(c)(5) of the Act) or is

packaging (55 gallon drum, box, liner, not simultaneously under consider-
etc.); and ation by the Department of Energy
232
(DOE) for access through the Unusual menting each alternative, including
Volumes allocation; the curtailment or cessation of any es-
(m) Date by which access is required; sential services affecting the public
(n) Any other information which the health and safety or the common de-
Commission should consider in making fense and security;
its determination. (3) The technical and economic feasi-
bility of each alternative including the
§ 62.13 Contents of a request for emer- person’s financial capability to imple-
gency access: Alternatives. ment the alternatives;
(a) A request for emergency access (4) Any other pertinent societal costs
under this part must include informa- and benefits;
tion on alternatives to emergency ac- (5) Impacts to the environment;
cess. The request shall include a dis- (6) Any legal impediments to imple-
cussion of the consideration given to mentation of each alternative, includ-
any alternatives, including, but not ing whether the alternatives will com-
limited to, the following: ply with applicable NRC and NRC
(1) Storage of low-level radioactive Agreement States regulatory require-
waste at the site of generation; ments; and
(2) Storage of low-level radioactive (7) The time required to develop and
waste in a licensed storage facility; implement each alternative.
(3) Obtaining access to a disposal fa- (d) The request must include the
cility by voluntary agreement; basis for:
(4) Purchasing disposal capacity (1) Rejecting each alternative; and
available for assignment pursuant to (2) Concluding that no alternative is
the Act; available.
(5) Requesting disposal at a Federal
low-level radioactive waste disposal fa- § 62.14 Contents of a request for an ex-
cility in the case of a Federal or de- tension of emergency access.
fense related generator of LLW; A request for an extension of emer-
(6) Reducing the volume of the waste; gency access must include:
(7) Ceasing activities that generate (a) Updates of the information re-
low-level radioactive waste; and quired in §§ 62.12 and 62.13; and
(8) Other alternatives identified (b) Documentation that the gener-
under paragraph (b) of this section. ator of the low-level radioactive waste
(b) The request must identify all of granted emergency access and the
the alternatives to emergency access State in which the low-level radio-
considered, including any that would active waste was generated have dili-
require State or Compact action, or gently, though unsuccessfully, acted
any others that are not specified in during the period of the initial grant to
paragraph (a) of this section. The re- eliminate the need for emergency ac-
quest should also include a description cess. Documentation must include:
of the process used to identify the al- (1) An identification of additional al-
ternatives, a description of the factors ternatives that have been evaluated
that were considered in identifying and during the period of the initial grant,
evaluating them, a chronology of ac- and
tions taken to identify and implement (2) A discussion of any reevaluation
alternatives during the process, and a of previously considered alternatives,
discussion of any actions that were including verification of continued at-
considered, but not implemented. tempts to gain access to a disposal fa-
(c) The evaluation of each alter- cility by voluntary agreement.
native must consider:
(1) Its potential for mitigating the se- § 62.15 Additional information.
rious and immediate threat to public (a) The Commission may require ad-
health and safety or the common de- ditional information from a person
fense and security posed by lack of ac- making a request for a Commission de-
cess to disposal; termination under this part concerning
(2) The adverse effects on public any portion of the request.

health and safety and the common de- (b) The Commission shall deny a re-
fense and security, if any, of imple- quest for a Commission determination
233
§ 62.16 10 CFR Ch. I (1–1–11 Edition)
under this part if the person making essary because of an immediate and se-
the request fails to respond to a re- rious threat—
quest for additional information under (i) To the public health and safety or
paragraph (a) of this section within ten (ii) The common defense and secu-
(10) days from the date of the request rity; and
for additional information, or any (2) The threat cannot be mitigated by
other time that the Commission may any alternative consistent with the
specify. This denial will not prejudice public health and safety, including
the right of the person making the re- those identified in § 62.13.
quest to file another request for a Com- (b) In making a determination under
mission determination under this part. this section, the Commission shall be
guided by the criteria set forth in
§ 62.16 Withdrawal of a determination § 62.25 of this part.
request.
(c) A determination under this sec-
(a) A person may withdraw a request tion must be in writing and contain a
for a Commission determination under full explanation of the facts upon
this part without prejudice at any time which the determination is based and
prior to the issuance of an initial de- the reasons for granting or denying the
termination under § 62.21 of this part. request. An affirmative determination
(b) The Secretary of the Commission must designate an appropriate non-
will cause to be published in the FED- Federal or regional LLW disposal facil-
ERAL REGISTER a notice of the with- ity or facilities for the disposal of
drawal of a request for a Commission wastes, specifically describe the low-
determination under this part. level radioactive waste as to source,
physical and radiological characteris-
§ 62.17 Elimination of repetition.
tics, and the minimum volume and du-
In any request under this part, the ration (not to exceed 180 days) nec-
person making the request may incor- essary to eliminate the immediate
porate by reference information con- threat to public health and safety or
tained in a previous application, State- the common defense and security. It
ment, or report filed with the Commis- may also contain conditions upon
sion provided that these references are which the determination is dependent.
updated, clear, and specific.
§ 62.22 Notice of issuance of a deter-
§ 62.18 Denial of request. mination.
If a request for a determination is (a) Upon the issuance of a Commis-
based on circumstances that are too re- sion determination the Secretary of
mote and speculative to allow an in- the Commission will notify in writing
formed determination, the Commission the following persons of the final deter-
may deny the request. mination: The person making the re-
quest, the Governor of the State in
Subpart C—Issuance of a which the low-level radioactive waste
Commission Determination requiring emergency access was gen-
erated, the Governor of the State in
§ 62.21 Determination for granting which the designated disposal facility
emergency access. is located, and if pertinent, the appro-
(a) Not later than (45) days after the priate Compact Commission for such
receipt of a request for a Commission approval as is specified as necessary in
determination under this part from section 6(g) of the Act. For the Gov-
any generator of low-level radioactive ernor of the State in which the des-
waste, or any Governor on behalf of ignated disposal facility is located and
any generator or generators located in for the appropriate Compact Commis-
his or her State, the Commission shall sion, the notification must set forth
determine whether— the reasons that emergency access was
(1) Emergency access to a regional granted and specifically describe the
disposal facility or a non-Federal dis- low-level radioactive waste as to
posal facility within a State that is not source, physical and radiological char-
a member of a Compact for specific acteristics, and the minimum volume
low-level radioactive waste is nec- and duration (not to exceed 180 days)
234
necessary to alleviate the immediate (b) After making a determination

and serious threat to public health and pursuant to paragraph (a) of this sec-
safety or the common defense and secu- tion, the requirements specified in
rity. For the Governor of the State in §§ 62.21(c) and 62.22 of this part, must be
which the low-level waste was gen- followed.
erated, the notification must indicate
that no extension of emergency access § 62.25 Criteria for a Commission de-
will be granted under § 62.24 of this part termination.
absent diligent State and generator ac- (a) In making the determination re-
tion during the period of the initial quired by § 62.21(a) of this part, the
grant. Commission will determine whether
(b) The Secretary of the Commission the circumstances described in the re-
will cause to be published in the FED- quest for emergency access create a se-
ERAL REGISTER a notice of the issuance rious and immediate threat to the pub-
of the determination. lic health and safety or the common
(c) The Secretary of the Commission defense and security.
shall make a copy of the final deter- (b) In making the determination that
mination available for inspection at a serious and immediate threat exists
the NRC Web site, http://www.nrc.gov. to the public health and safety, the
[54 FR 5420, Feb. 3, 1989, as amended at 64 FR Commission will consider, notwith-
48954, Sept. 9, 1999] standing the availability of any alter-
native identified in § 62.13 of this part:
§ 62.23 Determination for granting (1) The nature and extent of the radi-
temporary emergency access. ation hazard that would result from
(a) The Commission may grant tem- the denial of emergency access, includ-
porary emergency access to an appro- ing consideration of—
priate non-Federal or regional disposal (i) The standards for radiation pro-
facility or facilities provided that the tection contained in part 20 of this
determination required under chapter;
§ 62.21(a)(1) of this part is made; (ii) Any standards governing the re-
(b) The notification procedures under lease of radioactive materials to the
§ 62.22 of this part are complied with; general environment that are applica-
and ble to the facility that generated the
(c) The temporary emergency access low level waste; and
duration will not exceed forty-five (45) (iii) Any other Commission require-
days. ments specifically applicable to the fa-
cility or activity that is the subject of
§ 62.24 Extension of emergency access. the emergency access request; and
(a) After the receipt of a request from (2) The extent to which essential
any generator of low-level waste, or services affecting the public health and
any Governor on behalf of any gener- safety (such as medical, therapeutic,
ator or generators in his or her State, diagnostic, or research activities) will
for an extension of emergency access be disrupted by the denial of emer-
that was initially granted under § 62.21, gency access.
the Commission shall make an initial (c) For purposes of granting tem-
determination of whether— porary emergency access under § 62.23
(1) Emergency access continues to be of this part, the Commission will con-
necessary because of an immediate and sider the criteria contained in the
serious threat to the public health and Commission’s Policy Statement (45 FR
safety or the common defense and secu- 10950, February 24, 1977) for deter-
rity; mining whether an event at a facility
(2) The threat cannot be mitigated by or activity licensed or otherwise regu-
any alternative that is consistent with lated by the Commission is an abnor-
public health and safety; and mal occurrence within the purview of
(3) The generator of low-level waste section 208 of the Energy Reorganiza-
and the State have diligently though tion Act of 1974.
unsuccessfully acted during the period (d) In making the determination that
of the initial grant to eliminate the a serious and immediate threat to the
need for emergency access. common defense and security exists,
235
§ 62.26 10 CFR Ch. I (1–1–11 Edition)
the Commission will consider, notwith- alternatives that were considered are
standing the availability of any alter- found to be unreasonable.
native identified in § 62.13 of this part: (h) As part of its mandated evalua-
(1) Whether the activity generating tion of the alternatives that were con-
the wastes is necessary to the protec- sidered by the generator, the Commis-
tion of the common defense and secu- sion shall consider the characteristics
rity, and of the wastes (including: physical prop-
(2) Whether the lack of access to a erties, chemical properties, radioac-
disposal site would result in a signifi- tivity, pathogenicity, infectiousness,
cant disruption in that activity that and toxicity, pyrophoricity, and explo-
would seriously threaten the common sive potential); condition of current
defense and security. container; potential for contaminating
The Commission will consider the the disposal site; the technologies or
views of the Department of Defense combination of technologies available
(DOD) and or the Department of En- for treatment of the waste (including
ergy (DOE) regarding the importance incinerators; evaporators-crystallizers;
of the activities responsible for gener- fluidized bed dryers; thin film evapo-
ating the LLW to the common defense rators; extruders, evaporators; and
and security, when evaluating requests Compactors); the suitability of volume
based all, or in part, on a serious and reduction equipment to the cir-
immediate threat to the common de- cumstances (specific activity consider-
fense and security. ations, actual volume reduction fac-
(e) In making the determination re- tors, generation of secondary wastes,
quired by § 62.21(a)(2) of this part, the equipment contamination, effluent re-
Commission will consider whether the leases, worker exposure, and equipment
person submitting the request— availability); and the administrative
(1) Has identified and evaluated any controls which could be applied, in
alternative that could mitigate the making a determination whether waste
need for emergency access; and to be delivered for disposal under this
(2) Has considered all pertinent fac- part has been reduced in volume to the
tors in its evaluation of alternatives maximum extent practicable using
including state-of-the-art technology available technology.
and impacts on public health and safe-
ty. § 62.26 Criteria for designating a dis-
posal facility.
(f) In making the determination re-
quired by § 62.21(a)(2) of this part, the (a) The Commission shall designate
Commission will consider implementa- an appropriate non-Federal or regional
tion of an alternative to be unreason- disposal facility if an affirmative de-
able if: termination is made pursuant to
(1) It adversely affects public health §§ 62.21, 62.23, or 62.24 of this part.
and safety, the environment, or the (b) The Commission will exclude a
common defense and security; or disposal facility from consideration if:
(2) It results in a significant curtail- (1) The low-level radioactive wastes
ment or cessation of essential services, of the generator do not meet the cri-
affecting public health and safety or teria established by the license agree-
the common defense and security; or ment or the license agreement of the
(3) It is beyond the technical and eco- facility; or
nomic capabilities of the person re- (2) The disposal facility is in excess
questing emergency access; or of its approved capacity; or
(4) Implementation of the alternative (3) Granting emergency access would
would conflict with applicable State or delay the closing of the disposal facil-
local or Federal laws and regulations; ity pursuant to plans established be-
or fore the receipt of the request for emer-
(5) It cannot be implemented in a gency access; or
timely manner. (4) The volume of waste requiring
(g) The Commission shall make an emergency access exceeds 20 percent of

affirmative determination under the total volume of low-level radio-
§ 62.21(a) of this part only if all of the active waste accepted for disposal at
236
the facility during the previous cal- PART 63—DISPOSAL OF HIGH-

endar year. LEVEL RADIOACTIVE WASTES IN
(c) If, after applying the exclusionary A GEOLOGIC REPOSITORY AT
criteria in paragraph (b) of this sec-
tion, more than one disposal facility is
YUCCA MOUNTAIN, NEVADA
identified as appropriate for designa-
tion, the Commission will then con-
sider additional factors in designating Sec.
a facility or facilities including— 63.1 Purpose and scope.
(1) Type of waste and its characteris- 63.2 Definitions.
tics, 63.3 License required.
(2) Previous disposal practices, 63.4 Communications and records.
(3) Transportation
63.6 Exemptions.
(4) Radiological effects,
63.7 License not required for certain pre-
(5) Site capability for handling waste, liminary activities.
(6) The volume of emergency access 63.8 Information collection requirements:
waste previously accepted by each site OMB approval.
both for the particular year and over- 63.9 Employee protection.
all, and 63.10 Completeness and accuracy of infor-
(7) Any other considerations deemed mation.
appropriate by the Commission. 63.11 Deliberate misconduct.
(d) The Commission, in making its
Subpart B—Licenses
designation, will also consider any in-
formation submitted by the operating PREAPPLICATION REVIEW
non-Federal or regional LLW disposal
63.15 Site characterization.
sites, or any information submitted by 63.16 Review of site characterization activi-
the public in response to a FEDERAL ties.
REGISTER notice requesting comment,
as provided in paragraph (b) of § 62.11 of LICENSE APPLICATION
this part. 63.21 Content of application.
63.22 Filing and distribution of application.
Subpart D—Termination of 63.23 Elimination of repetition.
Emergency Access 63.24 Updating of application and environ-
mental impact statement.
§ 62.31 Termination of emergency ac- CONSTRUCTION AUTHORIZATION
cess.
63.31 Construction authorization.
(a) The Commission may terminate a 63.32 Conditions of construction authoriza-
grant of emergency access when emer- tion.
gency access is no longer necessary to 63.33 Amendment of construction authoriza-
eliminate an immediate threat to pub- tion.
lic health and safety or the common
defense and security. LICENSE ISSUANCE AND AMENDMENT
(b) The Commission may terminate a 63.41 Standards for issuance of a license.
grant of emergency access if an appli- 63.42 Conditions of license.
cant has provided inaccurate informa- 63.43 License specification.
tion in its application for emergency 63.44 Changes, tests, and experiments.
access or if the applicant has failed to 63.45 Amendment of license.
comply with this part or any condi- 63.46 Particular activities requiring license
amendment.
tions set by the Commission pursuant
to this part. US/IAEA SAFEGUARDS AGREEMENT
63.47 Facility information and verification.
PERMANENT CLOSURE
63.51 License amendment for permanent
closure.
237
63.52 Termination of license. 63.144 Quality assurance program change.
Subpart C—Participation by State Govern- Subpart H—Training and Certification of

ment, Affected Units of Local Govern- Personnel
ment, and Affected Indian Tribes
63.151 General requirements.
63.61 Provision of information. 63.152 Training and certification program.
63.62 Site review. 63.153 Physical requirements.
63.63 Participation in license reviews.
63.64 Notice to State. Subpart I—Emergency Planning Criteria
63.65 Representation.
63.161 Emergency plan for the geologic re-
Subpart D—Records, Reports, Tests, and pository operations area through perma-
nent closure.
Inspections
63.71 Records and reports. Subpart J—Violations
63.72 Construction records.
63.171 Violations.
63.73 Reports of deficiencies.
63.74 Tests.
63.75 Inspections.
Subpart K—Preclosure Public Health and
63.78 Material control and accounting
records and reports. Environmental Standards
63.201 Purpose and scope.
Subpart E—Technical Criteria 63.202 Definitions for Subpart K.
63.101 Purpose and nature of findings. 63.203 Implementation of Subpart K.
63.102 Concepts. 63.204 Preclosure standard.
PRECLOSURE PERFORMANCE OBJECTIVES Subpart L—Postclosure Public Health and

Environmental Standards
63.111 Performance objectives for the geo-
logic repository operations area through 63.301 Purpose and scope.
permanent closure. 63.302 Definitions for Subpart L.
63.303 Implementation of Subpart L.
PRECLOSURE SAFETY ANALYSIS 63.304 Reasonable expectation.
63.112 Requirements for preclosure safety 63.305 Required characteristics of the ref-
analysis of the geologic repository oper- erence biosphere.
ations area.
POSTCLOSURE INDIVIDUAL PROTECTION
POSTCLOSURE PERFORMANCE OBJECTIVES STANDARD
63.113 Performance objectives for the geo- 63.311 Individual protection standard after
logic repository after permanent closure. permanent closure.
63.312 Required characteristics of the rea-
POSTCLOSURE PERFORMANCE ASSESSMENT sonably maximally exposed individual.
63.114 Requirements for performance assess- HUMAN INTRUSION STANDARD
ment.
63.115 Requirements for multiple barriers. 63.321 Individual protection standard for
human intrusion.
LAND OWNERSHIP AND CONTROL 63.322 Human intrusion scenario.
63.121 Requirements for ownership and con- GROUND-WATER PROTECTION STANDARDS
trol of interests in land.
63.331 Separate standards for protection of
Subpart F—Performance Confirmation ground water.
Program 63.332 Representative volume.
63.131 General requirements. ADDITIONAL PROVISIONS

63.132 Confirmation of geotechnical and de- 63.342 Limits on performance assessments.
sign parameters. 63.343 Severability of individual protection
63.133 Design testing. and ground-water protection standards.
63.134 Monitoring and testing waste pack-
ages. AUTHORITY: Secs. 51, 53, 62, 63, 65, 81, 161,
182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953,
Subpart G—Quality Assurance 954, as amended (42 U.S.C. 2071, 2073, 2092,
2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206,

63.141 Scope. 88 Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs.
63.142 Quality assurance criteria. 10 and 14, Pub. L. 95–601, 92 Stat. 2951 (42
63.143 Implementation. U.S.C. 2021a and 5851); sec. 102, Pub. L. 91–190,
238
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, determined by NRC, prevents or sub-
Pub. L. 97–425, 96 Stat. 2213g, 2238, as amend- stantially reduces the rate of move-
ed (42 U.S.C. 10134, 10141), and Pub. L. 102–486, ment of water or radionuclides from
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec.
1704, 112 Stat. 2750 (44 U.S.C. 3504 note); En-
the Yucca Mountain repository to the
ergy Policy Act of 2005, Pub. L. No. 109–58, accessible environment, or prevents
119 Stat. 594 (2005). the release or substantially reduces the
release rate of radionuclides from the
SOURCE: 66 FR 55792, Nov. 2, 2001, unless
otherwise noted. waste. For example, a barrier may be a
geologic feature, an engineered struc-
ture, a canister, a waste form with
Subpart A—General Provisions physical and chemical characteristics
§ 63.1 Purpose and scope. that significantly decrease the mobil-
ity of radionuclides, or a material
This part prescribes rules governing placed over and around the waste, pro-
the licensing (including issuance of a vided that the material substantially
construction authorization) of the U.S. delays movement of water or radio-
Department of Energy to receive and nuclides.
possess source, special nuclear, and by- Commencement of construction means
product material at a geologic reposi- clearing of land, surface or subsurface
tory operations area sited, constructed, excavation, or other substantial action
or operated at Yucca Mountain, Ne- that would adversely affect the envi-
vada, in accordance with the Nuclear ronment of a site. It does not include
Waste Policy Act of 1982, as amended, changes desirable for the temporary
and the Energy Policy Act of 1992. As use of the land for public recreational
provided in 10 CFR 60.1, the regulations uses, site characterization activities,
in part 60 of this chapter do not apply other preconstruction monitoring and
to any activity licensed under another investigation necessary to establish
part of this chapter. This part also background information related to the
gives notice to all persons who know- suitability of the Yucca Mountain site
ingly provide to any licensee, appli- or to the protection of environmental
cant, contractor, or subcontractor, values, or procurement or manufacture
components, equipment, materials, or of components of the geologic reposi-
other goods or services, that relate to a tory operations area.
licensee’s or applicant’s activities sub- Commission means the Nuclear Regu-
ject to this part, that they may be in- latory Commission or its duly author-
dividually subject to NRC enforcement ized representatives.
action for violation of § 63.11. Containment means the confinement
[69 FR 2280, Jan. 14, 2004] of radioactive waste within a des-
ignated boundary.
§ 63.2 Definitions. Design bases means that information
As used in this part: that identifies the specific functions to
Affected Indian Tribe means any In- be performed by a structure, system, or
dian Tribe within whose reservation component of a facility and the specific
boundaries a repository for high-level values or ranges of values chosen for
radioactive waste or spent fuel is pro- controlling parameters as reference
posed to be located; or whose Feder- bounds for design. These values may be
ally-defined possessory or usage rights constraints derived from generally ac-
to other lands outside of the reserva- cepted ‘‘state-of-the-art’’ practices for
tion’s boundaries arising out of Con- achieving functional goals or require-
gressionally-ratified treaties or other ments derived from analysis (based on
Federal law may be substantially and calculation or experiments) of the ef-
adversely affected by the location of fects of a postulated event under which
the facility if the Secretary of the Inte- a structure, system, or component
rior finds, on the petition of the appro- must meet its functional goals. The
priate governmental officials of the values for controlling parameters for
Tribe, that the effects are both sub- external events include:
stantial and adverse to the Tribe. (1) Estimates of severe natural events
Barrier means any material, struc- to be used for deriving design bases
ture, or feature that, for a period to be that will be based on consideration of
239
§ 63.2 10 CFR Ch. I (1–1–11 Edition)
historical data on the associated pa- itory, including both surface and sub-
rameters, physical data, or analysis of surface areas, where waste handling ac-
upper limits of the physical processes tivities are conducted.
involved; and Geologic setting means the geologic,
(2) Estimates of severe external hydrologic, and geochemical systems
human-induced events to be used for of the region in which a geologic repos-
deriving design bases, that will be itory is or may be located.
based on analysis of human activity in High-level radioactive waste or HLW
the region, taking into account the site means:
characteristics and the risks associated
(1) The highly radioactive material
with the event.
resulting from the reprocessing of
Director means the Director of the
spent nuclear fuel, including liquid
Nuclear Regulatory Commission’s Of-
fice of Nuclear Material Safety and waste produced directly in reprocessing
Safeguards. and any solid material derived from
Disposal means the emplacement of such liquid waste that contains fission
radioactive waste in a geologic reposi- products in sufficient concentrations;
tory with the intent of leaving it there (2) Irradiated reactor fuel; and
permanently. (3) Other highly radioactive material
DOE means the U.S. Department of that the Commission, consistent with
Energy or its duly authorized rep- existing law, determines by rule re-
resentatives. quires permanent isolation.
Engineered barrier system means the HLW facility means a facility subject
waste packages, including engineered to the licensing and related regulatory
components and systems other than authority of the Commission pursuant
the waste package (e.g., drip shields), to sections 202(3) and 202(4) of the En-
and the underground facility. ergy Reorganization Act of 1974 (88
Event sequence means a series of ac- Stat. 1244). 1
tions and/or occurrences within the Host rock means the geologic medium
natural and engineered components of in which the waste is emplaced.
a geologic repository operations area Important to safety, with reference to
that could potentially lead to exposure structures, systems, and components,
of individuals to radiation. An event means those engineered features of the
sequence includes one or more initi- geologic repository operations area
ating events and associated combina- whose function is:
tions of repository system component
(1) To provide reasonable assurance
failures, including those produced by
that high-level waste can be received,
the action or inaction of operating per-
handled, packaged, stored, emplaced,
sonnel. Those event sequences that are
and retrieved without exceeding the re-
expected to occur one or more times
quirements of § 63.111(b)(1) for Category
before permanent closure of the geo-
logic repository operations area are re- 1 event sequences; or
ferred to as Category 1 event se- (2) To prevent or mitigate Category 2
quences. Other event sequences that event sequences that could result in ra-
have at least one chance in 10,000 of oc- diological exposures exceeding the val-
curring before permanent closure are ues specified at § 63.111(b)(2) to any in-
referred to as Category 2 event se- dividual located on or beyond any
quences. point on the boundary of the site.
Geologic repository means a system
that is intended to be used for, or may 1 These are DOE ‘‘facilities used primarily
be used for, the disposal of radioactive for the receipt and storage of high-level ra-
wastes in excavated geologic media. A dioactive wastes resulting from activities li-
geologic repository includes the engi- censed under such Act (the Atomic Energy
neered barrier system and the portion Act)’’ and ‘‘Retrievable Surface Storage Fa-
cilities and other facilities authorized for
of the geologic setting that provides the express purpose of subsequent long-term
isolation of the radioactive waste.
storage of high-level radioactive wastes gen-

Geologic repository operations area erated by (DOE), which are not used for, or
means a high-level radioactive waste are part of, research and development activi-
facility that is part of a geologic repos- ties.’’
240
Important to waste isolation, with ref- their consequences (e.g., radiological

erence to design of the engineered bar- exposures to workers and the public).
rier system and characterization of The analysis identifies structures, sys-
natural barriers, means those engi- tems, and components important to
neered and natural barriers whose safety.
function is to provide a reasonable ex- Public Document Room means the
pectation that high-level waste can be place at One White Flint North, 11555
disposed of without exceeding the re- Rockville Pike, Room O–1F13, Rock-
quirements of § 63.113(b) and (c). ville, MD, at which records of the Com-
Initiating event means a natural or mission will ordinarily be made avail-
human induced event that causes an able for public inspection and any
event sequence. other place, the location of which has
Isolation means inhibiting the trans- been published in the FEDERAL REG-
port of radioactive material to: ISTER, at which public records of the
(1) The location of the reasonably Commission pertaining to a geologic
maximally exposed individual so that repository at the Yucca Mountain site
radiological exposures will not exceed are made available for public inspec-
the requirements of § 63.113(b); and tion.
(2) The accessible environment so Publicly Available Records System
that releases of radionuclides into the (PARS) Library means the electronic li-
accessible environment will not exceed brary generated by the NRC’s Agency-
the requirements of § 63.113(c). wide Documents Access and Manage-
Performance assessment means an ment System (ADAMS) to provide ac-
analysis that: cess to public documents. PARS has
(1) Identifies the features, events, full text documents which can be
processes (except human intrusion), searched using specific fields and pa-
and sequences of events and processes rameters. The public can search,
(except human intrusion) that might download, print, create reports, and
affect the Yucca Mountain disposal order documents online. The PARS Li-
system and their probabilities of occur- brary contains publicly available docu-
ring; ments created or received by NRC since
(2) Examines the effects of those fea- November 1, 1999, as well as some older
tures, events, processes, and sequences documents that the NRC has retrofit
of events and processes upon the per- into the collection. PARS is accessible
formance of the Yucca Mountain dis- from the NRC Web site at http://
posal system; and www.nrc.gov/reading-rm.html.
(3) Estimates the dose incurred by Radioactive waste or waste means
the reasonably maximally exposed in- HLW and radioactive materials other
dividual, including the associated un- than HLW that are received for em-
certainties, as a result of releases placement in a geologic repository.
caused by all significant features, Reasonably maximally exposed indi-
events, processes, and sequences of vidual means the hypothetical person
events and processes, weighted by their meeting the criteria specified at
probability of occurrence. § 63.312.
Performance confirmation means the Reference biosphere means the descrip-
program of tests, experiments, and tion of the environment inhabited by
analyses that is conducted to evaluate the reasonably maximally exposed in-
the adequacy of the information used dividual. The reference biosphere com-
to demonstrate compliance with the prises the set of specific biotic and abi-
performance objectives in subpart E of otic characteristics of the environ-
this part. ment, including, but not necessarily
Permanent closure means final back- limited to, climate, topography, soils,
filling of the underground facility, if flora, fauna, and human activities.
appropriate, and the sealing of shafts, Restricted area means an area, access
ramps, and boreholes. to which is limited by the licensee for
Preclosure safety analysis means a sys- the purpose of protecting individuals
tematic examination of the site; the against undue risks from exposure to
design; and the potential hazards, initi- radiation and radioactive materials.
ating events and event sequences and Restricted area does not include areas
241
§ 63.3 10 CFR Ch. I (1–1–11 Edition)
used as residential quarters, but sepa- Waste form means the radioactive
rate rooms in a residential building waste materials and any encapsulating
may be set aside as a restricted area. or stabilizing matrix.
Retrieval means the act of perma- Waste package means the waste form
nently removing radioactive waste and any containers, shielding, packing,
from the underground location at and other absorbent materials imme-
which the waste had been previously diately surrounding an individual
emplaced for disposal. waste container.
Saturated zone means that part of the Water table means that surface in a
earth’s crust beneath the regional ground-water body, separating the un-
water table in which statistically all saturated zone from the saturated
voids, large and small, are filled with zone, at which the water pressure is at-
water under pressure greater than atmospheric.
mospheric. [66 FR 55792, Nov. 2, 2001, as amended at 68
Site means that area surrounding the FR 58815, Oct. 10, 2003; 74 FR 10828, Mar. 13,
geologic repository operations area for 2009]
which DOE exercises authority over its
use in accordance with the provisions § 63.3 License required.
of this part. (a) DOE may not receive nor possess
Site characterization means the pro- source, special nuclear, or byproduct
gram of exploration and research, both material at a geologic repository oper-
in the laboratory and in the field, un- ations area at the Yucca Mountain site
dertaken to establish the geologic con- except as authorized by a license issued
ditions and the ranges of those param- by the Commission under this part.
eters of the Yucca Mountain site, and (b) DOE may not begin construction
the surrounding region to the extent of a geologic repository operations area
necessary, relevant to the procedures at the Yucca Mountain site unless it
under this part. Site characterization has filed an application with the Com-
includes borings, surface excavations, mission and has obtained construction
excavation of exploratory shafts and/or authorization as provided in this part.
ramps, limited subsurface lateral exca- Failure to comply with this require-
vations and borings, and in situ testing ment is grounds for denial of a license.
at depth needed to determine the suit-
ability of the site for a geologic reposi- § 63.4 Communications and records.
tory. (a) Except as otherwise specified, in
Total effective dose equivalent (TEDE) this part or in subpart J of part 2 of
means the sum of the effective dose this chapter, all communications and
equivalent (for external exposures) and reports concerning the regulations in
the committed effective dose equiva- this part and applications filed under
lent (for internal exposures). them should be sent to the NRC as fol-
Underground facility means the under- lows:
ground structure, backfill materials, if (1) By mail addressed: ATTN: Docu-
any, and openings that penetrate the ment Control Desk; Director, Office of
underground structure (e.g., ramps, Nuclear Material Safety and Safe-
shafts, and boreholes, including their guards; U.S. Nuclear Regulatory Com-
seals). mission, Washington, DC 20555–0001;
Unrestricted area means an area, ac- (2) By hand delivery to the NRC’s of-
cess to which is neither limited nor fices at 11555 Rockville Pike, Rock-
controlled by the licensee. ville, Maryland; ATTN: Document Con-
Unsaturated zone means the zone be- trol Desk: Director, Office of Nuclear
tween the land surface and the regional Material Safety and Safeguards; or,
water table. Generally, fluid pressure (3) Where practicable, by electronic
in this zone is less than atmospheric submission, for example, via Electronic
pressure, and some of the voids may Information Exchange, or CD-ROM.
contain air or other gases at atmos- Electronic submissions must be made
pheric pressure. Beneath flooded areas in a manner that enables the NRC to
or in perched water bodies, the fluid receive, read, authenticate, distribute,

pressure locally may be greater than and archive the submission, and proc-
atmospheric. ess and retrieve it a single page at a
242
time. Detailed guidance on making § 63.7 License not required for certain
electronic submissions can be obtained preliminary activities.
by visiting the NRC’s Web site at http:// The requirement for a license set
www.nrc.gov/site-help/e-submittals.html; forth in § 63.3(a) is not applicable to the
by e-mail to MSHD.Resource@nrc.gov; extent that DOE receives and possesses
or by writing the Office of Information source, special nuclear, and byproduct
Services, U.S. Nuclear Regulatory material at a geologic repository at the
Commission, Washington, DC 20555– Yucca Mountain site:
0001. The guidance discusses, among (a) For purposes of site characteriza-
other topics, the formats the NRC can tion; or
accept, the use of electronic signa- (b) For use, during site characteriza-
tures, and the treatment of nonpublic tion or construction, as components of
information. radiographic, radiation monitoring, or
(b) Each record required by this part similar equipment or instrumentation.
must be legible throughout the reten-
§ 63.8 Information collection require-
tion period specified by each Commis- ments: OMB approval.
sion regulation. The record may be the
original or a reproduced copy or a (a) The Nuclear Regulatory Commis-
microform if the copy or microform is sion has submitted the information
collection requirements contained in
authenticated by authorized personnel
this part to the Office of Management
and the microform is capable of pro-
and Budget (OMB) for approval as re-
ducing a clear copy throughout the re-
quired by the Paperwork Reduction
quired retention period. The record Act (44 U.S.C. 3501, et seq.). The NRC
may also be stored in electronic media may not conduct or sponsor, and a per-
with the capability for producing leg- son is not required to respond to, a col-
ible, accurate, and complete records lection of information unless it dis-
during the required retention period. plays a currently valid OMB control
Records such as letters, drawings, and number. OMB has approved the infor-
specifications must include all perti- mation collection requirements con-
nent information such as stamps, ini- tained in this part under control num-
tials, and signatures. The licensee shall ber 3150–0199.
maintain adequate safeguards against (b) The approved information collec-
tampering with and loss of records. tion requirements contained in this
Part appear in §§ 63.47, 63.62, 63.63, and
[66 FR 55792, Nov. 2, 2001, as amended at 68
63.65.
FR 58815, Oct. 10, 2003; 74 FR 62683, Dec. 1,
2009] (c) In § 63.47, Form N–71 and associ-
ated forms are approved under control
§ 63.5 Interpretations. number 3150–0056, and DOC/NRC Forms
AP–1, AP–A, and associated forms are
Except as specifically authorized by approved under control numbers 0694–
the Commission in writing, no inter- 0135.
tions in this part by any officer or em- [66 FR 55792, Nov. 2, 2001, as amended at 73
FR 78606, Dec. 23, 2008]
ployee of the Commission other than a
written interpretation by the General § 63.9 Employee protection.
Counsel is binding on the Commission.
(a) Discrimination by a Commission
§ 63.6 Exemptions. licensee, an applicant for a Commis-
sion license, or a contractor or subcon-
The Commission may, upon applica- tractor of a Commission licensee or ap-
tion by DOE, any interested person, or plicant, against an employee, for en-
upon its own initiative, grant an ex- gaging in certain protected activities,
emption from the requirements of this is prohibited. Discrimination includes
part if it determines that the exemp- discharge and other actions that relate
tion is authorized by law, does not en- to compensation, terms, conditions, or
danger life nor property nor the com- privileges of employment. The pro-
mon defense and security, and is other- tected activities are established in sec-
wise in the public interest. tion 211 of the Energy Reorganization
243
§ 63.9 10 CFR Ch. I (1–1–11 Edition)
Act of 1974, as amended, and in general complaint alleging the violation with
are related to the administration or en- the Department of Labor, Employment
forcement of a requirement imposed Standards Administration, Wage and
under the Atomic Energy Act or the Hour Division. The Department of
Energy Reorganization Act. Labor may order reinstatement, back
(1) The protected activities include pay, and compensatory damages.
but are not limited to: (c) A violation of paragraph (a), (e),
(i) Providing the Commission, or his or (f) of this section by a Commission
or her employer, information about al- licensee, an applicant for a Commis-
leged violations of either of the stat- sion license, or a contractor or subcon-
utes named in paragraph (a) of this sec- tractor of a Commission licensee or ap-
tion or possible violations of require- plicant may be grounds for—
ments imposed under either of those
aforementioned statutes;
of the license;
(ii) Refusing to engage in any prac-
tice made unlawful under either of the (2) Imposition of a civil penalty on
statutes named in paragraph (a) of this the licensee, applicant, or a contractor
section, or under these requirements, if or subcontractor of the licensee or ap-
the employee has identified the alleged plicant; or
illegality to the employer; (3) Other enforcement action.
(iii) Requesting the Commission to (d) Actions taken by an employer, or
institute action against his or her em- others, that adversely affect an em-
ployer for the administration or en- ployee, may be predicated on non-
forcement of these requirements; discriminatory grounds. The prohibi-
(iv) Testifying in any Commission tion applies when the adverse action
proceeding, or before Congress, or at occurs because the employee has en-
any Federal or State proceeding re- gaged in protected activities. An em-
garding any provision (or proposed pro- ployee’s engagement in protected ac-
vision) of either of the statutes named tivities does not automatically render
in paragraph (a) of this section; him or her immune from discharge or
(v) Assisting or participating in, or is discipline for legitimate reasons or
about to assist or participate in, these from adverse action dictated by non-
activities. prohibited considerations.
(2) These activities are protected (e)(1) Each licensee and each appli-
even if no formal proceeding is actu- cant for a license shall prominently
ally initiated as a result of the em-
post the revision of NRC Form 3, ‘‘No-
ployee assistance or participation.
tice to Employees,’’ referenced in
(3) This section does not apply to any
§ 19.11(c) of this chapter. This form
employee alleging discrimination pro-
must be posted at locations sufficient
hibited by this section who, acting
to permit employees protected by this
without direction from his or her em-
ployer (or the employer’s agent), delib- section to observe a copy on the way to
erately causes a violation of any re- or from their place of work. Premises
quirement of the Energy Reorganiza- must be posted not later than 30 days
tion Act of 1974, as amended, or the after an application is docketed and re-
Atomic Energy Act of 1954, as amend- main posted while the application is
ed. pending before the Commission, during
(b) Any employee who believes that the term of the license, and for 30 days
he or she has been discharged or other- following license termination.
wise discriminated against by any per- (2) Copies of NRC Form 3 may be ob-
son for engaging in protected activities tained by writing to the Regional Ad-
specified in paragraph (a)(1) of this sec- ministrator of the appropriate U.S. Nu-
tion may seek a remedy for the dis- clear Regulatory Commission Regional
charge or discrimination through an Office listed in appendix D to part 20 of
administrative proceeding in the De- this chapter, by calling (301) 415–7232,
partment of Labor. The administrative via e-mail to FORMS.Resource@nrc.gov,
proceeding must be initiated within 180 or by accessing the NRC Web site at
days after an alleged violation occurs. http://www.nrc.gov and selecting forms
The employee may do this by filing a from the index found on the home page.
244
(f) No agreement affecting the com- cant; or any contractor (including a

pensation, terms, conditions, or privi- supplier or consultant), subcontractor,
leges of employment, including an employee of a contractor or subcon-
agreement to settle a complaint filed tractor of any licensee or applicant for
by an employee with the Department a license, who knowingly provides to
of Labor pursuant to section 211 of the any licensee, applicant, contractor, or
Energy Reorganization Act of 1974, as subcontractor, any components, equip-
amended, may contain any provision ment, materials, or other goods or
that would prohibit, restrict, or other- services that relate to a licensee’s or
wise discourage an employee from par- applicant’s activities in this part, may
ticipating in a protected activity as de- not:
fined in paragraph (a)(1) of this section, (1) Engage in deliberate misconduct
including, but not limited to, providing that causes or would have caused, if
information to NRC or to his or her not detected, a licensee or applicant to
employer on potential violations or be in violation of any rule, regulation,
other matters within NRC’s regulatory or order; or any term, condition, or
responsibilities. limitation of any license issued by the
[66 FR 55792, Nov. 2, 2001, as amended at 68 Commission; or
FR 58815, Oct. 10, 2003; 72 FR 63974, Nov. 14, (2) Deliberately submit to NRC, a li-
2007; 73 FR 30459, May 28, 2008] censee, an applicant, or a licensee’s or
applicant’s contractor or subcon-
§ 63.10 Completeness and accuracy of tractor, information that the person
information. submitting the information knows to
(a) Information provided to the Com- be incomplete or inaccurate in some
mission by an applicant for a license or respect material to NRC.
by a licensee, or information required (b) A person who violates paragraph
by statute, or required by the Commis- (a)(1) or (a)(2) of this section may be
sion’s regulations, orders, or license subject to enforcement action in ac-
conditions to be maintained by the ap- cordance with the procedures in 10 CFR
plicant or the licensee must be com- part 2, subpart B.
plete and accurate in all material re- (c) For purposes of paragraph (a)(1) of
spects. this section, deliberate misconduct by
(b) The applicant or licensee shall no- a person means an intentional act or
tify the Commission of information omission that the person knows:
identified by the applicant or licensee (1) Would cause a licensee or appli-
as having, for the regulated activity, a cant to be in violation of any rule, reg-
significant implication for public ulation, or order; or any term, condi-
health and safety or common defense tion, or limitation, of any license
and security. An applicant or licensee issued by the Commission; or
violates this paragraph only if the ap- (2) Constitutes a violation of a re-
plicant or licensee fails to notify the quirement, procedure, instruction, con-
Commission of information that the tract, purchase order, or policy of a li-
applicant or licensee has identified as censee, applicant, contractor, or sub-
having a significant implication for contractor.
public health and safety or common de-
fense and security. Notification must Subpart B—Licenses
be provided to the Director of Nuclear
Material Safety and Safeguards, U.S. PREAPPLICATION REVIEW
Nuclear Regulatory Commission, with-
in 2 working days of identifying the in- § 63.15 Site characterization.
formation. This requirement is not ap- (a) DOE shall conduct a program of
plicable to information that is already site characterization with respect to
required to be provided to the Commis- the Yucca Mountain site before it sub-
sion by other reporting or updating re- mits an application for a license to be
quirements. issued under this part.
(b) DOE shall conduct the investiga-
§ 63.11 Deliberate misconduct. tions to obtain the required informa-

(a) Any licensee, applicant for a li- tion in a manner that limits adverse ef-
cense, employee of a licensee or appli- fects on the long-term performance of
245
§ 63.16 10 CFR Ch. I (1–1–11 Edition)
the geologic repository at Yucca Moun- current views on any aspect of site
tain to the extent practical. characterization or performance as-
sessment at the Yucca Mountain site.
§ 63.16 Review of site characterization In particular, the Director shall com-
activities. 2 ment whenever he or she determines
(a) If DOE’s planned site character- that there are substantial grounds for
ization activities include onsite testing making recommendations or stating
with radioactive material, including objections to DOE’s site characteriza-
radioactive tracers, the Commission tion program. The Director shall invite
shall determine whether the proposed public comment on any comments that
use of such radioactive material is nec- the Director makes to DOE on review
essary to provide data for the prepara- of the DOE semiannual reports or on
tion of the environmental reports re- any other comments that the Director
quired by law and for an application to makes to DOE on site characterization
be submitted under § 63.22. and performance assessment by placing
(b) During the conduct of site charac- the comments in a public forum to
terization activities at the Yucca allow the public to comment on them
Mountain site, DOE shall report the after the Director’s comments are sent
nature and extent of the activities, the to DOE.
information that has been developed, (e) The Director shall transmit copies
and the progress of waste form and of all comments to DOE made by the
waste package research and develop- Director under this section to the Gov-
ment to the Commission not less than ernor and legislature of the State of
once every 6 months. The semiannual Nevada and to the governing body of
reports must include the results of site any affected Indian Tribe.
characterization studies, the identi- (f) The NRC shall place all cor-
fication of new issues, plans for addi- respondence between DOE and NRC re-
tional studies to resolve new issues, sulting from the requirements of this
elimination of planned studies no section, including the reports described
longer necessary, identification of deci- in paragraph (b) of this section, in the
sion points reached, and modifications Publicly Available Records System
to schedules, where appropriate. DOE (PARS) Library.
shall also report its progress in devel- (g) The activities described in para-
oping the design of a geologic reposi- graphs (a) through (f) of this section
tory operations area appropriate for constitute informal conference be-
the area being characterized, noting tween a prospective applicant and the
when key design parameters or fea- NRC staff, as described in § 2.101(a)(1) of
tures that depend on the results of site this chapter, and are not part of a pro-
characterization will be established. ceeding under the Atomic Energy Act
Other topics related to site character- of 1954, as amended. Accordingly, the
ization must also be covered if re- issuance of the Director’s comments
quested by the Director. made under this section does not con-
(c) During the conduct of site charac- stitute a commitment to issue any au-
terization activities at the Yucca thorization or license, or in any way
Mountain site, NRC staff shall be per- affect the authority of the Commis-
mitted to visit and inspect the loca- sion, Atomic Safety and Licensing
tions at which such activities are car- Board, other presiding officers, or the
ried out and to observe excavations, Director, in any such proceeding.
borings, and in situ tests, as they are
done. [66 FR 55792, Nov. 2, 2001, as amended at 68
(d) The Director may comment at FR 58815, Oct. 10, 2003]
any time in writing to DOE, expressing LICENSE APPLICATION
2 In addition to the review of site charac- § 63.21 Content of application.
terization activities specified in this section,
the Commission contemplates an ongoing re-
(a) An application consists of general
information and a Safety Analysis Re-
view of other information on site investiga-

tion and site characterization, to allow early port. An environmental impact state-
identification of potential licensing issues ment must be prepared in accordance
for timely resolution at the staff level. with the Nuclear Waste Policy Act of
246
1982, as amended, and must accompany (ii) Information regarding the geol-
the application. Any Restricted Data ogy, hydrology, and geochemistry of
or National Security Information must the site, including geomechanical prop-
be separated from unclassified informa- erties and conditions of the host rock;
tion. The application must be as com- (iii) Information regarding surface
plete as possible in the light of infor- water hydrology, climatology, and me-
mation that is reasonably available at teorology of the site; and
the time of docketing. (iv) Information regarding the loca-
(b) The general information must in- tion of the reasonably maximally ex-
clude: posed individual, and regarding local
(1) A general description of the pro- human behaviors and characteristics,
posed geologic repository at the Yucca as needed to support selection of con-
Mountain site, identifying the location ceptual models and parameters used for
of the geologic repository operations the reference biosphere and reasonably
area, the general character of the pro- maximally exposed individual.
posed activities, and the basis for the (2) Information relative to materials
exercise of the Commission’s licensing of construction of the geologic reposi-
authority. tory operations area (including geo-
(2) Proposed schedules for construc- logic media, general arrangement, and
tion, receipt of waste, and emplace- approximate dimensions), and codes
ment of wastes at the proposed geo- and standards that DOE proposes to
logic repository operations area. apply to the design and construction of
(3) A description of the detailed secu- the geologic repository operations
rity measures for physical protection area.
of high-level radioactive waste in ac- (3) A description and discussion of
cordance with § 73.51 of this chapter. the design of the various components
This plan must include the design for of the geologic repository operations
physical protection, the licensee’s safe- area and the engineered barrier system
guards contingency plan, and security including:
organization personnel training and (i) Dimensions, material properties,
qualification plan. The plan must list specifications, analytical and design
tests, inspections, audits, and other methods used along with any applica-
means to be used to demonstrate com- ble codes and standards;
pliance with such requirements. (ii) The design criteria used and their
(4) A description of the material con- relationships to the preclosure and
trol and accounting program to meet postclosure performance objectives
the requirements of § 63.78. specified at § 63.111(b), § 63.113(b), and
(5) A description of work conducted § 63.113(c); and
to characterize the Yucca Mountain (iii) The design bases and their rela-
site. tion to the design criteria.
(c) The Safety Analysis Report must (4) A description of the kind, amount,
include: and specifications of the radioactive
(1) A description of the Yucca Moun- material proposed to be received and
tain site, with appropriate attention to possessed at the geologic repository op-
those features, events, and processes of erations area at the Yucca Mountain
the site that might affect design of the site.
geologic repository operations area and (5) A preclosure safety analysis of the
performance of the geologic repository. geologic repository operations area, for
The description of the site must in- the period before permanent closure, to
clude information regarding features, ensure compliance with § 63.111(a), as
events, and processes outside of the required by § 63.111(c). For the purposes
site to the extent the information is of this analysis, it is assumed that op-
relevant and material to safety or per- erations at the geologic repository op-
formance of the geologic repository. erations area will be carried out at the
The information referred to in this maximum capacity and rate of receipt
paragraph must include: of radioactive waste stated in the ap-
(i) The location of the geologic repos- plication.

itory operations area with respect to (6) A description of the program for
the boundary of the site; control and monitoring of radioactive
247
§ 63.21 10 CFR Ch. I (1–1–11 Edition)
effluents and occupational radiological features of the engineered barrier sys-

exposures to maintain such effluents tem that are considered barriers impor-
and exposures in accordance with the tant to waste isolation as required by
requirements of § 63.111. § 63.115.
(7) A description of plans for retrieval (15) An explanation of measures used
and alternate storage of the radio- to support the models used to provide
active wastes, should retrieval be nec- the information required in paragraphs
essary. (c)(9) through (c)(14) of this section.
(8) A description of design consider- Analyses and models that will be used
ations that are intended to facilitate to assess performance of the geologic
permanent closure and decontamina- repository must be supported by using
tion or decontamination and dis- an appropriate combination of such
mantlement of surface facilities. methods as field tests, in situ tests,
(9) An assessment to determine the laboratory tests that are representa-
degree to which those features, events, tive of field conditions, monitoring
and processes of the site that are ex- data, and natural analog studies.
pected to materially affect compliance (16) An identification of those struc-
with § 63.113—whether beneficial or po- tures, systems, and components of the
tentially adverse to performance of the geologic repository, both surface and
geologic repository—have been charac- subsurface, that require research and
terized, and the extent to which they development to confirm the adequacy
affect waste isolation. Investigations of design. For structures, systems, and
must extend from the surface to a components important to safety and
depth sufficient to determine principal for the engineered and natural barriers
pathways for radionuclide migration important to waste isolation, DOE
from the underground facility. Specific shall provide a detailed description of
features, events, and processes of the the programs designed to resolve safety
geologic setting must be investigated
questions, including a schedule indi-
outside of the site if they affect per-
cating when these questions would be
formance of the geologic repository.
resolved.
(10) An assessment of the anticipated
response of the geomechanical, (17) A description of the performance
hydrogeologic, and geochemical sys- confirmation program that meets the
tems to the range of design thermal requirements of subpart F of this part.
loadings under consideration, given the (18) An identification and justifica-
pattern of fractures and other dis- tion for the selection of those vari-
continuities and the heat transfer ables, conditions, or other items that
properties of the rock mass and water. are determined to be probable subjects
(11) An assessment of the ability of of license specifications. Special atten-
the proposed geologic repository to tion must be given to those items that
limit radiological exposures to the rea- may significantly influence the final
sonably maximally exposed individual design.
for the period after permanent closure, (19) An explanation of how expert
as required by § 63.113(b). elicitation was used.
(12) An assessment of the ability of (20) A description of the quality as-
the proposed geologic repository to surance program to be applied to the
limit releases of radionuclides into the structures, systems, and components
accessible environment as required by important to safety and to the engi-
§ 63.113(c). neered and natural barriers important
(13) An assessment of the ability of to waste isolation. The description of
the proposed geologic repository to the quality assurance program must
limit radiological exposures to the rea- include a discussion of how the applica-
sonably maximally exposed individual ble requirements of § 63.142 will be sat-
for the period after permanent closure isfied.
in the event of human intrusion into (21) A description of the plan for re-
the engineered barrier system as responding to, and recovering from, radi-
quired by § 63.113(d). ological emergencies that may occur at

(14) An evaluation of the natural fea- any time before permanent closure and
tures of the geologic setting and design decontamination or decontamination
248
and dismantlement of surface facili- applicable, and shall protect classified

ties, as required by § 63.161. information in accordance with the re-
(22) The following information con- quirements of parts 25 and 95 of this
cerning activities at the geologic re- chapter, as applicable.
pository operations area: [66 FR 55792, Nov. 2, 2001, as amended at 73
(i) The organizational structure of FR 63572, Oct. 24, 2008]
DOE as it pertains to construction and
operation of the geologic repository op- § 63.22 Filing and distribution of appli-
erations area, including a description cation.
of any delegations of authority and as- (a) An application for a construction
signments of responsibilities, whether authorization for a high-level radio-
in the form of regulations, administra- active waste repository at a geologic
tive directives, contract provisions, or repository operations area at Yucca
otherwise. Mountain, and an application for a li-
(ii) Identification of key positions cense to receive and possess source,
that are assigned responsibility for special nuclear, or byproduct material
safety at and operation of the geologic at a geologic repository operations
repository operations area. area at the Yucca Mountain site that
(iii) Personnel qualifications and has been characterized, any amend-
training requirements. ments to the application, and an ac-
(iv) Plans for startup activities and companying environmental impact
startup testing. statement and any supplements, must
(v) Plans for conduct of normal ac- be signed by the Secretary of Energy or
tivities, including maintenance, sur- the Secretary’s authorized representa-
veillance, and periodic testing of struc- tive and must be filed with the Direc-
tures, systems, and components of the tor in triplicate on paper and optical
geologic repository operations area. storage media.
(vi) Plans for permanent closure and (b) DOE shall submit 30 additional
plans for the decontamination or de- copies, on paper and optical storage
contamination and dismantlement of media, of each portion of the applica-
surface facilities. tion and any amendments, and each en-
(vii) Plans for any uses of the geo- vironmental impact statement and any
logic repository operations area at the supplements. DOE shall maintain the
Yucca Mountain site for purposes other capability to generate additional cop-
than disposal of radioactive wastes, ies for distribution in accordance with
with an analysis of the effects, if any, written instructions from the Director
that such uses may have on the oper- or the Director’s designee.
ation of the structures, systems, and (c) On notification of the appoint-
components important to safety and ment of an Atomic Safety and Licens-
the engineered and natural barriers im- ing Board, DOE shall update the appli-
portant to waste isolation. cation, eliminating all superseded in-
(23) A description of the program to formation, and supplement the envi-
be used to maintain the records de- ronmental impact statement if nec-
scribed in §§ 63.71 and 63.72. essary, and serve the updated applica-
(24) A description of the controls that tion and environmental impact state-
DOE will apply to restrict access and ment (as it may have been supple-
to regulate land use at the Yucca mented) as directed by the Board. Any
Mountain site and adjacent areas, in- subsequent amendments to the applica-
cluding a conceptual design of monu- tion or supplements to the environ-
ments that would be used to identify mental impact statement must be
the site after permanent closure. served in the same manner.
(d) The applicant for a license to re- (d) When an application, and any
ceive and possess source, special nu- amendment to it is filed, copies on
clear, and byproduct material at a geo- paper and optical storage media must
logic repository at Yucca Mountain, be made available in appropriate loca-
Nevada, shall protect Safeguards Infor- tions near the proposed geologic repos-
mation in accordance with the require- itory operations areas at the Yucca
ments in § 73.21, and the requirements Mountain site for inspection by the
in § 73.22, or § 73.23 of this chapter, as public. These copies must be updated
249
§ 63.23 10 CFR Ch. I (1–1–11 Edition)
as amendments to the application are was not available at the time a con-
made. The environmental impact struction authorization was issued.
statement and any supplements to it (c) DOE shall supplement its environ-
must be made available in the same mental impact statement in a timely
manner. An updated copy of the appli- manner so as to take into account the
cation, and the environmental impact environmental impacts of any substan-
statement and supplements, must be tial changes in its proposed actions or
produced at any public hearing held by any significant new circumstances or
the Commission on the application for information relevant to environmental
use by any party to the proceeding. concerns bearing on the proposed ac-
(e) DOE shall certify that the up- tion or its impacts.
dated copies of the application, and the
environmental impact statement as it CONSTRUCTION AUTHORIZATION
may have been supplemented, as re-
ferred to in paragraphs (c) and (d) of § 63.31 Construction authorization.
this section, contain the current con- On review and consideration of an ap-
tents of these documents submitted as plication and environmental impact
required by this part. statement submitted under this part,
[66 FR 55792, Nov. 2, 2001, as amended at 68 the Commission may authorize con-
FR 58815, Oct. 10, 2003; 69 FR 2280, Jan. 14, struction of a geologic repository oper-
2004] ations area at the Yucca Mountain site
if it determines:
§ 63.23 Elimination of repetition. (a) Safety. (1) That there is reason-
In its application or environmental able assurance that the types and
impact statement, DOE may incor- amounts of radioactive materials de-
porate, by reference, information con- scribed in the application can be re-
tained in previous applications, state- ceived and possessed in a geologic re-
ments, or reports filed with the Com- pository operations area of the design
mission, if the references are clear and proposed without unreasonable risk to
specific and copies of the information the health and safety of the public; and
incorporated are made available to the (2) That there is reasonable expecta-
public locations near the site of the tion that the materials can be disposed
proposed geologic repository, as speci- of without unreasonable risk to the
fied in § 63.22(d). health and safety of the public.
(3) In arriving at these determina-
§ 63.24 Updating of application and en- tions, the Commission shall consider
vironmental impact statement. whether—
(a) The application must be as com- (i) DOE has described the proposed
plete as possible in light of the infor- geologic repository as specified at
mation that is reasonably available at § 63.21;
the time of docketing. (ii) The site and design comply with
(b) DOE shall update its application the performance objectives and re-
in a timely manner so as to permit the quirements contained in subpart E of
Commission to review, before issuance this part;
of a license— (iii) DOE’s quality assurance pro-
(1) Additional geologic, geophysical, gram complies with the requirements
geochemical, hydrologic, meteorologic, of subpart G of this part;
materials, design, and other data ob- (iv) DOE’s personnel training pro-
tained during construction; gram complies with the criteria con-
(2) Conformance of construction of tained in subpart H of this part;
structures, systems, and components (v) DOE’s emergency plan complies
with the design; with the criteria contained in subpart I
(3) Results of research programs car- of this part; and
ried out to confirm the adequacy of de- (vi) DOE’s proposed operating proce-
signs, conceptual models, parameter dures to protect health and to mini-
values, and estimates of performance mize danger to life or property are ade-
of the geologic repository. quate.

(4) Other information bearing on the (b) Common defense and security. That
Commission’s issuance of a license that there is reasonable assurance that the
250
activities proposed in the application (ii) 30 days notice of opportunity for

will not be inimical to the common de- a prior hearing; and
fense and security. (iii) Prior Commission approval;
(c) Environmental. That, after weigh- (2) Those features and procedures
ing the environmental, economic, tech- that may not be changed without—
nical, and other benefits against envi- (i) 60 days prior notice to the Com-
ronmental costs, and considering avail- mission; and
able alternatives, the action called for (ii) Prior Commission approval; and
is the issuance of the construction au- (3) Those features and procedures
thorization, with any appropriate con- that may not be changed without 60
ditions to protect environmental val- days notice to the Commission. Fea-
ues. tures and procedures falling in this
paragraph section may not be changed
§ 63.32 Conditions of construction au- without prior Commission approval if
thorization. the Commission, after having received
(a) In a construction authorization the required notice, so orders.
for a geologic repository operations (d) A construction authorization
area at the Yucca Mountain site, the must be subject to the limitation that
Commission shall include any condi- a license to receive and possess source,
tions it considers necessary to protect special nuclear, or byproduct material
the health and safety of the public, the at the Yucca Mountain site geologic re-
common defense and security, or envi- pository operations area may not be
ronmental values. issued by the Commission until;
(b) The Commission shall incorporate (1) DOE has updated its application,
provisions in the construction author- as specified at § 63.24; and
ization requiring DOE to furnish peri- (2) The Commission has made the
odic or special reports regarding: findings stated in § 63.41.
(1) Progress of construction; § 63.33 Amendment of construction au-
(2) Any data about the site, obtained thorization.
during construction, that are not with-
in the predicted limits on which the fa- (a) An application for amendment of
cility design was based; a construction authorization must be
filed with the Commission that fully
(3) Any deficiencies, in design and
describes any desired changes and fol-
construction, that, if uncorrected,
lows, as far as applicable, the content
could adversely affect safety at any fu-
requirements prescribed in § 63.21.
ture time; and
(b) In determining whether an
(4) Results of research and develop-
amendment of a construction author-
ment programs being conducted to re-
ization will be approved, the Commis-
solve safety questions.
sion will be guided by the consider-
(c) The construction authorization ations that govern the issuance of the
for a geologic repository operations initial construction authorization, to
area at the Yucca Mountain site will the extent applicable.
include restrictions on subsequent
changes to the features of the geologic LICENSE ISSUANCE AND AMENDMENT
repository and the procedures author-
ized. The restrictions that may be im- § 63.41 Standards for issuance of a li-
posed under this paragraph can include cense.
measures to prevent adverse effects on A license to receive and possess
the geologic setting as well as meas- source, special nuclear, or byproduct
ures related to the design and con- material at a geologic repository oper-
struction of the geologic repository op- ations area at the Yucca Mountain site
erations area. These restrictions will may be issued by the Commission on
fall into three categories of descending finding that—
importance to public health and safety, (a) Construction of the geologic re-
as follows: pository operations area has been sub-
(1) Those features and procedures stantially completed in conformity
that may not be changed without— with the application as amended, the
(i) 60 days prior notice to the Com- provisions of the Atomic Energy Act,
mission; and the rules and regulations of the
251
§ 63.42 10 CFR Ch. I (1–1–11 Edition)
Commission. Construction may be con- sion. The terms and conditions of the
sidered substantially complete for the license are subject to amendment, revi-
purposes of this paragraph if the con- sion, or modification, by reason of
struction of— amendments to or by reason of rules,
(1) Surface and interconnecting regulations, and orders issued in ac-
structures, systems, and components; cordance with the terms of the Atomic
and Energy Act.
(2) Any underground storage space (c) Each license includes the provi-
required for initial operation, are sub- sions set forth in section 183 b–d, inclu-
stantially complete. sive, of the Atomic Energy Act, wheth-
(b) The activities to be conducted at er or not these provisions are expressly
the geologic repository operations area set forth in the license.
will be in conformity with the applica- (d) A license issued under this part
tion as amended, the provisions of the includes the provisions set forth in sec-
Atomic Energy Act and the Energy Re- tion 114(d) of the Nuclear Waste Policy
organization Act, and the rules and Act, as amended, defining the quantity
regulations of the Commission. of solidified high-level radioactive
(c) The issuance of the license will waste and spent nuclear fuel, until
not be inimical to the common defense such time as a second repository is in
and security and will not constitute an operation, whether or not these provi-
unreasonable risk to the health and sions are expressly set forth in the li-
safety of the public. cense.
(d) Adequate protective measures can (e) The licensee (Department of En-
and will be taken in the event of a radi- ergy) shall ensure that Safeguards In-
ological emergency at any time before formation is protected against unau-
permanent closure and decontamina- thorized disclosure in accordance with
tion or decontamination and dis- the requirements in § 73.21, and the re-
mantlement of surface facilities. quirements in § 73.22, or § 73.23 of this
(e) All applicable requirements of chapter, as applicable, and shall pro-
part 51 of this chapter have been satis- tect classified information in accord-
fied. ance with the requirements of parts 25
and 95 of this chapter, as applicable.
§ 63.42 Conditions of license.
(a) The Commission shall include any FR 63572, Oct. 24, 2008]
conditions, including license specifica-
tions, it considers necessary to protect § 63.43 License specification.
the health and safety of the public, the (a) A license issued under this part
common defense and security, and en- includes license conditions derived
vironmental values in a license issued from the analyses and evaluations in-
under this part. cluded in the application, including
(b) Whether stated in the license or amendments made before a license is
not, the following are considered to be issued, together with any additional
conditions in every license issued: conditions the Commission finds appro-
(1) The license is subject to revoca- priate.
tion, suspension, modification, or (b) License conditions include items
amendment for cause, as provided by in the following categories:
the Atomic Energy Act and the Com- (1) Restrictions as to the physical
mission’s regulations. and chemical form and radioisotopic
(2) DOE shall, at any time while the content of radioactive waste.
license is in effect, on written request (2) Restrictions as to size, shape, and
of the Commission, submit written materials and methods of construction
statements to enable the Commission of radioactive waste packaging.
to determine whether or not the li- (3) Restrictions as to the amount of
cense should be modified, suspended, or waste permitted per unit volume of
revoked. storage space, considering the physical
(3) The license is subject to the provi- characteristics of both the waste and
sions of the Atomic Energy Act now or the host rock.

hereafter in effect and to all rules, reg- (4) Requirements relating to test,
ulations, and orders of the Commis- calibration, or inspection, to assure
252
that the foregoing restrictions are ob- tems, and components described in the
served. SAR (as updated).
(5) Controls to be applied to restrict (5) Procedures as described in the SAR
access and to avoid disturbance to the (as updated) means those procedures
site and to areas outside the site where that contain information described in
conditions may affect compliance with the SAR (as updated) such as how
§§ 63.111 and 63.113. structures, systems, and components
(6) Administrative controls, which important to safety, or important to
are the provisions relating to organiza- waste isolation, are operated or con-
tion and management, procedures, rec- trolled.
ordkeeping, review and audit, and re- (6) Tests or experiments not described in
porting necessary to assure that activi- the SAR (as updated) means any condi-
ties at the facility are conducted in a tion where the geologic repository op-
safe manner and in conformity with erations area or any of its structures,
the other license specifications. systems, and components important to
safety, or important to waste isolation,
§ 63.44 Changes, tests, and experi- are utilized, controlled, or altered in a
ments. manner which is either:
(a) Definitions for the purposes of (i) Outside the reference bounds of
this section: the design bases as described in the
SAR (as updated); or
(1) Change means a modification or
(ii) Inconsistent with the analyses or
addition to, or removal from, the geo-
descriptions in the SAR (as updated).
logic repository operations area design
(b)(1) DOE may make changes in the
or procedures that affects a design
geologic repository operations area as
function, event sequence, method of
described in the SAR (as updated),
performing or controlling the function,
make changes in the procedures as de-
or an evaluation that demonstrates
scribed in the SAR (as updated), and
that intended functions will be accom-
conduct tests or experiments not de-
plished.
scribed in the SAR (as updated), with-
(2) Departure from a method of evalua-
out obtaining either an amendment of
tion described in the Safety Analysis Re-
construction authorization under § 63.33
port (SAR) (as updated) used in estab-
or a license amendment under § 63.45, if:
lishing the preclosure safety analyses or
(i) A change in the conditions incor-
performance assessment means:
porated in the construction authoriza-
(i) Changing any of the elements of tion or license is not required; and
the method described in the SAR (as (ii) The change, test, or experiment
updated) unless the results of the anal- does not meet any of the criteria in
ysis are conservative or essentially the paragraph (b)(2) of this section.
same; or (2) DOE shall obtain an amendment
(ii) Changing from a method de- of construction authorization under
scribed in the SAR to another method § 63.33 or a license amendment under
unless that method has been approved § 63.45, before implementing a change,
by NRC for the intended application, test, or experiment if it would:
addition or removal. (i) Result in more than a minimal in-
(3) Safety Analysis Report (SAR) (as crease in the frequency of occurrence
updated) means the Safety Analysis Re- of an event sequence previously evalu-
port for the geologic repository, sub- ated in the SAR (as updated);
mitted in accordance with § 63.21, as up- (ii) Result in more than a minimal
dated in accordance with § 63.24. increase in the likelihood of occurrence
(4) Geologic repository operations area of a malfunction of structures, sys-
as described in the SAR (as updated) tems, components important to safety,
means: or important to waste isolation, which
(i) The structures, systems, and com- were previously evaluated in the SAR
ponents important to safety or barriers (as updated);
important to waste isolation that are (iii) Result in more than a minimal
described in the SAR (as updated); and increase in the consequences of an

(ii) The design and performance re- event sequence previously evaluated in
quirements for such structures, sys- the SAR (as updated);
253
§ 63.45 10 CFR Ch. I (1–1–11 Edition)
(iv) Result in more than a minimal tor, Office of Nuclear Material Safety
increase in the consequences of mal- and Safeguards; U.S. Nuclear Regu-
function of structures, systems, compo- latory Commission, Washington, DC
nents important to safety, or impor- 20555–001; and DOE shall furnish the re-
tant to waste isolation, which were port to the appropriate NRC Regional
previously evaluated in the SAR (as Office shown in appendix D to part 20 of
updated); this chapter. Any report submitted
(v) Create the possibility for an event under this paragraph must be made a
sequence, or of a pathway for release of part of the public record of the licens-
radionuclides, of a different type than ing proceedings.
any evaluated previously in the SAR (d) Changes to the quality assurance
(as updated); program description required by
(vi) Create the possibility for a mal- § 63.21(c)(20) must be processed in ac-
function of structures, systems, and cordance with § 63.144.
components important to safety, or im-
portant to waste isolation, with a dif- [66 FR 55792, Nov. 2, 2001, as amended at 68
ferent result than any evaluated pre- FR 58815, Oct. 10, 2003]
viously in the SAR (as updated);
§ 63.45 Amendment of license.
(vii) Result in a departure from a
method of evaluation described in the (a) An application for amendment of
SAR (as updated) used in establishing a license may be filed with the Com-
the preclosure safety analysis or the mission fully describing the changes
performance assessment. desired and following as far as applica-
(3) In implementing this paragraph, ble the format prescribed for license
the SAR (as updated) is considered to applications.
include SAR changes resulting from (b) In determining whether an
evaluations performed pursuant to this amendment of a license will be ap-
section and from safety analyses per- proved, the Commission will be guided
formed under § 63.33 or § 63.45, as appli- by the considerations that govern the
cable, after the last Safety Analysis issuance of the initial license, to the
Report was updated under § 63.24. extent applicable.
(4) The provisions in this section do
not apply to changes to the geologic re- § 63.46 Particular activities requiring
pository operations area or procedures license amendment.
when the applicable regulations estab- (a) Unless expressly authorized in the
lish more specific criteria for accom- license, a license amendment is re-
plishing such changes. quired for any of the following activi-
(c)(1) DOE shall maintain records of ties:
changes in the geologic repository op-
(1) Any action that would make em-
erations area at the Yucca Mountain
placed high-level radioactive waste ir-
site, of changes in procedures, and of
retrievable or that would substantially
tests and experiments made under
increase the difficulty of retrieving the
paragraph (b) of this section. These
emplaced waste;
records must include a written evalua-
tion that provides the bases for the de- (2) Dismantling of structures;
termination that the change, test, or (3) Removal or reduction of controls
experiment does not require an amend- applied to restrict access to or avoid
ment of construction authorization or disturbance of the site and to areas
license amendment under paragraph (b) outside the site where conditions may
of this section. affect compliance with §§ 63.111 and
(2) No less frequently than every 24 63.113;
months, DOE shall prepare a report (4) Destruction or disposal of records
containing a brief description of such required to be maintained under the
changes, tests, and experiments, in- provisions of this part;
cluding a summary of the evaluation of (5) Any substantial change to the de-
each. These written reports must be sign or operating procedures from that
sent to the NRC using an appropriate specified in the license, except as au-
method listed in § 63.4; addressed: thorized in § 63.44; and
ATTN: Document Control Desk; Direc- (6) Permanent closure.
254
(b) An application for an amendment regulate or prevent activities that

must be filed, and will be reviewed, as could impair the long-term isolation of
specified in § 63.45. emplaced waste within the geologic re-
pository and to assure that relevant in-
US/IAEA SAFEGUARDS AGREEMENT formation will be preserved for the use
of future generations. As a minimum,
§ 63.47 Facility information and these measures must include:
verification.
(i) Identification of the site and geo-
(a) In response to a written request logic repository operations area by
by the Commission, each applicant for monuments that have been designed,
a construction authorization or license fabricated, and emplaced to be as per-
and each recipient of a construction manent as is practicable;
authorization or a license shall submit (ii) Placement of records in the ar-
facility information, as described in chives and land record systems of local,
§ 75.10 of this chapter, on Form N–71 State, and Federal government agen-
and associated forms and site informa- cies, and archives elsewhere in the
tion on DOC/NRC Form AP–A and asso- world, that would be likely to be con-
ciated forms; sulted by potential human intruders—
(b) As required by the Additional such records to identify the location of
Protocol, applicants and licensees spec- the geologic repository operations
ified in paragraph (a) of this section area, including the underground facil-
shall submit location information de- ity, boreholes, shafts and ramps, and
scribed in § 75.11 of this chapter on the boundaries of the site, and the na-
DOC/NRC Form AP–1 and associated ture and hazard of the waste; and
forms; (iii) A program for continued over-
(c) Shall permit verification thereof sight, to prevent any activity at the
by the International Atomic Energy site that poses an unreasonable risk of
Agency (IAEA) and take other action breaching the geologic repository’s en-
as necessary to implement the US/ gineered barriers; or increasing the ex-
IAEA Safeguards Agreement, as de- posure of individual members of the
scribed in Part 75 of this chapter. public to radiation beyond allowable
[73 FR 78606, Dec. 23, 2008] limits.
(4) Geologic, geophysical, geo-
PERMANENT CLOSURE chemical, hydrologic, and other site
data that are obtained during the oper-
§ 63.51 License amendment for perma- ational period, pertinent to compliance
nent closure. with § 63.113.
(a) DOE shall submit an application (5) The results of tests, experiments,
to amend the license before permanent and any other analyses relating to
closure of a geologic repository at the backfill of excavated areas, shaft, bore-
Yucca Mountain site. The submission hole, or ramp sealing, drip shields,
must consist of an update of the license waste packages, interactions between
application submitted under §§ 63.21 and natural and engineered systems, and
63.22, including: any other tests, experiments, or anal-
(1) An update of the assessment of yses pertinent to compliance with
the performance of the geologic reposi- § 63.113.
tory for the period after permanent (6) Any substantial revision of plans
closure. The updated assessment must for permanent closure.
include any performance confirmation (7) Other information bearing on per-
data collected under the program re- manent closure that was not available
quired by subpart F, and pertinent to at the time a license was issued.
compliance with § 63.113. (b) If necessary, to take into account
(2) A description of the program for the environmental impact of any sub-
post-permanent closure monitoring of stantial changes in the permanent clo-
the geologic repository. sure activities proposed to be carried
(3) A detailed description of the out or any significant new information
measures to be employed—such as land regarding the environmental impacts

use controls, construction of monu- of permanent closure, DOE shall also
ments, and preservation of records—to supplement its environmental impact
255
§ 63.52 10 CFR Ch. I (1–1–11 Edition)
statement and submit this statement, quired to distribute any document to

as supplemented, with the application any entity if, with respect to the docu-
for license amendment. ment, that entity or its counsel is in-
cluded on a service list prepared under
§ 63.52 Termination of license. part 2 of this chapter.
(a) Following permanent closure and (c) The NRC shall place communica-
the decontamination or decontamina- tions by the Director under this sec-
tion and dismantlement of surface fa- tion in the Publicly Available Records
cilities at the Yucca Mountain site, System (PARS) Library and furnish
DOE may apply for an amendment to copies to DOE.
terminate the license.
(b) The application must be filed and
FR 58815, Oct. 10, 2003]
will be reviewed in accordance with the
provisions of § 63.45 and this section. § 63.62 Site review.
(c) A license may be terminated only
when the Commission finds with re- (a) The Director shall make the NRC
spect to the geologic repository: staff available to consult with rep-
(1) That the final disposition of radio- resentatives of the State of Nevada, af-
active wastes has been made in con- fected units of local government, and
formance with DOE’s plan, as amended affected Indian Tribes regarding the
and approved as part of the license. status of site characterization at the
(2) That the final state of the geo- Yucca Mountain site.
logic repository operations area con- (b) Requests for consultation must be
forms to DOE’s plans for permanent made in writing to the Director.
closure and DOE’s plans for the decon- (c) Consultation under this section
tamination or decontamination and may include:
dismantlement of surface facilities, as (1) Keeping the parties informed of
amended and approved as part of the li- the Director’s views on the progress of
cense. site characterization.
(3) That the termination of the li- (2) Review of applicable NRC regula-
cense is authorized by law, including tions, licensing procedures, schedules,
sections 57, 62, and 81 of the Atomic En- and opportunities for State, affected
ergy Act, as amended. units of local government, and Tribe
participation in the Commission’s reg-
Subpart C—Participation by State ulatory activities.
Government, Affected Units of (3) Cooperation in development of
Local Government, and Af- proposals for State, affected units of
fected Indian Tribes local government, and Tribal participa-
tion in license reviews.
§ 63.61 Provision of information.
§ 63.63 Participation in license re-
(a) The Director shall provide the views.
Governor and the Nevada State legisla-
ture, affected units of local govern- (a) The State, affected units of local
ment, and the governing body of any government, and affected Indian Tribes
affected Indian Tribe, with timely and may participate in license reviews as
complete information regarding deter- provided in subpart J of part 2 of this
minations or plans made by the Com- chapter.
mission with respect to the Yucca (b) In addition, a State, or an af-
Mountain site. Information must be fected unit of local government, or an
provided concerning the site character- affected Indian Tribe may submit a
ization, siting, development, design, li- proposal to the Director to facilitate
censing, construction, operation, regu- its participation in the review of the li-
lation, permanent closure, or decon- cense application. The proposal may be
tamination and dismantlement of sur- submitted at any time and must con-
face facilities of the geologic reposi- tain a description and schedule of how
tory operations area at the site. the State, or affected unit of local gov-
(b) Notwithstanding paragraph (a) of ernment, or affected Indian Tribe wish-
this section, the Director is not re- es to participate in the review, or what
256
services or activities the State, or af- § 63.64 Notice to State.

fected unit of local government, or af-
If the Governor and legislature of the
fected Indian Tribe wishes the NRC to
State of Nevada have jointly des-
carry out, and how the services or ac-
ignated, on their behalf, a single person
tivities proposed to be carried out by
or entity to receive notice and infor-
the NRC would contribute to this par-
mation from the Commission under
ticipation. The proposal may include
this part, the Commission will provide
educational or information services
the notice and information to the
(seminars, public meetings) or other
actions on the part of NRC, such as es- jointly designated person or entity in-
tablishing additional public document stead of the Governor and legislature
rooms or employment or exchange of separately.
State personnel under the Intergovern- § 63.65 Representation.
mental Personnel Act.
(c) The Director shall arrange for a Any person who acts under this sub-
meeting between the representatives of part as a representative for the State
the State, or affected unit of local gov- of Nevada (or for the Governor or legis-
ernment, or affected Indian Tribe and lature of Nevada), for an affected unit
the NRC staff, to discuss any proposal of local government, or for an affected
submitted under paragraph (b) of this Indian Tribe shall include in the re-
section, with a view to identifying any quest or other submission, or at the re-
modifications that may contribute to quest of the Commission, a statement
the effective participation by such of the basis of his or her authority to
State, or affected unit of local govern- act in this capacity.
ment, or Tribe.
(d) Subject to the availability of Subpart D—Records, Reports,
funds, the Director shall approve all or Tests, and Inspections
any part of a proposal, as it may be
modified through the meeting de- § 63.71 Records and reports.
scribed in paragraph (c) of this section, (a) DOE shall maintain records and
if it is determined that: make reports in connection with the li-
(1) The proposed activities are suit- censed activity that are required by
able in light of the type and magnitude the conditions of the license or by
of impacts that the State, or affected rules, regulations, and orders of the
unit of local government, or affected Commission, as authorized by the
Indian Tribe may bear; Atomic Energy Act and the Energy Re-
(2) The proposed activities— organization Act.
(i) Will enhance communications be- (b) Records of the receipt, handling,
tween NRC and the State, or affected and disposition of radioactive waste at
unit of local government, or affected a geologic repository operations area
Indian Tribe; at the Yucca Mountain site must con-
(ii) Will make a productive and time- tain sufficient information to provide a
ly contribution to the review; and complete history of the movement of
(iii) Are authorized by law. the waste from the shipper through all
(e) The Director shall advise the phases of storage and disposal. DOE
State, or affected unit of local govern- shall retain these records in a manner
ment, or affected Indian Tribe whether that ensures their usability for future
its proposal has been accepted or de- generations in accordance with
nied. If all or any part of a proposal is § 63.51(a)(3).
denied, the Director shall state the rea-
son for the denial. § 63.72 Construction records.
(f) The NRC shall place all proposals (a) DOE shall maintain records of
submitted under this section, and reconstruction of the geologic repository
sponses to them, in the Publicly Avail- operations area at the Yucca Mountain
able Records System (PARS) Library. site in a manner that ensures their
[66 FR 55792, Nov. 2, 2001, as amended at 68 usability for future generations in ac-
FR 58816, Oct. 10, 2003] cordance with § 63.51(a)(3).
257
§ 63.73 10 CFR Ch. I (1–1–11 Edition)
(b) The records required under para- tions that is the same as that specified
graph (a) of this section must include in 10 CFR 72.75.
at least the following— (d) The requisite notification must be
(1) Surveys of the underground facil- as specified in the applicable regula-
ity excavations, shafts, ramps, and tion. By an appropriate method listed
boreholes referenced to readily identi- in § 63.4 of this chapter, written reports
fiable surface features or monuments; must be submitted to NRC addressed:
(2) A description of the materials en- ATTN: Document Control Desk; Direc-
countered; tor, Office of Nuclear Material Safety
(3) Geologic maps and geologic cross- and Safeguards; U.S. Nuclear Regu-
sections; latory Commission, Washington, DC
(4) Locations and amount of seepage; 20555–001; and to the NRC onsite rep-
(5) Details of equipment, methods, resentative. DOE shall also furnish the
progress, and sequence of work; report to the appropriate NRC Re-
(6) Construction problems; gional Office shown in appendix D to
(7) Anomalous conditions encoun- part 20 of this chapter.
tered; [66 FR 55792, Nov. 2, 2001, as amended at 68
(8) Instrument locations, readings, FR 58815, Oct. 10, 2003]
and analysis;
(9) Location and description of struc- § 63.74 Tests.
tural support systems; (a) DOE shall perform, or permit the
(10) Location and description of Commission to perform, those tests the
dewatering systems; Commission considers appropriate or
(11) Details, methods of emplace- necessary for the administration of the
ment, and location of seals used; and regulations in this part. This may in-
(12) Facility design records (e.g, de- clude tests of—
sign specifications and ‘‘as built’’ draw- (1) Radioactive waste,
ings). (2) The geologic repository, including
portions of the geologic setting and the
§ 63.73 Reports of deficiencies. structures, systems, and components
(a) DOE shall promptly notify the constructed or placed therein,
Commission of each deficiency found in (3) Radiation detection and moni-
the characteristics of the Yucca Moun- toring instruments, and
tain site, and design, and construction (4) Other equipment and devices used
of the geologic repository operations in connection with the receipt, han-
area that, were it to remain uncor- dling, or storage of radioactive waste.
rected, could— (b) The tests required under this sec-
(1) Adversely affect safety at any fu- tion must include a performance con-
ture time; firmation program carried out in ac-
(2) Represent a significant deviation cordance with subpart F of this part.
from the design criteria and design
basis stated in the design application; § 63.75 Inspections.
or (a) DOE shall allow the Commission
(3) Represent a deviation from the to inspect the premises of the geologic
conditions stated in the terms of a con- repository operations area at the
struction authorization or the license, Yucca Mountain site and adjacent
including license specifications. areas to which DOE has rights of ac-
(b) DOE shall implement a program cess.
for evaluating and reporting deviations (b) DOE shall make available to the
and failures to comply, to identify de- Commission for inspection, on reason-
fects and failures to comply associated able notice, records kept by DOE per-
with substantial safety hazards, based taining to activities under this part.
on the applicable requirements in 10 (c)(1) DOE shall, on requests by the
CFR 50.55(e) as it applies to the con- Director, Office of Nuclear Material
struction authorization and design of Safety and Safeguards, provide rent-
the geologic repository operations area free office space for the exclusive use of
at the Yucca Mountain site. the Commission inspection personnel.

(c) DOE shall implement a program Heat, air-conditioning, light, electrical
of reporting specific events and condi- outlets, and janitorial services must be
258
furnished by DOE. The office must be requires a finding that the issuance of
convenient to and have full access to a license will not constitute an unrea-
the facility and must provide the in- sonable risk to the health and safety of
spector both visual and acoustic pri- the public. The purpose of this subpart
vacy. is to set out the performance objectives
(2) The space provided must be ade- for postclosure performance of the geo-
quate to accommodate two full-time logic repository and other criteria
inspectors, and other transient NRC that, if satisfied, support a finding of
personnel and will be generally com- no unreasonable risk. Postclosure per-
mensurate with other office facilities formance objectives for the geologic re-
at the Yucca Mountain site geologic repository include a requirement to limit
pository operations area. A space of 250 radiological exposures to the reason-
square feet either within the geologic ably maximally exposed individual, a
repository operations area’s office requirement to limit releases of radio-
complex or in an office trailer or other nuclides to the accessible environment
onsite space at the geologic repository to protect ground water, and a require-
operations area is suggested as a guide. ment to limit radiological exposures to
For locations at which activities are the reasonably maximally exposed in-
carried out under licenses issued under dividual in the event of human intru-
other parts of this chapter, additional sion (see § 63.113(b), (c), and (d), respec-
space may be requested to accommo- tively).
date additional full-time inspectors. (2) Although the postclosure perform-
The office space provided is subject to ance objectives specified at § 63.113 are
the approval of the Director, Office of generally stated in unqualified terms,
Nuclear Material Safety and Safe- it is not expected that complete assur-
guards. All furniture, supplies, and ance that the requirements will be met
communication equipment will be fur- can be presented. A reasonable expecta-
nished by the Commission. tion, on the basis of the record before
(3) DOE shall afford any NRC resi- the Commission, that the postclosure
dent inspector assigned to the Yucca performance objectives will be met, is
Mountain site or other NRC inspectors the general standard required. Proof
identified by the Regional Adminis- that the geologic repository will con-
trator as likely to inspect the Yucca form with the objectives for
Mountain facility, immediate unfet- postclosure performance is not to be
tered access, equivalent to access pro- had in the ordinary sense of the word
vided regular employees, after proper because of the uncertainties inherent
identification and compliance with ap- in the understanding of the evolution
plicable access control measures for se- of the geologic setting, biosphere, and
curity, radiological protection, and engineered barrier system. For such
personal safety. long-term performance, what is re-
quired is reasonable expectation, mak-
§ 63.78 Material control and accounting allowance for the time period, haz-
ing records and reports.
ards, and uncertainties involved, that
DOE shall implement a program of the outcome will conform with the ob-
material control and accounting (and jectives for postclosure performance
accidental criticality reporting) that is for the geologic repository. Dem-
the same as that specified in §§ 72.72, onstrating compliance will involve the
72.74, 72.76, and 72.78 of this chapter. use of complex predictive models that
are supported by limited data from
Subpart E—Technical Criteria field and laboratory tests, site-specific
monitoring, and natural analog studies
§ 63.101 Purpose and nature of find- that may be supplemented with preva-
ings. lent expert judgment. Compliance dem-
(a)(1) Subpart B prescribes the stand- onstrations should not exclude impor-
ards for issuance of a license to receive tant parameters from assessments and
and possess source, special nuclear, or analyses simply because they are dif-
byproduct material at a geologic repos- ficult to precisely quantify to a high

itory operations area at the Yucca degree of confidence. The performance
Mountain site. In particular, § 63.41(c) assessments and analyses should focus
259
§ 63.102 10 CFR Ch. I (1–1–11 Edition)
upon the full range of defensible and (2) A geologic repository operations area
reasonable parameter distributions consists of those surface and sub-
rather than only upon extreme phys- surface areas of the site that are part
ical situations and parameter values. of a geologic repository where radio-
Further, in reaching a determination active waste handling activities are
of reasonable expectation, the Commis- conducted. The underground structure,
sion may supplement numerical anal- backfill materials, if any, and openings
yses with qualitative judgments in- that penetrate the underground struc-
cluding, for example, consideration of ture (e.g., ramps, shafts and boreholes,
the degree of diversity among the mul- including their seals), are designated
tiple barriers as a measure of the resil- the underground facility.
iency of the geologic repository. (3) The exercise of Commission au-
(b) Subpart B lists findings that must thority requires that the geologic re-
be made in support of an authorization pository operations area be used for
to construct a geologic repository oper- storage (which includes disposal) of
ations area at the Yucca Mountain high-level radioactive wastes (HLW).
site. Prior to closure, § 63.31(a)(1) re- (4) HLW includes irradiated reactor
quires a finding that there is reason- fuel as well as reprocessing wastes.
able assurance that the types and However, if DOE proposes to use the
amounts of radioactive materials de- geologic repository operations area for
scribed in the application can be re- storage of radioactive waste other than
ceived, possessed, and stored in a geo- HLW, the storage of this radioactive
logic repository operations area of the waste is subject to the requirements of
design proposed without unreasonable this part.
risk to the health and safety of the (c) Stages in the licensing process.
public. After permanent closure, There are several stages in the licens-
§ 63.31(a)(2) requires the Commission to ing process. The site characterization
consider whether there is a reasonable stage, when the performance confirma-
expectation the site and design comply tion program is started, begins before
with the postclosure performance ob- submission of a license application,
jectives. Once again, although the cri- and may result in consequences requir-
teria may be written in unqualified ing evaluation in the license review.
terms, the demonstration of compli- The construction stage would follow
ance must take uncertainties and gaps after the issuance of a construction au-
thorization. A period of operations fol-
in knowledge into account so that the
lows the Commission’s issuance of a li-
Commission can make the specified
cense. The period of operations in-
finding with respect to paragraph (a)(2)
cludes the time during which emplace-
of § 63.31.
ment of wastes occurs; any subsequent
§ 63.102 Concepts. period before permanent closure during
which the emplaced wastes are retriev-
This section provides a functional able; and permanent closure, which in-
overview of this Subpart E. In the cludes sealing openings to the reposi-
event of any inconsistency, the defini- tory. Permanent closure represents the
tions in § 63.2 prevail. end of the performance confirmation
(a) The HLW facility at the Yucca program; final backfilling of the under-
Mountain site. NRC exercises licensing ground facility, if appropriate; and the
and related regulatory authority over sealing of shafts, ramps, and boreholes.
those facilities described in section 202 (d) Areas related to isolation. Although
(3) and (4) of the Energy Reorganiza- the activities subject to regulation
tion Act of 1974, including the site at under this part are those to be carried
Yucca Mountain, as designated by the out at the geologic repository oper-
Energy Policy Act of 1992. ations area, the licensing process also
(b) The geologic repository operations considers characteristics of adjacent
area. (1) These regulations deal with areas that are defined in other ways.
the exercise of authority with respect There must be an area surrounding the
to a particular class of HLW facility— geologic repository operations area,

namely, a geologic repository oper- that could include either a portion or
ations area at Yucca Mountain. all of the site, within which DOE shall
260
exercise specified controls to prevent dividual in the event of human intru-

adverse human actions after perma- sion, as specified at § 63.113(d).
nent closure. There is an area, des- (h) Multiple barriers. Section 63.113(a)
ignated the geologic setting, which in- requires that the geologic repository
cludes the geologic, hydrologic, and include multiple barriers, both natural
geochemical systems of the region in and engineered. Geologic disposal of
which the site and geologic repository HLW is predicated on the expectation
operations area are located. The geo- that one or more aspects of the geo-
logic repository operations area, plus logic setting will be capable of contrib-
the portion of the geologic setting that uting to the isolation of radioactive
provides isolation of the radioactive waste and thus be a barrier important
waste, make up the geologic reposi- to waste isolation. Although there is
tory. an extensive geologic record ranging
(e) Performance objectives through per- from thousands to millions of years,
manent closure. Before permanent clo- this record is subject to interpretation
sure, the geologic repository oper- and includes many uncertainties. In
ations area is required to limit radi- addition, there are uncertainties in the
ation levels and radiological exposures, isolation capability and performance of
in both restricted and unrestricted
engineered barriers. Although the com-
areas, and releases of radioactive mate-
position and configuration of engi-
rials to unrestricted areas, as specified
neered structures (barriers) can be de-
at § 63.111(a).
fined with a degree of precision not
(f) Preclosure safety analysis. Section
possible for natural barriers, it is rec-
63.111 includes performance objectives
for the geologic repository operations ognized that except for a few
area for the period before permanent archaeologic and natural analogs,
closure and decontamination or perma- there is a limited experience base for
nent closure, decontamination, and dis- the performance of complex, engi-
mantlement of surface facilities. The neered structures over periods longer
preclosure safety analysis is a system- than a few hundred years, considering
atic examination of the site; the de- the uncertainty in characterizing and
sign; and the potential hazards, initi- modeling individual barriers. These un-
ating events and their resulting event certainties are addressed by requiring
sequences and potential radiological the use of a multiple barrier approach;
exposures to workers and the public. specifically, an engineered barrier sys-
Initiating events are to be considered tem is required in addition to the nat-
for inclusion in the preclosure safety ural barriers provided by the geologic
analysis for determining event se- setting. The performance assessment
quences only if they are reasonable provides an evaluation of the reposi-
(i.e., based on the characteristics of the tory performance based on credible
geologic setting and the human envi- models and parameters including the
ronment, and consistent with prece- consideration of uncertainty in the be-
dents adopted for nuclear facilities havior of the repository system. Thus
with comparable or higher risks to the performance assessment results re-
workers and the public). The analysis flect the capability of each of the bar-
identifies structures, systems, and riers to cope with a variety of chal-
components important to safety. lenges (e.g., combinations of param-
(g) Performance objectives after perma- eters leading to less favorable perform-
nent closure. After permanent closure, ance for individual barriers and com-
the geologic repository is required to: binations of barriers). A description of
(1) Limit radiological exposures to each barrier’s capability (e.g., retarda-
the reasonably maximally exposed in- tion of radionuclides in the saturated
dividual, as specified at § 63.113(b); zone, waste package lifetime, matrix
(2) Limit releases of radionuclides to diffusion in the unsaturated zone), as
the accessible environment to protect reflected in the performance assess-
ground water, as specified at § 63.113(c); ment, provides an understanding of
and how the natural barriers and the engi-

(3) Limit radiological exposures to neered barrier system work in com-
the reasonably maximally exposed in- bination to enhance the resiliency of
261
§ 63.102 10 CFR Ch. I (1–1–11 Edition)
the geologic repository. The Commis- processes of engineered barriers, and

sion believes that this understanding interactions between the natural and
can increase confidence that the engineered barriers) that might affect
postclosure performance objectives performance of the geologic repository;
specified at § 63.113(b) and (c) will be examines their effects on performance;
achieved and that DOE’s design in- and estimates the radiological expo-
cludes a system of multiple barriers. sures to the reasonably maximally ex-
(i) Reference biosphere and reasonably posed individual. The features, events,
maximally exposed individual. The per- and processes considered in the per-
formance assessment will estimate the formance assessment should represent
amount of radioactive material re- a wide range of both beneficial and po-
leased to water or air at various loca- tentially adverse effects on perform-
tions and times in the future. To esti- ance (e.g., beneficial effects of radio-
mate the potential for future human nuclide sorption; potentially adverse
exposures resulting from release of ra- effects of fracture flow or a criticality
dioactive material from a geologic re- event). Those features, events, and
pository at Yucca Mountain, it is nec- processes expected to materially affect
essary to make certain assumptions compliance with § 63.113(b) or be poten-
about the location and characteristics tially adverse to performance are in-
of the reasonably maximally exposed cluded, while events (event classes or
individual. The environment inhabited scenario classes) that are very unlikely
by the reasonably maximally exposed (less than one chance in 10,000 over
individual, along with associated 10,000 years) can be excluded from the
human exposure pathways and param- analysis. An event class consists of all
eters, make up the reference biosphere, possible specific initiating events that
as described in § 63.305. The reasonably are caused by a common natural proc-
maximally exposed individual, as a hy- ess (e.g., the event class for seismicity
pothetical person living in a commu- includes the range of credible earth-
nity with characteristics of the Town quakes for the Yucca Mountain site).
of Amargosa Valley, is a representative Radiological exposures to the reason-
person using water with average con- ably maximally exposed individual are
centrations of radionuclides as de- estimated using the selected features,
scribed at § 63.312. The reasonably events, and processes, and incor-
maximally exposed individual is se- porating the probability that the esti-
lected to represent those persons in the mated exposures will occur. Addition-
vicinity of Yucca Mountain who are ally, performance assessment methods
reasonably expected to receive the are appropriate for use in dem-
greatest exposure to radioactive mate- onstrating compliance with the
rial released from a geologic repository postclosure performance objectives for
at Yucca Mountain. Characteristics of ground-water protection and human in-
the reference biosphere and the reason- trusion, and are subject to the require-
ably maximally exposed individual are ments for performance assessments
to be based on current human behavior specified at § 63.114 and applicable cri-
and biospheric conditions in the region, teria in Subpart L (e.g., criteria for
as described in § 63.305 and § 63.312. evaluating compliance with ground-
(j) Performance assessment. Dem- water protection and individual protec-
onstrating compliance with the tion standards).
postclosure performance objective (k) Institutional controls. Active and
specified at § 63.113(b) requires a per- passive institutional controls will be
formance assessment to quantitatively maintained over the Yucca Mountain
estimate radiological exposures to the site, and are expected to reduce signifi-
reasonably maximally exposed indi- cantly, but not eliminate, the potential
vidual at any time during the compli- for human activity that could inad-
ance period. The performance assess- vertently cause or accelerate the re-
ment is a systematic analysis that lease of radioactive material. However,
identifies the features, events, and because it is not possible to make sci-
processes (i.e., specific conditions or at- entifically sound forecasts of the long-
tributes of the geologic setting, deg- term reliability of institutional con-
radation, deterioration, or alteration trols, it is not appropriate to include
262
consideration of human intrusion into greater than 0.04 mSv (4 mrem). Al-
a fully risk-based performance assess- though the estimation of radionuclide
ment for purposes of evaluating the concentrations in the representative
ability of the geologic repository to volume would be a separate analysis,
achieve the performance objective at the analysis is similar to the perform-
§ 63.113(b). Hence, human intrusion is ance assessment required by § 63.113(b)
addressed in a stylized manner as de- but subject to specific requirements for
scribed in paragraph (l) of this section. evaluation of ground-water protection
(l) Human intrusion. In contrast to specified at §§ 63.331, 63.332 and 63.342 of
events unrelated to human activity, subpart L of this part.
the probability and characteristics of (o) Implementation of TEDE. When ex-
human intrusion occurring many hun- ternal exposure is determined by meas-
dreds or thousands of years into the fu- urement with an external personal
ture cannot be estimated by examining monitoring device, the deep-dose equiv-
either the historic or geologic record. alent must be used in place of the ef-
Rather than speculating on the nature fective dose equivalent, unless the ef-
and probability of future intrusion, it fective dose equivalent is determined
is more useful to assess how resilient by a dosimetry method approved by the
the geologic repository would be NRC. The assigned deep-dose equiva-
against a human intrusion event. Al- lent must be for the part of the body
though the consequences of an assumed receiving the highest exposure. The as-
intrusion event would be a separate signed shallow-dose equivalent must be
analysis, the analysis is similar to the the dose averaged over the contiguous
performance assessment required by 10 square centimeters of skin receiving
§ 63.113(b) but subject to specific re- the highest exposure. The radiation
quirements for evaluation of human in- and organ or tissue weighting factors
trusion specified at §§ 63.321, 63.322 and in Appendix A of 40 CFR part 197 are to
63.342 of subpart L of this part. be used to calculate TEDE. After the
(m) Performance confirmation. A per- effective date of this regulation, the
formance confirmation program will be Commission may allow DOE to use up-
conducted to evaluate the adequacy of dated factors, which have been issued
assumptions, data, and analyses that by consensus scientific organizations
led to the findings that permitted con- and incorporated by EPA into Federal
struction of the repository and subse- radiation guidance. Additionally, as
quent emplacement of the wastes. Key
scientific models and methodologies
geotechnical and design parameters,
for estimating doses are updated, DOE
including any interactions between
may use the most current and appro-
natural and engineered systems and
priate (e.g., those accepted by the
components, will be monitored
International Commission on Radio-
throughout site characterization, con-
logical Protection) scientific models
struction, emplacement, and operation
and methodologies to calculate the
to identify any significant changes in
TEDE. The weighting factors used in
the conditions assumed in the license
the calculation of TEDE must be con-
application that may affect compliance
with the performance objectives speci- sistent with the methodology used to
fied at § 63.113(b) and (c). perform the calculation.
(n) Ground-water protection. Separate [66 FR 55792, Nov. 2, 2001, as amended at 74
ground-water protection standards are FR 10828, Mar. 13, 2009]
designed to protect the ground water
resources in the vicinity of Yucca PRECLOSURE PERFORMANCE OBJECTIVES
Mountain. These standards, specified
at § 63.331, require the estimation of § 63.111 Performance objectives for the
ground water concentrations in the geologic repository operations area
through permanent closure.
representative volume of water. De-
pending on the radionuclide, the esti- (a) Protection against radiation expo-
mated concentrations must either be sures and releases of radioactive material.
below a specified concentration or re- (1) The geologic repository operations

sult in an annual, drinking water dose area must meet the requirements of
to the whole body or any organ of no part 20 of this chapter.
263
§ 63.112 10 CFR Ch. I (1–1–11 Edition)
(2) During normal operations, and for placed and thereafter, until the com-
Category 1 event sequences, the annual pletion of a performance confirmation
TEDE (hereafter referred to as ‘‘dose’’) program and Commission review of the
to any real member of the public lo- information obtained from such a pro-
cated beyond the boundary of the site gram. To satisfy this objective, the
may not exceed the preclosure stand- geologic repository operations area
ard specified at § 63.204. must be designed so that any or all of
(b) Numerical guides for design objec- the emplaced waste could be retrieved
tives. (1) The geologic repository oper- on a reasonable schedule starting at
ations area must be designed so that, any time up to 50 years after waste em-
taking into consideration Category 1 placement operations are initiated, un-
event sequences and until permanent less a different time period is approved
closure has been completed, the aggre- or specified by the Commission. This
gate radiation exposures and the aggre- different time period may be estab-
gate radiation levels in both restricted lished on a case-by-case basis con-
and unrestricted areas, and the aggre- sistent with the emplacement schedule
gate releases of radioactive materials and the planned performance confirma-
to unrestricted areas, will be main- tion program.
tained within the limits specified in (2) This requirement may not pre-
paragraph (a) of this section. clude decisions by the Commission to
(2) The geologic repository oper- allow backfilling part, or all of, or per-
ations area must be designed so that, manent closure of the geologic reposi-
taking into consideration any single tory operations area, before the end of
Category 2 event sequence and until the period of design for retrievability.
permanent closure has been completed, (3) For purposes of paragraph (e) of
no individual located on, or beyond, this section, a reasonable schedule for
any point on the boundary of the site retrieval is one that would permit re-
will receive, as a result of the single trieval in about the same time as that
Category 2 event sequence, the more required to construct the geologic re-
limiting of a TEDE of 0.05 Sv (5 rem), pository operations area and emplace
or the sum of the deep dose equivalent waste.
and the committed dose equivalent to PRECLOSURE SAFETY ANALYSIS
any individual organ or tissue (other
than the lens of the eye) of 0.5 Sv (50 § 63.112 Requirements for preclosure
rem). The lens dose equivalent may not safety analysis of the geologic re-
exceed 0.15 Sv (15 rem), and the shallow pository operations area.
dose equivalent to skin may not exceed The preclosure safety analysis of the
0.5 Sv (50 rem). geologic repository operations area
(c) Preclosure safety analysis. A must include:
preclosure safety analysis of the geo- (a) A general description of the struc-
logic repository operations area that tures, systems, components, equip-
meets the requirements specified at ment, and process activities at the geo-
§ 63.112 must be performed. This anal- logic repository operations area;
ysis must demonstrate that: (b) An identification and systematic
(1) The requirements of § 63.111(a) will analysis of naturally occurring and
be met; and human-induced hazards at the geologic
(2) The design meets the require- repository operations area, including a
ments of § 63.111(b). comprehensive identification of poten-
(d) Performance confirmation. The geo- tial event sequences;
logic repository operations area must (c) Data pertaining to the Yucca
be designed so as to permit implemen- Mountain site, and the surrounding re-
tation of a performance confirmation gion to the extent necessary, used to
program that meets the requirements identify naturally occurring and
of subpart F of this part. human-induced hazards at the geologic
(e) Retrievability of waste. (1) The geo- repository operations area;
logic repository operations area must (d) The technical basis for either in-
be designed to preserve the option of clusion or exclusion of specific, natu-

waste retrieval throughout the period rally occurring and human-induced
during which wastes are being em- hazards in the safety analysis;
264
(e) An analysis of the performance of (f) A description and discussion of the

the structures, systems, and compo- design, both surface and subsurface, of
nents to identify those that are impor- the geologic repository operations
tant to safety. This analysis identifies area, including—
and describes the controls that are re- (1) The relationship between design
lied on to limit or prevent potential criteria and the requirements specified
event sequences or mitigate their con- at § 63.111(a) and (b); and
sequences. This analysis also identifies (2) The design bases and their rela-
measures taken to ensure the avail- tion to the design criteria.
ability of safety systems. The analysis
required in this paragraph must in- POSTCLOSURE PERFORMANCE OBJECTIVES
clude, but not necessarily be limited
to, consideration of— § 63.113 Performance objectives for the
geologic repository after permanent
(1) Means to limit concentration of closure.
radioactive material in air;
(2) Means to limit the time required (a) The geologic repository must in-
to perform work in the vicinity of ra- clude multiple barriers, consisting of
dioactive materials; both natural barriers and an engi-
(3) Suitable shielding; neered barrier system.
(4) Means to monitor and control the (b) The engineered barrier system
dispersal of radioactive contamination; must be designed so that, working in
combination with natural barriers, ra-
(5) Means to control access to high
diological exposures to the reasonably
radiation areas or airborne radioac-
maximally exposed individual are with-
tivity areas;
in the limits specified at § 63.311 of sub-
(6) Means to prevent and control
part L of this part. Compliance with
criticality;
this paragraph must be demonstrated
(7) Radiation alarm system to warn through a performance assessment that
of significant increases of radiation meets the requirements specified at
levels, concentrations of radioactive § 63.114 of this subpart, and §§ 63.303,
material in air, and increased radioac- 63.305, 63.312 and 63.342 of Subpart L of
tivity in effluents; this part.
(8) Ability of structures, systems, (c) The engineered barrier system
and components to perform their in- must be designed so that, working in
tended safety functions, assuming the combination with natural barriers, re-
occurrence of event sequences; leases of radionuclides into the acces-
(9) Explosion and fire detection sys- sible environment are within the limits
tems and appropriate suppression sys- specified at § 63.331 of subpart L of this
tems; part. Compliance with this paragraph
(10) Means to control radioactive must be demonstrated through a per-
waste and radioactive effluents, and formance assessment that meets the
permit prompt termination of oper- requirements specified at § 63.114 of this
ations and evacuation of personnel dur- subpart and §§ 63.303, 63.332 and 63.342 of
ing an emergency; subpart L of this part.
(11) Means to provide reliable and (d) The ability of the geologic reposi-
timely emergency power to instru- tory to limit radiological exposures to
ments, utility service systems, and op- the reasonably maximally exposed in-
erating systems important to safety if dividual, in the event of human intru-
there is a loss of primary electric sion into the engineered barrier sys-
power; tem, must be demonstrated through an
(12) Means to provide redundant sys- analysis that meets the requirements
tems necessary to maintain, with ade- at §§ 63.321 and 63.322 of subpart L of
quate capacity, the ability of utility this part. Estimating radiological ex-
services important to safety; and posures to the reasonably maximally
(13) Means to inspect, test, and main- exposed individual requires a perform-
tain structures, systems, and compo- ance assessment that meets the re-
nents important to safety, as nec- quirements specified at § 63.114 of this

essary, to ensure their continued func- subpart, and §§ 63.303, 63.305, 63.312 and
tioning and readiness. 63.342 of subpart L of this part.
265
§ 63.114 10 CFR Ch. I (1–1–11 Edition)
POSTCLOSURE PERFORMANCE must be evaluated in detail if the mag-

ASSESSMENT nitude and time of the resulting radio-
logical exposures to the reasonably
§ 63.114 Requirements for performance maximally exposed individual, or
assessment. radionuclide releases to the accessible
(a) Any performance assessment used environment, for 10,000 years after dis-
to demonstrate compliance with § 63.113 posal, would be significantly changed
for 10,000 years after disposal must: by their omission.
(1) Include data related to the geol- (7) Provide the technical basis for
ogy, hydrology, and geochemistry (in- models used to represent the 10,000
cluding disruptive processes and years after disposal in the performance
events) of the Yucca Mountain site, assessment, such as comparisons made
and the surrounding region to the ex- with outputs of detailed process-level
tent necessary, and information on the models and/or empirical observations
design of the engineered barrier system (e.g., laboratory testing, field inves-
used to define, for 10,000 years after dis- tigations, and natural analogs).
posal, parameters and conceptual mod- (b) The performance assessment
els used in the assessment. methods used to satisfy the require-
(2) Account for uncertainties and ments of paragraph (a) of this section
variabilities in parameter values, for are considered sufficient for the per-
10,000 years after disposal, and provide formance assessment for the period of
for the technical basis for parameter time after 10,000 years and through the
ranges, probability distributions, or period of geologic stability.
bounding values used in the perform-
ance assessment. [74 FR 10828, Mar. 13, 2009]
(3) Consider alternative conceptual
§ 63.115 Requirements for multiple
models of features and processes, for barriers.
10,000 years after disposal, that are
consistent with available data and cur- Demonstration of compliance with
rent scientific understanding and § 63.113(a) must:
evaluate the effects that alternative (a) Identify those design features of
conceptual models have on the per- the engineered barrier system, and nat-
formance of the geologic repository. ural features of the geologic setting,
(4) Consider only features, events, that are considered barriers important
and processes consistent with the lim- to waste isolation.
its on performance assessment speci- (b) Describe the capability of bar-
fied at § 63.342. riers, identified as important to waste
(5) Provide the technical basis for ei- isolation, to isolate waste, taking into
ther inclusion or exclusion of specific account uncertainties in characterizing
features, events, and processes in the and modeling the behavior of the bar-
performance assessment. Specific fea- riers.
tures, events, and processes must be (c) Provide the technical basis for the
evaluated in detail if the magnitude description of the capability of bar-
and time of the resulting radiological riers, identified as important to waste
exposures to the reasonably maximally isolation, to isolate waste. The tech-
exposed individual, or radionuclide re- nical basis for each barrier’s capability
leases to the accessible environment, shall be based on and consistent with
for 10,000 years after disposal, would be the technical basis for the performance
significantly changed by their omis- assessments used to demonstrate com-
sion. pliance with § 63.113(b) and (c).
(6) Provide the technical basis for ei-
ther inclusion or exclusion of degrada- LAND OWNERSHIP AND CONTROL
tion, deterioration, or alteration proc-
esses of engineered barriers in the per- § 63.121 Requirements for ownership
formance assessment, including those and control of interests in land.
processes that would adversely affect (a) Ownership of land.(1) The geologic
the performance of natural barriers. repository operations area must be lo-

Degradation, deterioration, or alter- cated in and on lands that are either
ation processes of engineered barriers acquired lands under the jurisdiction
266
and control of DOE, or lands perma- (2) Natural and engineered systems
nently withdrawn and reserved for its and components required for repository
use. operation, and that are designed or as-
(2) These lands must be held free and sumed to operate as barriers after per-
clear of all encumbrances, if signifi- manent closure, are functioning as in-
cant, such as: tended and anticipated.
(i) Rights arising under the general (b) The program must have been
mining laws; started during site characterization,
(ii) Easements for right-of-way; and and it will continue until permanent
(iii) All other rights arising under closure.
lease, rights of entry, deed, patent, (c) The program must include in situ
mortgage, appropriation, prescription, monitoring, laboratory and field test-
or otherwise. ing, and in situ experiments, as may be
(b) Additional controls for permanent appropriate to provide the data re-
closure. Appropriate controls must be quired by paragraph (a) of this section.
established outside of the geologic re- (d) The program must be imple-
pository operations area. DOE shall ex- mented so that:
ercise any jurisdiction and control over (1) It does not adversely affect the
surface and subsurface estates nec- ability of the geologic and engineered
essary to prevent adverse human ac- elements of the geologic repository to
tions that could significantly reduce meet the performance objectives.
the geologic repository’s ability to (2) It provides baseline information
achieve isolation. The rights of DOE and analysis of that information on
may take the form of appropriate those parameters and natural processes
possessory interests, servitudes, or pertaining to the geologic setting that
withdrawals from location or patent may be changed by site characteriza-
under the general mining laws. tion, construction, and operational ac-
(c) Additional controls through perma- tivities.
nent closure. Appropriate controls must (3) It monitors and analyzes changes
be established outside the geologic re- from the baseline condition of param-
pository operations area. DOE shall ex- eters that could affect the performance
ercise any jurisdiction or control of ac- of a geologic repository.
tivities necessary to ensure the re-
quirements at § 63.111(a) and (b) are § 63.132 Confirmation of geotechnical
met. Control includes the authority to and design parameters.
exclude members of the public, if nec- (a) During repository construction
essary. and operation, a continuing program of
(d) Water rights. (1) DOE shall also surveillance, measurement, testing,
have obtained such water rights as and geologic mapping must be con-
may be needed to accomplish the pur- ducted to ensure that geotechnical and
pose of the geologic repository oper- design parameters are confirmed and to
ations area. ensure that appropriate action is taken
(2) Water rights are included in the to inform the Commission of design
additional controls to be established changes needed to accommodate actual
under paragraph (b) of this section. field conditions encountered.
(b) Subsurface conditions must be
Subpart F—Performance monitored and evaluated against de-
Confirmation Program sign assumptions.
(c) Specific geotechnical and design
§ 63.131 General requirements. parameters to be measured or observed,
(a) The performance confirmation including any interactions between
program must provide data that indi- natural and engineered systems and
cate, where practicable, whether: components, must be identified in the
(1) Actual subsurface conditions en- performance confirmation plan.
countered and changes in those condi- (d) These measurements and observa-
tions during construction and waste tions must be compared with the origi-
emplacement operations are within the nal design bases and assumptions. If
limits assumed in the licensing review; significant differences exist between
and the measurements and observations
267
§ 63.133 10 CFR Ch. I (1–1–11 Edition)
and the original design bases and as- (c) The waste package monitoring
sumptions, the need for modifications program must include laboratory ex-
to the design or in construction meth- periments that focus on the internal
ods must be determined and these dif- condition of the waste packages. To
ferences, their significance to reposi- the extent practical, the environment
tory performance, and the rec- experienced by the emplaced waste
ommended changes reported to the packages within the underground facil-
Commission. ity during the waste package moni-
(e) In situ monitoring of the toring program must be duplicated in
thermomechanical response of the un- the laboratory experiments.
derground facility must be conducted (d) The waste package monitoring
until permanent closure, to ensure that program must continue as long as prac-
the performance of the geologic and en- tical up to the time of permanent clo-
gineering features is within design lim- sure.
its.
Subpart G—Quality Assurance
§ 63.133 Design testing.
§ 63.141 Scope.
(a) During the early or develop-
mental stages of construction, a pro- As used in this part, quality assurance
gram for testing of engineered systems comprises all those planned and sys-
and components used in the design, tematic actions necessary to provide
such as, for example, borehole and adequate confidence that the geologic
shaft seals, backfill, and drip shields, repository and its structures, systems,
as well as the thermal interaction ef- or components will perform satisfac-
fects of the waste packages, backfill, torily in service. Quality assurance in-
drip shields, rock, and unsaturated cludes quality control, which com-
prises those quality assurance actions
zone and saturated zone water, must be
related to the physical characteristics
conducted.
of a material, structure, component, or
(b) The testing must be initiated as system that provide a means to control
early as practicable. the quality of the material, structure,
(c) If backfill is included in the repos- component, or system to predeter-
itory design, a test must be conducted mined requirements.
to evaluate the effectiveness of backfill
placement and compaction procedures § 63.142 Quality assurance criteria.
against design requirements before per- (a) Introduction and Applicability. DOE
manent backfill placement is begun. is required by § 63.21(c)(20) to include in
(d) Tests must be conducted to evalu- its safety analysis report a description
ate the effectiveness of borehole, shaft, of the quality assurance program to be
and ramp seals before full-scale oper- applied to all structures, systems, and
ation proceeds to seal boreholes, components important to safety, to de-
shafts, and ramps. sign and characterization of barriers
important to waste isolation, and to
§ 63.134 Monitoring and testing waste related activities. These activities in-
packages.
clude: site characterization; acquisi-
(a) A program must be established at tion, control, and analyses of samples
the geologic repository operations area and data; tests and experiments; sci-
for monitoring the condition of the entific studies; facility and equipment
waste packages. Waste packages cho- design and construction; facility oper-
sen for the program must be representation; performance confirmation; per-
ative of those to be emplaced in the un- manent closure; and decontamination
derground facility. and dismantling of surface facilities.
(b) Consistent with safe operation at The description must indicate how the
the geologic repository operations applicable quality assurance require-
area, the environment of the waste ments will be satisfied. DOE shall in-
packages selected for the waste pack- clude information pertaining to the
age monitoring program must be rep- managerial and administrative con-

resentative of the environment in trols to be used to ensure safe oper-
which the wastes are to be emplaced. ation in its safety analysis report.
268
High-level waste repositories include management level so that the required

structures, systems, and components authority and organizational freedom,
that prevent or mitigate the con- including sufficient independence from
sequences of postulated event se- cost and schedule when opposed to
quences or that are important to waste safety considerations, are provided.
isolation capabilities that could cause (3) Because of the many variables in-
undue risk to the health and safety of volved, such as the number of per-
the public. The pertinent requirements sonnel, the type of activity being per-
of this subpart apply to all activities formed, and the location or locations
that are important to waste isolation where activities are performed, the or-
and important to safety functions of ganizational structure for executing
those structures, systems, and compo- the quality assurance program may
nents. These activities include design- take various forms provided that the
ing, purchasing, fabricating, handling, persons and organizations assigned the
shipping, storing, cleaning, erecting, quality assurance functions have this
installing, inspecting, testing, oper- required authority and organizational
ating, maintaining, repairing, modi- freedom. Irrespective of the organiza-
fying, site characterization, perform- tional structure, the individual(s) as-
ance confirmation, permanent closure, signed the responsibility for assuring
decontamination, and dismantling of effective execution of any portion of
surface facilities. the quality assurance program at any
(b) Organization. DOE shall establish location where activities subject to 10
and execute a quality assurance pro- CFR part 63 are being performed must
gram. DOE may delegate to others, have direct access to the levels of man-
such as contractors, agents, or consult- agement as may be necessary to per-
ants, the work of establishing and exe- form this function.
cuting the quality assurance program, (c) Quality assurance program. DOE
or any part of it, but DOE retains re- shall establish a quality assurance pro-
sponsibility for it. gram that complies with the require-
(1) The authority and duties of per- ments of this subpart at the earliest
sons and organizations performing ac- practicable time, consistent with the
tivities affecting the functions of schedule for accomplishing the activi-
structures, systems, and components ties. This program must be documented
that are important to waste isolation by written policies, procedures, or in-
and important to safety must be clear- structions and must be carried out
ly established and delineated in writ- throughout facility life in accordance
ing. These activities include both the with those policies, procedures, or in-
performing functions of attaining qual- structions.
ity objectives and the quality assur- (1) DOE shall identify the structures,
ance functions. The quality assurance systems, and components to be covered
functions are those of: by the quality assurance program and
(i) Assuring that an appropriate qual- the major organizations participating
ity assurance program is established in the program, together with the des-
and effectively executed; and ignated functions of these organiza-
(ii) Verifying that activities impor- tions. The quality assurance program
tant to waste isolation and important must control activities affecting the
to safety functions have been correctly quality of the identified structures,
performed by checking, auditing, and systems, and components, to an extent
inspection of structures, systems, and consistent with their importance to
components. safety.
(2) The persons and organizations (2) Activities affecting quality must
performing quality assurance functions be accomplished under suitably con-
shall have sufficient authority and or- trolled conditions. Controlled condi-
ganizational freedom to identify qual- tions include the use of appropriate
ity problems; to initiate, recommend, equipment; suitable environmental
or provide solutions; and to verify im- conditions for accomplishing the activ-
plementation of solutions. The persons ity, such as adequate cleanness; and as-
and organizations performing quality surance that all prerequisites for the
assurance functions shall report to a given activity have been satisfied.
269
§ 63.142 10 CFR Ch. I (1–1–11 Edition)
(3) The program must take into ac- those who performed the original de-
count the need for special controls, sign. These individuals may be from
processes, test equipment, tools, and the same organization. If a test pro-
skills to attain the required quality, gram is used to verify the adequacy of
and the need for verification of quality a specific design feature in lieu of
by inspection and test. The program other verifying or checking processes,
must provide for indoctrination and it must include suitable qualifications
training of personnel performing ac- testing of a prototype unit under the
tivities affecting quality as necessary most adverse design conditions. Design
to assure that suitable proficiency is control measures must be applied to
achieved and maintained. items such as: criticality physics,
(4) DOE shall regularly review the stress, thermal, hydraulic, and
status and adequacy of the quality as- preclosure and postclosure analyses;
surance program. Management of other compatibility of materials; accessi-
organizations participating in the qual- bility for inservice inspection, mainte-
ity assurance program shall regularly nance and repair; and delineation of ac-
review the status and adequacy of that ceptance criteria for inspections and
part of the quality assurance program tests.
which they are executing. (ii) Design changes, including field
(d) Design control. (1) DOE shall estab- changes, must be subject to design con-
lish measures to assure that applicable trol measures commensurate with
regulatory requirements and the design those applied to the original design and
basis, as defined in § 63.2 and as speci- be approved by the organization that
fied in the license application, for performed the original design unless
those structures, systems, and compo- the applicant designates another re-
nents to which this subpart applies, are sponsible organization.
correctly translated into specifica-
(e) Procurement document control. DOE
tions, drawings, procedures, and in-
shall establish measures to assure that
structions. These measures must as-
applicable regulatory requirements, de-
sure that appropriate quality standards
sign bases, and other requirements nec-
are specified and included in design
essary to assure adequate quality are
documents and that deviations from
suitably included or referenced in the
such standards are controlled. Meas-
ures must also be established for the documents for procurement of mate-
selection and review for suitability of rial, equipment, and services, whether
application of materials, parts, equip- purchased by the licensee or applicant
ment, and processes that are important or by its contractors or subcontractors.
to waste isolation and important to To the extent necessary, procurement
safety functions of the structures, sys- documents must require contractors or
tems and components. subcontractors to provide a quality as-
(2) DOE shall establish measures to surance program consistent with the
identify and control design interfaces pertinent provisions of this section.
and for coordination among partici- (f) Instructions, procedures, and draw-
pating design organizations. These ings. Activities affecting quality must
measures must include the establish- be prescribed by documented instruc-
ment of procedures among partici- tions, procedures, or drawings of a type
pating design organizations for the re- appropriate to the circumstances and
view, approval, release, distribution, must be accomplished in accordance
and revision of documents involving with these instructions, procedures, or
design interfaces. drawings. Instructions, procedures, or
(i) The design control measures must drawings must include appropriate
provide for verifying or checking the quantitative or qualitative acceptance
adequacy of design, such as by the per- criteria for determining that impor-
formance of design reviews, by the use tant activities have been satisfactorily
of alternate or simplified calculational accomplished.
methods, or by the performance of a (g) Document control. DOE shall estab-
suitable testing program. The verifying lish measures to control the issuance
or checking process must be performed of documents, such as instructions,
by individuals or groups other than procedures, and drawings, including
270
changes to them that prescribe all ac- or on records traceable to the item, as
tivities affecting quality. These meas- required throughout fabrication, erec-
ures must assure that documents, in- tion, installation, and use of the item.
cluding changes, are reviewed for ade- These identification and control meas-
quacy and approved for release by au- ures must be designed to prevent the
thorized personnel and are distributed use of incorrect or defective material,
to and used at the location where the parts, and components.
prescribed activity is performed. (j) Control of special processes. DOE
Changes to documents must be re- shall establish measures to assure that
viewed and approved by the same orga- special processes, including welding,
nizations that performed the original
heat treating, and nondestructive test-
review and approval unless the appli-
ing, are controlled and accomplished
cant designates another responsible or-
ganization. by qualified personnel using qualified
(h) Control of purchased material, procedures in accordance with applica-
equipment, and services. DOE shall es- ble codes, standards, specifications,
tablish measures to assure that pur- criteria, and other special require-
chased material, equipment, and serv- ments.
ices, whether purchased directly or (k) Inspection. DOE shall establish
through contractors and subcontrac- and execute a program for inspection of
tors, conform to the procurement docu- activities affecting quality to verify
ments. conformance with the documented in-
(1) These measures must include ap- structions, procedures, and drawings
propriate provisions for source evalua- for accomplishing the activity. The in-
tion and selection, objective evidence spection must be performed by individ-
of quality furnished by the contractor uals other than those who performed
or subcontractor, inspection at the the activity being inspected.
contractor or subcontractor source, (1) Examinations, measurements, or
and examination of products upon de- tests of material or products processed
livery. must be performed for each work oper-
(2) Documentary evidence that mate- ation where necessary to assure qual-
rial and equipment conform to the pro-
ity. If inspection of processed material
curement requirements must be avail-
or products is impossible or disad-
able at the high-level waste repository
vantageous, indirect control by moni-
site before the material and equipment
are installed or used. This documen- toring processing methods, equipment,
tary evidence must be retained at the and personnel must be provided. Both
high-level waste repository site and be inspection and process monitoring
sufficient to identify the specific re- must be provided when control is inad-
quirements, such as codes, standards, equate without both.
or specifications, met by the purchased (2) If mandatory inspection hold
material and equipment. points that require witnessing or in-
(3) The effectiveness of the control of specting by the applicant’s designated
quality by contractors and subcontrac- representative and beyond which work
tors must be assessed by the licensee or may not proceed without the consent
applicant or designee at intervals con- of its designated representative are re-
sistent with the importance, com- quired, the specific hold points must be
plexity, and quantity of the product or indicated in appropriate documents.
services. (l) Test control. DOE shall establish a
(i) Identification and control of mate- test program to assure that all testing
rials, parts, and components. Measures required to demonstrate that struc-
must be established for the identifica- tures, systems, and components impor-
tion and control of materials, parts, tant to safety will perform satisfac-
and components, including partially
torily in service is identified and per-
fabricated assemblies. These measures
formed in accordance with written test
must assure that identification of the
item is maintained by heat number, procedures which incorporate the re-

part number, serial number, or other quirements and acceptance limits con-
appropriate means, either on the item tained in applicable design documents.
271
§ 63.142 10 CFR Ch. I (1–1–11 Edition)
(1) The test program must include, as components which do not conform to
appropriate, proof tests prior to instal- requirements in order to prevent their
lation, preoperational tests, and oper- inadvertent use or installation. These
ational tests during repository oper- measures must include, as appropriate,
ation, of structures, systems, and com- procedures for identification, docu-
ponents. mentation, segregation, disposition,
(2) Test procedures must include pro- and notification to affected organiza-
visions for assuring that all pre- tions. Nonconforming items must be
requisites for the given test have been reviewed and accepted, rejected, re-
met, that adequate test instrumenta- paired or reworked in accordance with
tion is available and used, and that the documented procedures.
test is performed under suitable envi- (q) Corrective action. DOE shall estab-
ronmental conditions. lish measures to assure that conditions
(3) Test results must be documented adverse to quality, such as failures,
and evaluated to assure that test re- malfunctions, deficiencies, deviations,
quirements have been satisfied. defective material and equipment, and
(m) Control of measuring and test nonconformances are promptly identi-
equipment. DOE shall establish meas- fied and corrected. If significant condi-
ures to assure that tools, gages, instru- tions are adverse to quality, the meas-
ments, and other measuring and test- ures must assure that the cause of the
ing devices used in activities affecting condition is determined and corrective
quality are properly controlled, cali- action taken to preclude repetition.
brated, and adjusted at specified peri- The identification of the significant
ods to maintain accuracy within nec- condition adverse to quality, the cause
essary limits. of the condition, and the corrective ac-
(n) Handling, storage, and shipping. tion taken must be documented and re-
DOE shall establish measures to con- ported to appropriate levels of manage-
trol the handling, storage, shipping, ment.
cleaning and preservation of material
(r) Quality assurance records. DOE
and equipment in accordance with
shall maintain sufficient records to
work and inspection instructions to
furnish evidence of activities affecting
prevent damage or deterioration. When
quality.
necessary for particular products, spe-
cial protective environments, such as (1) The records must include at least
inert gas atmosphere, specific moisture the following: Operating logs and the
content levels, and temperature levels, results of reviews, inspections, tests,
must be specified and provided. audits, monitoring of work perform-
(o) Inspection, test, and operating sta- ance, and materials analyses.
tus. DOE shall establish measures to (2) The records must also include
indicate the status of inspections and closely-related data such as qualifica-
tests performed on individual items of tions of personnel, procedures, and
the high-level waste repository by equipment.
markings such as stamps, tags, labels, (3) Inspection and test records must,
routing cards, or other suitable means. at a minimum, identify the inspector
These measures must provide for the or data recorder, the type of observa-
identification of items that have satis- tion, the results, the acceptability, and
factorily passed required inspections the action taken in connection with
and tests, where necessary to preclude any deficiencies noted.
inadvertent bypassing of such inspec- (4) Records must be identifiable and
tions and tests. Measures must also be retrievable. Consistent with applicable
established for indicating the oper- regulatory requirements, the applicant
ating status of structures, systems, and shall establish requirements con-
components of the high-level waste re- cerning record retention, such as dura-
pository, such as by tagging valves and tion, location, and assigned responsi-
switches, to prevent inadvertent oper- bility.
ation. (s) Audits. DOE shall carry out a com-
(p) Nonconforming materials, parts, or prehensive system of planned and peri-

components. DOE shall establish meas- odic audits to verify compliance with
ures to control materials, parts, or all aspects of the quality assurance
272
program and to determine the effec- (4) The elimination of quality assur-
tiveness of the program. The audits ance program information that dupli-
must be performed in accordance with cates language in quality assurance
the written procedures or check lists regulatory guides and quality assur-
by appropriately trained personnel not ance standards to which the licensee is
having direct responsibilities in the committed; and
areas being audited. Audit results must (5) Organizational revisions that en-
be documented and reviewed by man- sure that persons and organizations
agement having responsibility in the performing quality assurance functions
area audited. Followup action, includ- continue to have the requisite author-
ing reaudit of deficient areas, must be
ity and organizational freedom, includ-
taken where indicated.
ing sufficient independence from cost
§ 63.143 Implementation. and schedule when opposed to safety
considerations.
DOE shall implement a quality assur-
ance program based on the criteria re- (b) DOE shall submit changes made
quired by § 63.142. to the NRC-accepted Safety Analysis
Report quality assurance program de-
§ 63.144 Quality assurance program scription that do reduce the commit-
change. ments to the NRC and receive NRC ap-
Changes to DOE’s NRC-approved proval prior to implementation, as fol-
Safety Analysis Report quality assur- lows:
ance program description are processed (1) By an appropriate method listed
as follows: in § 63.4 of this chapter, the signed doc-
(a) DOE may change a previously ac- ument must be submitted to the Nu-
cepted quality assurance program de- clear Regulatory Commission, ad-
scription included or referenced in the dressed: ATTN: Document Control
Safety Analysis Report without prior Desk; Director, Office of Nuclear Mate-
NRC approval, if the change does not rial and Safeguards; U.S. Nuclear Reg-
reduce the commitments in the pro- ulatory Commission, Washington, DC
gram description previously accepted 20555–0001, and one copy to the appro-
by the NRC. Changes to the quality as- priate NRC Resident Inspector, if one
surance program description that do
has been assigned to the site or facil-
not reduce the commitments must be
ity.
submitted every 24 months, in accord-
ance with paragraph (b)(1) of this sec- (2) The submittal of a change to the
tion. In addition to quality assurance Safety Analysis Report quality assur-
program changes involving administra- ance program description must include
tive improvements and clarifications, all pages affected by that change and
spelling corrections, punctuation, or must be accompanied by a forwarding
editorial items, the following changes letter identifying the change, the rea-
are not considered reductions in com- son for the change, and the basis for
mitment: concluding that the revised program
(1) The use of a quality assurance incorporating the change continues to
standard approved by the NRC which is describe how the requirements of
more recent than the quality assurance § 63.142 will be satisfied and continues
standard in DOE’s current quality as- to satisfy the criteria of § 63.142 and the
surance program at the time of the Safety Analysis Report quality assur-
change; ance program description previously
(2) The use of generic organizational accepted by the NRC (the letter need
position titles that clearly denote the not provide the basis for changes that
position function, supplemented as nec- correct spelling, punctuation, or edi-
essary by descriptive text, rather than torial items).
specific titles;
(3) DOE shall maintain records of
(3) The use of generic organizational
quality assurance program changes
charts to indicate functional relation-
that do reduce commitments.

ships, authorities, and responsibilities,
or alternatively, the use of descriptive [66 FR 55792, Nov. 2, 2001, as amended at 68
text; FR 58816, Oct. 10, 2003]
273
§ 63.151 10 CFR Ch. I (1–1–11 Edition)
Subpart H—Training and Subpart J—Violations

Certification of Personnel
§ 63.171 Violations.
§ 63.151 General requirements. (a) The Commission may obtain an
Operations of systems and compo- injunction or other court order to pre-
vent a violation of the provisions of—
nents that have been identified as im-
portant to safety in the Safety Anal-
amended;
ysis Report and in the license must be (2) Title II of the Energy Reorganiza-
performed only by trained and certified tion Act of 1974, as amended; or
personnel or by personnel under the di- (3) A regulation or order issued under
rect visual supervision of an individual those Acts.
with training and certification in such (b) The Commission may obtain a
operation. Supervisory personnel who court order for the payment of a civil
direct operations that are important to penalty imposed under section 234 of
safety must also be certified in such the Atomic Energy Act:
operations. (1) For violations of—
(i) Sections 53, 57, 62, 63, 81, 82, 101,
§ 63.152 Training and certification pro- 103, 104, 107, or 109 of the Atomic En-
gram. ergy Act of 1954, as amended;
DOE shall establish a program for (ii) Section 206 of the Energy Reorga-
training, proficiency testing, certifi- nization Act;
cation, and requalification of operating (iii) Any rule, regulation, or order
and supervisory personnel. issued under the sections specified in
paragraph (b)(1)(i) of this section;
§ 63.153 Physical requirements. (iv) Any term, condition, or limita-
tion of any license issued under the
The physical condition and the gen- sections specified in paragraph (b)(1)(i)
eral health of personnel certified for of this section.
operations that are important to safety (2) For any violation for which a li-
may not be such as might cause oper- cense may be revoked under section 186
ational errors that could endanger the of the Atomic Energy Act of 1954, as
public health and safety. Any condition amended.
that might cause impaired judgment or
motor coordination must be considered § 63.172 Criminal penalties.
in the selection of personnel for activi- (a) Section 223 of the Atomic Energy
ties that are important to safety. Act of 1954, as amended, provides for
These conditions need not categori- criminal sanctions for willful violation
cally disqualify a person, so long as ap- of, attempted violation of, or con-
propriate provisions are made to ac- spiracy to violate, any regulation
commodate the conditions. issued under sections 161b, 161i, or 161o
of the Act. For purposes of section 223,
Subpart I—Emergency Planning all the regulations in this part 63 are
issued under one or more of sections
Criteria 161b, 161i, or 161o, except for the sec-
§ 63.161 Emergency plan for the geo- tions listed in paragraph (b) of this sec-
logic repository operations area tion.
through permanent closure. (b) The regulations in this part 63
that are not issued under sections 161b,
DOE shall develop and be prepared to 161i, or 161o for the purposes of Section
implement a plan to cope with radio- 223 are as follows: §§ 63.1, 63.2, 63.5, 63.6,
logical accidents that may occur at the 63.7, 63.8, 63.15, 63.16, 63.21, 63.22, 63.23,
geologic repository operations area, at 63.24, 63.31, 63.32, 63.33, 63.41, 63.42, 63.43,
any time before permanent closure and 63.45, 63.46, 63.51, 63.52, 63.61, 63.62, 63.63,
decontamination or decontamination 63.64, 63.65, 63.101, 63.102, 63.111, 63.112,
and dismantlement of surface facili- 63.113, 63.114, 63.115, 63.121, 63.131, 63.132,
ties. The emergency plan must be 63.133, 63.134, 63.141, 63.142, 63.143, 63.153,
based on the criteria of § 72.32(b) of this 63.161, 63.171, 63.172, 63.201, 63.202, 63.203,
chapter. 63.204, 63.301, 63.302, 63.303, 63.304, 63.305,
274
63.311, 63.312, 63.321, 63.322, 63.331, 63.332, (2) The area under the control of DOE
63.341, and 63.342. for the use of Yucca Mountain activi-
ties at the time of licensing, if the site
Subpart K—Preclosure Public designated under the Nuclear Waste
Health and Environmental Policy Act is amended by Congress
Standards prior to the time of licensing.
§ 63.201 Purpose and scope. § 63.203 Implementation of Subpart K.

This subpart covers the storage of ra- DOE must demonstrate that normal
dioactive material by DOE in the operations at the Yucca Mountain site
Yucca Mountain repository and on the will and do occur in compliance with
Yucca Mountain site. For the purposes this subpart before the Commission
of demonstrating compliance with this grants or continues a license for DOE
subpart, to the extent there may be to receive and possess radioactive ma-
any conflict with the requirements terial within the Yucca Mountain site.
specified in this subpart and the re-
quirements contained in Subparts A–J § 63.204 Preclosure standard.
of this regulation, including defini- DOE must ensure that no member of
tions, the requirements in this subpart the public in the general environment
shall take precedence. receives more than an annual dose of
0.15 mSv (15 mrem) from the combina-
§ 63.202 Definitions for Subpart K.
tion of:
General environment means every- (a) Management and storage (as de-
where outside the Yucca Mountain fined in 40 CFR 191.2) of radioactive
site, the Nellis Air Force Range, and material that:
the Nevada Test Site. (1) Is subject to 40 CFR 191.3(a); and
Member of the public means anyone (2) Occurs outside of the Yucca
who is not a radiation worker for pur- Mountain repository but within the
poses of worker protection.
Yucca Mountain site; and
Radioactive material means matter
(b) Storage (as defined in § 63.202) of
composed of or containing radio-
radioactive material inside the Yucca
nuclides subject to the Atomic Energy
Act of 1954, as amended (42 U.S.C. sec. Mountain repository.
2014 et seq.). Radioactive material in-
cludes, but is not limited to, high-level Subpart L—Postclosure Public
radioactive waste and spent nuclear Health and Environmental
fuel. Standards
Spent nuclear fuel means fuel that has
been withdrawn from a nuclear reactor § 63.301 Purpose and scope.
following irradiation, the constituent This subpart covers the disposal of
elements of which have not been sepa- radioactive material in the Yucca
rated by reprocessing.
Mountain repository by DOE. For the
Storage means retention (and any as-
purposes of demonstrating compliance
sociated activity, operation, or process
with this subpart, to the extent that
necessary to carry out successful re-
there may be any conflict with the re-
tention) of radioactive material with
quirements specified in this subpart
the intent or capability to readily ac-
and the requirements contained in Sub-
cess or retrieve such material.
Yucca Mountain repository means the parts A–J of this part, including defini-
excavated portion of the facility con- tions, the requirements in this subpart
structed underground within the Yucca shall take precedence.
Mountain site.
§ 63.302 Definitions for Subpart L.
Yucca Mountain site means:
(1) The site recommended by the Sec- All definitions in subpart K of this
retary of DOE to the President under part, and the following:
section 112(b)(1)(B) of the Nuclear Accessible environment means any

Waste Policy Act of 1982 (42 U.S.C. point outside of the controlled area, in-
10132(b)(1)(B)) on May 27, 1986; or cluding:
275
§ 63.302 10 CFR Ch. I (1–1–11 Edition)
(1) The atmosphere (including the at- reasonably maximally exposed indi-
mosphere above the surface area of the vidual.
controlled area); Period of geologic stability means the
(2) Land surfaces; time during which the variability of
(3) Surface waters; geologic characteristics and their fu-
(4) Oceans; and ture behavior in and around the Yucca
(5) The lithosphere. Mountain site can be bounded, that is,
Aquifer means a water-bearing under- they can be projected within a reason-
ground geological formation, group of able range of possibilities. This period
formations, or part of a formation (ex- is defined to end at 1 million years
cluding perched water bodies) that can after disposal.
yield a significant amount of ground Plume of contamination means that
water to a well or spring. volume of ground water in the pre-
Controlled area means: dominant direction of ground-water
(1) The surface area, identified by flow that contains radioactive con-
passive institutional controls, that en- tamination from releases from the
compasses no more than 300 square kil- Yucca Mountain repository. It does not
ometers. It must not extend farther: include releases from any other poten-
(i) South than 36°40′13.6661″ North tial sources on or near the Nevada Test
latitude, in the predominant direction Site.
of ground-water flow; and Repository footprint means the outline
(ii) Than five kilometers from the re- of the outermost locations of where the
pository footprint in any other direc- waste is emplaced in the Yucca Moun-
tion; and tain repository.
(2) The subsurface underlying the
Slice of the plume means a cross-sec-
surface area.
tion of the plume of contamination
Disposal means the emplacement of
with sufficient thickness parallel to
radioactive material into the Yucca
the prevalent direction of flow of the
Mountain disposal system with the in-
plume that it contains the representa-
tent of isolating it for as long as rea-
tive volume.
sonably possible and with no intent of
Total dissolved solids means the total
recovery, whether or not the design of
dissolved (filterable) solids in water as
the disposal system permits the ready
determined by use of the method speci-
recovery of the material. Disposal of
fied in 40 CFR part 136.
radioactive material in the Yucca
Mountain disposal system begins when Undisturbed performance means that
all of the ramps and other openings human intrusion or the occurrence of
into the Yucca Mountain repository unlikely natural features, events, and
are sealed. processes do not disturb the disposal
Ground water means water that is system.
below the land surface and in a satu- Undisturbed Yucca Mountain disposal
rated zone. system means that the Yucca Mountain
Human intrusion means breaching of disposal system is not affected by
any portion of the Yucca Mountain dis- human intrusion.
posal system, within the repository Waste means any radioactive mate-
footprint, by any human activity. rial emplaced for disposal into the
Passive institutional controls means: Yucca Mountain repository.
(1) Markers, as permanent as prac- Well-capture zone means the volume
ticable, placed on the Earth’s surface; from which a well pumping at a defined
(2) Public records and archives; rate is withdrawing water from an aq-
(3) Government ownership and regu- uifer. The dimensions of the well-cap-
lations regarding land or resource use; ture zone are determined by the pump-
and ing rate in combination with aquifer
(4) Other reasonable methods of pre- characteristics assumed for calcula-
serving knowledge about the location, tions, such as hydraulic conductivity,
design, and contents of the Yucca gradient, and the screened interval.
Mountain disposal system. Yucca Mountain disposal system means

Peak dose means the highest annual the combination of underground engi-
dose projected to be received by the neered and natural barriers within the
276
controlled area that prevents or sub- or decreases of human knowledge or

stantially reduces releases from the technology. In all analyses done to
waste. demonstrate compliance with this part,
DOE must assume that all of those fac-
FR 10829, Mar. 13, 2009] tors remain constant as they are at the
time of submission of the license appli-
§ 63.303 Implementation of Subpart L. cation.
(c) DOE must vary factors related to
(a) Compliance is based upon the
the geology, hydrology, and climate
arithmetic mean of the projected doses based upon cautious, but reasonable as-
from DOE’s performance assessments sumptions of the changes in these fac-
for the period within 1 million years tors that could affect the Yucca Moun-
after disposal, with: tain disposal system during the period
(1) Sections 63.311(a)(1) and of geologic stability, consistent with
63.311(a)(2); and the requirements for performance as-
(2) Sections 63.321(b)(1), 63.321(b)(2), sessments specified at § 63.342.
and 63.331, if performance assessment is (d) Biosphere pathways must be con-
used to demonstrate compliance with sistent with arid or semi-arid condi-
either or both of these sections. tions.
(b) [Reserved]
[74 FR 10829, Mar. 13, 2009] FR 10829, Mar. 13, 2009]
§ 63.304 Reasonable expectation. POSTCLOSURE INDIVIDUAL PROTECTION
Reasonable expectation means that the STANDARD
Commission is satisfied that compli-
ance will be achieved based upon the § 63.311 Individual protection stand-
ard after permanent closure.
full record before it. Characteristics of
reasonable expectation include that it: (a) DOE must demonstrate, using
(1) Requires less than absolute proof performance assessment, that there is
because absolute proof is impossible to a reasonable expectation that the rea-
attain for disposal due to the uncer- sonably maximally exposed individual
tainty of projecting long-term perform- receives no more than the following an-
ance; nual dose from releases from the undis-
(2) Accounts for the inherently great- turbed Yucca Mountain disposal sys-
er uncertainties in making long-term tem:
projections of the performance of the (1) 0.15 mSv (15 mrem) for 10,000 years
Yucca Mountain disposal system; following disposal; and
(3) Does not exclude important pa- (2) 1.0 mSv (100 mrem) after 10,000
rameters from assessments and anal- years, but within the period of geologic
yses simply because they are difficult stability.
to precisely quantify to a high degree (b) DOE’s performance assessment
of confidence; and must include all potential pathways of
(4) Focuses performance assessments radionuclide transport and exposure.
and analyses on the full range of defen- [74 FR 10829, Mar. 13, 2009]
sible and reasonable parameter dis-
tributions rather than only upon ex- § 63.312 Required characteristics of
treme physical situations and param- the reasonably maximally exposed
eter values. individual.
The reasonably maximally exposed
§ 63.305 Required characteristics of individual is a hypothetical person who
the reference biosphere. meets the following criteria:
(a) Features, events, and processes (a) Lives in the accessible environ-
that describe the reference biosphere ment above the highest concentration
must be consistent with present knowl- of radionuclides in the plume of con-
edge of the conditions in the region tamination;
surrounding the Yucca Mountain site. (b) Has a diet and living style rep-
(b) DOE should not project changes resentative of the people who now re-
in society, the biosphere (other than side in the Town of Amargosa Valley,
climate), human biology, or increases Nevada. DOE must use projections
277
§ 63.321 10 CFR Ch. I (1–1–11 Edition)
based upon surveys of the people resid- § 63.322 Human intrusion scenario.
ing in the Town of Amargosa Valley, For the purposes of the analysis of
Nevada, to determine their current human intrusion, DOE must make the
diets and living styles and use the following assumptions:
mean values of these factors in the as- (a) There is a single human intrusion
sessments conducted for §§ 63.311 and as a result of exploratory drilling for
63.321; ground water;
(c) Uses well water with average con- (b) The intruders drill a borehole di-
centrations of radionuclides based on rectly through a degraded waste pack-
an annual water demand of 3000 acre- age into the uppermost aquifer under-
feet; lying the Yucca Mountain repository;
(d) Drinks 2 liters of water per day (c) The drillers use the common tech-
from wells drilled into the ground niques and practices that are currently
water at the location specified in para- employed in exploratory drilling for
graph (a) of this section; and ground water in the region surrounding
(e) Is an adult with metabolic and Yucca Mountain;
physiological considerations consistent (d) Careful sealing of the borehole
with present knowledge of adults. does not occur, instead natural deg-
radation processes gradually modify
HUMAN INTRUSION STANDARD the borehole;
(e) No particulate waste material
§ 63.321 Individual protection stand- falls into the borehole;
ard for human intrusion. (f) The exposure scenario includes
(a) DOE must determine the earliest only those radionuclides transported to
time after disposal that the waste the saturated zone by water (e.g.,
package would degrade sufficiently water enters the waste package, re-
leases radionuclides, and transports
that a human intrusion (see § 63.322)
radionuclides by way of the borehole to
could occur without recognition by the
the saturated zone); and
drillers.
(g) No releases are included which are
(b) DOE must demonstrate that there caused by unlikely natural processes
is a reasonable expectation that the and events.
reasonably maximally exposed indi-
vidual receives, as a result of the GROUND-WATER PROTECTION STANDARDS
human intrusion, no more than the fol-
lowing annual dose: § 63.331 Separate standards for protec-
(1) 0.15 mSv (15 mrem) for 10,000 years tion of ground water.
following disposal; and DOE must demonstrate that there is
(2) 1.0 mSv (100 mrem) after 10,000 a reasonable expectation that, for
years, but within the period of geologic 10,000 years of undisturbed performance
stability. after disposal, releases of radionuclides
(c) DOE’s analysis must include all from waste in the Yucca Mountain dis-
potential environmental pathways of posal system into the accessible envi-
ronment will not cause the level of ra-
radionuclide transport and exposure,
dioactivity in the representative vol-
subject to the requirements of § 63.322.
ume of ground water to exceed the lim-
[74 FR 10829, Mar. 13, 2009] its in the following Table 1:
TABLE 1—LIMITS ON RADIONUCLIDES IN THE REPRESENTATIVE VOLUME
Is natural background
Radionuclide or type of radiation emitted Limit included?
Combined radium-226 and radium-228 .................. 5 picocuries per liter ............................................. Yes.
Gross alpha activity (including radium-226 but ex- 15 picocuries per liter ........................................... Yes.
cluding radon and uranium).
Combined beta and photon emitting radionuclides 0.04 mSv (4 mrem) per year to the whole body No.
or any organ, based on drinking 2 liters of
water per day from the representative volume.
278
§ 63.332 Representative volume. (2) DOE may calculate the dimen-

sions as a slice of the plume. If DOE
(a) The representative volume is the
uses this approach, it must:
volume of ground water that would be
(i) Propose, for approval, where the
withdrawn annually from an aquifer
location of the edge of the plume of
containing less than 10,000 milligrams
contamination occurs. For example,
of total dissolved solids per liter of
the place where the concentration of
water to supply a given water demand.
radionuclides reaches 0.1% of the level
DOE must project the concentration of
of the highest concentration in the ac-
radionuclides released from the Yucca
cessible environment;
Mountain disposal system that will be
(ii) Assume that the slice of the
in the representative volume. DOE
plume is perpendicular to the prevalent
must use the projected concentrations
direction of flow of the aquifer; and
to demonstrate a reasonable expecta-
tion that the Yucca Mountain disposal (iii) Assume that the volume of
system complies with § 63.331. The DOE ground water contained within the
must make the following assumptions slice of the plume equals the represent-
concerning the representative volume: ative volume.
(1) It includes the highest concentra- ADDITIONAL PROVISIONS
tion level in the plume of contamina-
tion in the accessible environment; § 63.342 Limits on performance assess-
(2) Its position and dimensions in the ments.
aquifer are determined using average (a) DOE’s performance assessments
hydrologic characteristics which have conducted to show compliance with
cautious, but reasonable, values rep- §§ 63.311(a)(1), 63.321(b)(1), and 63.331
resentative of the aquifers along the shall not include consideration of very
radionuclide migration path from the unlikely features, events, or processes,
Yucca Mountain repository to the ac- i.e., those that are estimated to have
cessible environment as determined by less than one chance in 100,000,000 per
site characterization; and year of occurring. In addition, DOE’s
(3) It contains 3,000 acre-feet of water performance assessments need not
(about 3,714,450,000 liters or 977,486,000 evaluate the impacts resulting from
gallons). any features, events, and processes or
(b) DOE must use one of two alter- sequences of events and processes with
native methods for determining the di- a higher chance of occurring if the re-
mensions of the representative volume. sults of the performance assessments
The DOE must propose its chosen would not be changed significantly in
method, and any underlying assump- the initial 10,000-year period after dis-
tions, to NRC for approval. posal.
(1) DOE may calculate the dimen- (b) For performance assessments con-
sions as a well-capture zone. If DOE ducted to show compliance with
uses this approach, it must assume §§ 63.321(b)(1) and 63.331, DOE’s perform-
that the: ance assessments shall exclude the un-
(i) Water supply well(s) has (have) likely features, events, and processes,
characteristics consistent with public or sequences of events and processes,
water supply wells in the Town of i.e., those that are estimated to have
Amargosa Valley, Nevada, for example, less than one chance in 100,000 per year
well-bore size and length of the of occurring and at least one chance in
screened intervals; 100,000,000 per year of occurring.
(ii) Screened interval(s) include(s) (c) For performance assessments con-
the highest concentration in the plume ducted to show compliance with
of contamination in the accessible en- §§ 63.311(a)(2) and 63.321(b)(2), DOE’s per-
vironment; and formance assessments shall project the
(iii) Pumping rates and the place- continued effects of the features,
ment of the well(s) must be set to events, and processes included in para-
produce an annual withdrawal equal to graph (a) of this section beyond the
the representative volume and to tap 10,000-year post-disposal period through

the highest concentration within the the period of geologic stability. DOE
plume of contamination. must evaluate all of the features,
279
§ 63.343 10 CFR Ch. I (1–1–11 Edition)
events, or processes included in para- (3) DOE must assess the effects of
graph (a) of this section, and also: general corrosion on engineered bar-
(1) DOE must assess the effects of riers. DOE may use a constant rep-
seismic and igneous activity scenarios, resentative corrosion rate throughout
subject to the probability limits in the period of geologic stability or a dis-
paragraph (a) of this section for very tribution of corrosion rates correlated
unlikely features, events, and proc- to other repository parameters.
esses, or sequences of events and proc-
[74 FR 10829, Mar. 13, 2009]
esses. Performance assessments con-
ducted to show compliance with § 63.343 Severability of individual pro-
§ 63.321(b)(2) are also subject to the tection and ground-water protec-
probability limits in paragraph (b) of tion standards.
this section for unlikely features,
The individual protection and
events, and processes, or sequences of
ground-water protection standards are
events and processes.
severable.
(i) The seismic analysis may be lim-
ited to the effects caused by damage to
the drifts in the repository, failure of PART 70—DOMESTIC LICENSING
the waste packages, and changes in the OF SPECIAL NUCLEAR MATERIAL
elevation of the water table under
Yucca Mountain (i.e., the magnitude of Subpart A—General Provisions
the water table rise under Yucca Moun-
tain). Sec.
70.1 Purpose.
(ii) The igneous activity analysis
70.2 Scope.
may be limited to the effects of a vol-
70.3 License requirements.
canic event directly intersecting the
70.4 Definitions.
repository. The igneous event may be 70.5 Communications.
limited to that causing damage to the 70.6 Interpretations.
waste packages directly, causing re- 70.7 Employee protection.
leases of radionuclides to the bio- 70.8 Information collection requirements:
sphere, atmosphere, or ground water. OMB approval.
(2) DOE must assess the effects of cli- 70.9 Completeness and accuracy of informa-
mate change. The climate change anal- tion.
ysis may be limited to the effects of in- 70.10 Deliberate misconduct.
creased water flow through the reposi-
tory as a result of climate change, and Subpart B—Exemptions
the resulting transport and release of 70.11 Persons using special nuclear material
radionuclides to the accessible environ- under certain Department of Energy and
ment. The nature and degree of climate Nuclear Regulatory Commission con-
change may be represented by contracts.
stant-in-time climate conditions. The 70.12 Carriers.
analysis may commence at 10,000 years 70.13 Department of Defense.
after disposal and shall extend through 70.14 Foreign military aircraft.
the period of geologic stability. The 70.17 Specific exemptions.
constant-in-time values to be used to
represent climate change are to be the Subpart C—General Licenses
spatial average of the deep percolation 70.18 Types of licenses.
rate within the area bounded by the re- 70.19 General license for calibration or ref-
pository footprint. The constant-in- erence sources.
time deep percolation rates to be used 70.20 General license to own special nuclear
to represent climate change shall be material.
based on a lognormal distribution with 70.20a General license to possess special nu-
an arithmetic mean of 41 mm/year (1.6 clear material for transport.
in./year) and a standard deviation of 33 70.20b General license for carriers of tran-
sient shipments of formula quantities of
mm/year (1.3 in./year). The lognormal
strategic special nuclear material, spe-
distribution is to be truncated so that
cial nuclear material of moderate stra-

the deep percolation rates vary be- tegic significance, special nuclear mate-
tween 10 and 100 mm/year (0.39 and 3.9 rial of low strategic significance, and ir-
in./year). radiated reactor fuel.
280
Subpart D—License Applications Subpart I—Modification and Revocation of

Licenses
70.21 Filing.
70.22 Contents of applications. 70.81 Modification and revocation of li-
70.23 Requirements for the approval of ap- censes.
plications. 70.82 Suspension and operation in war or na-
70.23a Hearing required for uranium enrich- tional emergency.
ment facility.
70.24 Criticality accident requirements. Subpart J—Enforcement
70.25 Financial assurance and recordkeeping
for decommissioning. 70.91 Violations.
Subpart E—Licenses APPENDIX A TO PART 70—REPORTABLE SAFETY
70.31 Issuance of licenses. EVENTS
70.32 Conditions of licenses. AUTHORITY: Secs. 51, 53, 161, 182, 183, 68
70.33 Applications for renewal of licenses. Stat. 929, 930, 948, 953, 954, as amended, sec.
70.34 Amendment of licenses. 234, 83 Stat. 444, as amended, (42 U.S.C. 2071,
70.35 Commission action on applications to 2073, 2201, 2232, 2233, 2282, 2297f); secs. 201, as
renew or amend. amended, 202, 204, 206, 88 Stat. 1242, as
70.36 Inalienability of licenses. amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842,
70.37 Disclaimer of warranties. 5845, 5846). Sec. 193, 104 Stat. 2835 as amended
70.38 Expiration and termination of licenses by Pub. L. 104–134, 110 Stat. 1321, 1321–349 (42
and decommissioning of sites and sepa- U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C.
rate buildings or outdoor areas. 3504 note); Energy Policy Act of 2005, Pub. L.
70.39 Specific licenses for the manufacture No. 109–58, 119 Stat. 594 (2005).
or initial transfer of calibration or ref- Sections 70.1(c) and 70.20a(b) also issued
erence sources. under secs. 135, 141, Pub. L. 97–425, 96 Stat.
70.40 Ineligibility of certain applicants. 2232, 2241 (42 U.S.C. 10155, 10161).
Section 70.7 also issued under Pub. L. 95–
Subpart F—Acquisition, Use and Transfer of 601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851).
Special Nuclear Material, Creditors’ Rights Section 70.21(g) also issued under sec. 122,
68 Stat. 939 (42 U.S.C. 2152).
70.41 Authorized use of special nuclear ma-
Section 70.31 also issued under sec. 57d,
terial.
Pub. L. 93–377, 88 Stat. 475 (42 U.S.C. 2077).
70.42 Transfer of special nuclear material.
70.44 Creditor regulations. Sections 70.36 and 70.44 also issued under
sec. 184, 68 Stat. 954, as amended (42 U.S.C.
Subpart G—Special Nuclear Material 2234).
Section 70.81 also issued under secs. 186,
Control, Records, Reports and Inspections 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).
70.50 Reporting requirements. Section 70.82 also issued under sec. 108, 68
70.51 Records requirements. Stat. 939, as amended (42 U.S.C. 2138).
70.52 Reports of accidental criticality. SOURCE: 21 FR 764, Feb. 3, 1956, unless oth-
70.55 Inspections. erwise noted.
70.56 Tests.
70.59 Effluent monitoring reporting require-
ments. Subpart A—General Provisions
Subpart H—Additional Requirements for § 70.1 Purpose.
Certain Licensees Authorized To Pos- (a) Except as provided in paragraphs
sess a Critical Mass of Special Nuclear (c) and (d) of this section, the regula-
Material tions of this part establish procedures
70.60 Applicability. and criteria for the issuance of licenses
70.61 Performance requirements. to receive title to, own, acquire, de-
70.62 Safety program and integrated safety liver, receive, possess, use, and transfer
analysis. special nuclear material; and establish
70.64 Requirements for new facilities or new and provide for the terms and condi-
processes at existing facilities. tions upon which the Commission will
70.65 Additional content of applications. issue such licenses.
70.66 Additional requirements for approval
(b) The regulations contained in this
of license application.
part are issued pursuant to the Atomic
70.72 Facility changes and change process.

70.73 Renewal of licenses. Energy Act of 1954, as amended (68
70.74 Additional reporting requirements. Stat. 919) and Title II of the Energy Re-
70.76 Backfitting. organization Act of 1974 (88 Stat. 1242).
281
§ 70.2 10 CFR Ch. I (1–1–11 Edition)
(c) The regulations in part 72 of this cept as authorized in a license issued

chapter establish requirements, proce- by the Commission pursuant to these
dures, and criteria for the issuance of regulations.
licenses to possess:
(1) Spent fuel, power reactor-related
6924, Feb. 17, 1978]
Greater than Class C (GTCC) waste,
and other radioactive materials associ- § 70.4 Definitions.
ated with spent fuel storage in an inde-
pendent spent fuel storage installation Act means the Atomic Energy Act of
(ISFSI), or 1954 (68 Stat 919), including any amend-
(2) Spent fuel, high-level radioactive ments thereto;
waste, power reactor-related GTCC Acute, as used in this part, means a
waste, and other radioactive materials single radiation dose or chemical expo-
associated with the storage in a mon- sure event or multiple radiation dose
itored retrievable storage installation or chemical exposure events occurring
(MRS), and the terms and conditions within a short time (24 hours or less).
under which the Commission will issue Agreement State as designated in part
such licenses. 150 of this chapter means any State
(d) As provided in part 76 of this with which the Commission has en-
chapter, the regulations of this part es- tered into an effective agreement
tablish procedures and criteria for under subsection 274b. of the Act. Non-
physical security and material control agreement State means any other State.
and accounting for the issuance of a Alert means events may occur, are in
certificate of compliance or the ap- progress, or have occurred that could
proval of a compliance plan. lead to a release of radioactive
(e) As provided in the Atomic Energy material[s] but that the release is not
Act of 1954, as amended, the regula- expected to require a response by an
tions in this part establish require- offsite response organization to protect
ments, procedures, and criteria for the persons offsite.
issuance of licenses to uranium enrich- Atomic energy means all forms of en-
ment facilities. ergy released in the course of nuclear
[21 FR 764, Feb. 3, 1956, as amended at 32 FR fission or nuclear transformation;
4056, Mar. 15, 1967; 40 FR 8791, Mar. 3, 1975; 43 Atomic weapon means any device uti-
FR 6924, Feb. 17, 1978; 45 FR 74712, Nov. 12, lizing atomic energy, exclusive of the
1980; 53 FR 31682, Aug. 19, 1988; 59 FR 48960, means for transporting or propelling
Sept. 23, 1994; 62 FR 6669, Feb. 12, 1997; 66 FR the device (where such means is a sepa-
51838, Oct. 11, 2001]
rable and divisible part of the device),
§ 70.2 Scope. the principal purpose of which is for
use as, or for development of, a weap-
Except as provided in §§ 70.11 to 70.13, on, a weapon prototype, or a weapon
inclusive, the regulations in this part test device;
apply to all persons in the United Available and reliable to perform their
States. This part also gives notice to function when needed, as used in sub-
all persons who knowingly provide to part H of this part, means that, based
any licensee, applicant, contractor, or on the analyzed, credible conditions in
subcontractor, components, equipment, the integrated safety analysis, items
materials, or other goods or services, relied on for safety will perform their
that relate to a licensee’s or appli- intended safety function when needed,
cant’s activities subject to this part, and management measures will be im-
that they may be individually subject plemented that ensure compliance with
to NRC enforcement action for viola- the performance requirements of § 70.61
tion of § 70.10. of this part, considering factors such as
[63 FR 1898, Jan. 13, 1998] necessary maintenance, operating lim-
its, common-cause failures, and the
§ 70.3 License requirements. likelihood and consequences of failure
No person subject to the regulations or degradation of the items and meas-
in this part shall receive title to, own, ures.

acquire, deliver, receive, possess, use, Commencement of construction means
or transfer special nuclear material ex- any clearing of land, excavation, or
282
other substantial action that would ad- Decommission means to remove a fa-
versely affect the natural environment cility or site safely from service and
of a site but does not include changes reduce residual radioactivity to a level
desirable for the temporary use of the that permits—
land for public recreational uses, nec- (1) Release of the property for unre-
essary borings to determine site char- stricted use and termination of the li-
acteristics or other preconstruction cense; or
monitoring to establish background in- (2) Release of the property under re-
formation related to the suitability of stricted conditions and termination of
a site or to the protection of environ- the license.
mental values. Department and Department of Energy
Commission means the Nuclear Regu- means the Department of Energy Orga-
latory Commission or its duly author- nization Act (Pub. L. 95–91, 91 Stat. 565,
ized representatives; 42 U.S.C. 7101 et seq.), to the extent that
Common defense and security means the Department, or its duly authorized
the common defense and security of representatives, exercises functions
the United States; formerly vested in the U.S. Atomic En-
Configuration management (CM) ergy Commission, its Chairman, mem-
means a management measure that bers, officers and components and
provides oversight and control of de- transferred to the U.S. Energy Re-
sign information, safety information,
search and Development Administra-
and records of modifications (both tem-
tion and to the Administrator thereof
porary and permanent) that might im-
pursuant to sections 104(b), (c) and (d)
pact the ability of items relied on for
of the Energy Reorganization Act of
safety to perform their functions when
1974 (Pub. L. 93–438, 88 Stat. 1233 at 1237,
needed.
42 U.S.C. 5814) and retransferred to the
Contiguous sites means licensee con-
Secretary of Energy pursuant to sec-
trolled locations, deemed by the Com-
tion 301(a) of the Department of Energy
mission to be in close enough prox-
Organization Act (Pub. L. 95–91, 91
imity to each other, that the special
Stat. 565 at 577–578, 42 U.S.C. 7151).
nuclear material must be considered in
the aggregate for the purpose of phys- Double contingency principle means
ical protection. that process designs should incorporate
Corporation means the United States sufficient factors of safety to require at
Enrichment Corporation (USEC), or its least two unlikely, independent, and
successor, a Corporation that is au- concurrent changes in process condi-
thorized by statute to lease the gas- tions before a criticality accident is
eous diffusion enrichment plants in Pa- possible.
ducah, Kentucky, and Piketon, Ohio, Effective dose equivalent means the
from the Department of Energy, or any sum of the products of the dose equiva-
person authorized to operate one or lent to the body organ or tissue and the
both of the gaseous diffusion plants, or weighting factors applicable to each of
other facilities, pursuant to a plan for the body organs or tissues that are ir-
the privatization of USEC that is ap- radiated. Weighting factors are: 0.25 for
proved by the President. gonads, 0.15 for breast, 0.12 for red bone
Critical mass of special nuclear material marrow, 0.12 for lungs, 0.03 for thyroid,
(SNM), as used in Subpart H, means 0.03 for bone surface, and 0.06 for each
special nuclear material in a quantity of the other five organs receiving the
exceeding 700 grams of contained ura- highest dose equivalent.
nium-235; 520 grams of uranium-233; 450 Effective kilograms of special nuclear
grams of plutonium; 1500 grams of con- material means: (1) For plutonium and
tained uranium-235, if no uranium en- uranium-233 their weight in kilograms;
riched to more than 4 percent by (2) For uranium with an enrichment in
weight of uranium-235 is present; 450 the isotope U-235 of 0.01 (1%) and above,
grams of any combination thereof; or its element weight in kilograms multi-
one-half such quantities if massive plied by the square of its enrichment
moderators or reflectors made of expressed as a decimal weight fraction;

graphite, heavy water, or beryllium and (3) For uranium with an enrich-
may be present. ment in the isotope U-235 below 0.01
283
§ 70.4 10 CFR Ch. I (1–1–11 Edition)
(1%), by its element weight in kilo- must be integrated, and process inter-
grams multiplied by 0.0001. actions considered.
Formula quantity means strategic spe- Integrated safety analysis summary
cial nuclear material in any combina- means a document or documents sub-
tion in a quantity of 5000 grams or mitted with the license application, li-
more computed by the formula, cense amendment application, license
grams=(grams contained U–235)+2.5 renewal application, or pursuant to
(grams U–233+grams plutonium). This § 70.62(c)(3)(ii) that provides a synopsis
class of material is sometimes referred of the results of the integrated safety
to as a Category I quantity of material. analysis and contains the information
Government agency means any execu- specified in § 70.65(b). The ISA Sum-
tive department, commission, inde- mary can be submitted as one docu-
pendent establishment, corporation, ment for the entire facility, or as mul-
wholly or partly owned by the United tiple documents that cover all portions
States of America which is an instru- and processes of the facility.
mentality of the United States, or any Items relied on for safety mean struc-
board, bureau, division, service, office, tures, systems, equipment, compo-
officer, authority, administration, or nents, and activities of personnel that
other establishment in the executive are relied on to prevent potential acci-
branch of the Government; dents at a facility that could exceed
Hazardous chemicals produced from li- the performance requirements in § 70.61
censed materials means substances hav- or to mitigate their potential con-
ing licensed material as precursor com- sequences. This does not limit the li-
pound(s) or substances that physically censee from identifying additional
or chemically interact with licensed structures, systems, equipment, com-
materials; and that are toxic, explo- ponents, or activities of personnel (i.e.,
sive, flammable, corrosive, or reactive beyond those in the minimum set nec-
to the extent that they can endanger essary for compliance with the per-
life or health if not adequately conformance requirements) as items relied
trolled. These include substances com- on for safety.
mingled with licensed material, and in- License, except where otherwise spec-
clude substances such as hydrogen flu- ified, means a license issued pursuant
oride that is produced by the reaction to the regulations in this part;
of uranium hexafluoride and water, but Management measures mean the func-
do not include substances prior to proc- tions performed by the licensee, gen-
ess addition to licensed material or erally on a continuing basis, that are
after process separation from licensed applied to items relied on for safety, to
material. ensure the items are available and reli-
Integrated safety analysis (ISA) means able to perform their functions when
a systematic analysis to identify facil- needed. Management measures include
ity and external hazards and their po- configuration management, mainte-
tential for initiating accident se- nance, training and qualifications, pro-
quences, the potential accident se- cedures, audits and assessments, inci-
quences, their likelihood and con- dent investigations, records manage-
sequences, and the items relied on for ment, and other quality assurance ele-
safety. As used here, integrated means ments.
joint consideration of, and protection Person means (1) any individual, cor-
from, all relevant hazards, including poration, partnership, firm, associa-
radiological, nuclear criticality, fire, tion, trust, estate, public or private in-
and chemical. However, with respect to stitution, group, Government agency
compliance with the regulations of this other than the Commission or the De-
part, the NRC requirement is limited partment, except that the Department
to consideration of the effects of all shall be considered a person within the
relevant hazards on radiological safety, meaning of the regulations in this part
prevention of nuclear criticality acci- to the extent that its facilities and ac-
dents, or chemical hazards directly as- tivities are subject to the licensing and
sociated with NRC licensed radioactive related regulatory authority of the

material. An ISA can be performed Commission pursuant to section 202 of
process by process, but all processes the Energy Reorganization Act of 1974
284
(88 Stat. 1244), any State or any polit- in the production of energy, but shall
ical subdivision of or any political en- not include data declassified or re-
tity within a State, any foreign gov- moved from the Restricted Data cat-
ernment or nation or any political sub- egory pursuant to section 142 of the
division of any such government or na- Act;
tion, or other entity; and (2) any legal Sealed source means any special nu-
successor, representative, agent, or clear material that is encased in a cap-
agency of the foregoing; sule designed to prevent leakage or es-
Plutonium processing and fuel fabrica- cape of the special nuclear material.
tion plant means a plant in which the Site Area emergency means events
following operations or activities are may occur, are in progress, or have oc-
conducted: (1) Operations for manufac- curred that could lead to a significant
ture of reactor fuel containing pluto- release of radioactive material and
nium including any of the following: (i) that could require a response by offsite
Preparation of fuel material; (ii) for- response organizations to protect per-
mation of fuel material into desired sons offsite.
shapes; (iii) application of protective Source material means source mate-
cladding; (iv) recovery of scrap material as defined in section 11z. of the Act
rial; and (v) storage associated with and in the regulations contained in
such operations; or (2) Research and depart 40 of this chapter;
velopment activities involving any of Special nuclear material means (1) plu-
the operations described in paragraph tonium, uranium 233, uranium enriched
(1) of this definition except for research in the isotope 233 or in the isotope 235,
and development activities utilizing and any other material which the Com-
unsubstantial amounts of plutonium. mission, pursuant to the provisions of
Principal activities, as used in this section 51 of the act, determines to be
part, means activities authorized by special nuclear material, but does not
the license which are essential to include source material; or (2) any ma-
achieving the purpose(s) for which the terial artificially enriched by any of
license was issued or amended. Storage the foregoing but does not include
during which no licensed material is source material;
accessed for use or disposal and activi- Special nuclear material of low strategic
ties incidental to decontamination or significance means:
decommissioning are not principal ac- (1) Less than an amount of special
tivities. nuclear material of moderate strategic
Produce, when used in relation to spe- significance as defined in paragraph (1)
cial nuclear material, means (1) to of the definition of strategic nuclear
manufacture, make, produce, or refine material of moderate strategic signifi-
special nuclear material; (2) to sepa- cance in this section, but more than 15
rate special nuclear material from grams of uranium-235 (contained in
other substances in which such mate- uranium enriched to 20 percent or more
rial may be contained; or (3) to make in U-235 isotope) or 15 grams of ura-
or to produce new special nuclear ma- nium-233 or 15 grams of plutonium or
terial; the combination of 15 grams when com-
Research and development means (1) puted by the equation, grams = (grams
theoretical analysis, exploration, or contained U-235) + (grams plutonium) +
experimentation; or (2) the extension of (grams U-233); or
investigative findings and theories of a (2) Less than 10,000 grams but more
scientific or technical nature into than 1,000 grams of uranium-235 (con-
practical application for experimental tained in uranium enriched to 10 per-
and demonstration purposes, including cent or more but less than 20 percent in
the experimental production and test- the U-235 isotope); or
ing of models, devices, equipment, ma- (3) 10,000 grams or more of uranium-
terials, and processes; 235 (contained in uranium enriched
Restricted Data means all data con- above natural but less than 10 percent
cerning (1) design, manufacture or uti- in the U-235 isotope).
lization of atomic weapons; (2) the pro- This class of material is sometimes re-
duction of special nuclear material; or ferred to as a Category III quantity of
(3) the use of special nuclear material material.
285
§ 70.5 10 CFR Ch. I (1–1–11 Edition)
Special nuclear material of moderate capable of separating the isotopes of

strategic significance means: uranium or enriching uranium in the
(1) Less than a formula quantity of isotope 235.
strategic special nuclear material but Worker, when used in Subpart H of
more than 1,000 grams of uranium-235 this Part, means an individual who re-
(contained in uranium enriched to 20 ceives an occupational dose as defined
percent or more in the U-235 isotope) or in 10 CFR 20.1003.
more than 500 grams of uranium-233 or [21 FR 764, Feb. 3, 1956]
plutonium, or in a combined quantity
of more than 1,000 grams when com- EDITORIAL NOTE: For FEDERAL REGISTER ci-
tations affecting § 70.4, see the List of CFR
puted by the equation, grams = (grams Sections Affected, which appears in the
contained U-235) + 2 (grams U-233 + Finding Aids section of the printed volume
grams plutonium); or and at www.fdsys.gov.
(2) 10,000 grams or more of uranium-
235 (contained in uranium enriched to § 70.5 Communications.
10 percent or more but less than 20 per- (a) Unless otherwise specified or cov-
cent in the U-235 isotope). ered under the regional licensing pro-
This class of material is sometimes re- gram as provided in paragraph (b) of
ferred to as a Category II quantity of this section, any communication or re-
material. port concerning the regulations in this
Special nuclear material scrap means part and any application filed under
the various forms of special nuclear these regulations may be submitted to
material generated during chemical the Commission as follows:
and mechanical processing, other than (1) By mail addressed to: ATTN: Doc-
recycle material and normal process ument Control Desk, Director, Office of
intermediates, which are unsuitable for Nuclear Material Safety and Safe-
use in their present form, but all or guards or Director, Division of Secu-
part of which will be used after further rity Policy, Office of Nuclear Security
processing. and Incident Response, U.S. Nuclear
Strategic special nuclear material Regulatory Commission, Washington,
means uranium-235 (contained in ura- DC 20555–0001.
nium enriched to 20 percent or more in (2) By hand delivery to the Director,
the U235 isotope), uranium-233, or pluto- Office of Nuclear Material Safety and
nium. Safeguards or Director, Division of Se-
Transient shipment means a shipment curity Policy, Office of Nuclear Secu-
of nuclear material, originating and rity and Incident Response at the
terminating in foreign countries, on a NRC’s offices at 11555 Rockville Pike,
vessel or aircraft which stops at a Rockville, Maryland.
United States port. (3) Where practicable, by electronic
Unacceptable performance deficiencies submission, for example, via Electronic
mean deficiencies in the items relied Information Exchange, and CD-ROM.
on for safety or the management meas- Electronic submissions must be made
ures that need to be corrected to en- in a manner that enables the NRC to
sure an adequate level of protection as receive, read, authenticate, distribute,
defined in 10 CFR 70.61(b), (c), or (d). and archive the submission, and proc-
United States, when used in a geo- ess and retrieve it a single page at a
graphical sense, includes Puerto Rico time. Detailed guidance on making
and all territories and possessions of electronic submissions can be obtained
the United States. by visiting the NRC’s Web site at http://
Uranium enrichment facility means: www.nrc.gov/site-help/e-submittals.html;
(1) Any facility used for separating by e-mail to MSHD.Resource@nrc.gov;
the isotopes of uranium or enriching or by writing the Office of Information
uranium in the isotope 235, except lab- Services, U.S. Nuclear Regulatory
oratory scale facilities designed or Commission, Washington, DC 20555–
used for experimental or analytical 0001. The guidance discusses, among
purposes only; or other topics, the formats the NRC can
(2) Any equipment or device, or im- accept, the use of electronic signa-
portant component part especially de- tures, and the treatment of nonpublic
signed for such equipment or device, information.
286
(4) Classified communications shall non-Federal licensees in the following

be transmitted to the NRC Head- Region I non-Agreement States and the
quarters’ classified mailing address as District of Columbia: Connecticut,
specified in appendix A to part 73 of Delaware, and Vermont. All mailed or
this chapter or delivered by hand in ac- hand-delivered inquiries, communica-
cordance with paragraph (a)(2) of this tions, and applications for a new li-
section. cense or an amendment or renewal of
(b) The Commission has delegated to an existing license specified in para-
the four Regional Administrators li- graph (b)(1) of this section must use
censing authority for selected parts of the following address: U.S. Nuclear
its decentralized licensing program for Regulatory Commission, Region I, Nu-
nuclear materials as described in para- clear Material Section B, 475 Allendale
graph (b)(1) of this section. Any com- Road, King of Prussia, PA 19406–1415;
munication, report, or application cov- where e-mail is appropriate it should
ered under this licensing program must be addressed to
be submitted to the appropriate Re- RidsRgn1MailCenter.Resource@nrc.gov.
gional Administrator. The Administra- (ii) Region II. The regional licensing
tors’ jurisdictions and mailing address- program involves all Federal facilities
es are listed in paragraph (b)(2) of this in the region and non-Federal licensees
section. in the following Region II non-Agree-
(1) The delegated licensing program ment States and territories: West Vir-
includes authority to issue, renew, ginia, Puerto Rico, and the Virgin Is-
amend, cancel, modify, suspend, or re-
lands. All mailed or hand-delivered in-
voke licenses for nuclear materials
quiries, communications, and applica-
issued pursuant to 10 CFR parts 30
tions for a new license or an amend-
through 36, 39, 40, and 70 to all persons
ment, renewal, or termination request
for academic, medical, and industrial
of an existing license specified in para-
uses, with the following exceptions:
graph (b)(1) of this section must use
(i) Activities in the fuel cycle and
the following address: U.S. Nuclear
special nuclear material in quantities
Regulatory Commission, Region I, Nu-
sufficient to constitute a critical mass
clear Material Section B, 475 Allendale
in any room or area. This exception
does not apply to license modifications Road, King of Prussia, PA 19406–1415;
relating to termination of special nu- where e-mail is appropriate it should
clear material licenses that authorize be addressed to
possession of larger quantities when RidsRgn1MailCenter.Resource@nrc.gov.
the case is referred for action from (iii) Region III. (A) The regional li-
NRC’s Headquarters to the Regional censing program for mining and mill-
Administrators. ing involves all Federal facilities in the
(ii) Health and safety design review region, and non-Federal licensees in
of sealed sources and devices and ap- the Region III non-Agreement States of
proval, for licensing purposes, of sealed Indiana, Michigan, Missouri and Re-
sources and devices. gion III Agreement States of Min-
(iii) Processing of source material for nesota, Wisconsin, and Iowa. All
extracting of metallic compounds (in- mailed or hand-delivered inquiries,
cluding Zirconium, Hafnium, Tan- communications, and applications for a
talum, Titanium, Niobium, etc.). new license or an amendment, renewal,
(iv) Distribution of products con- or termination request of an existing
taining radioactive material to persons license specified in paragraph (b)(1) of
exempt pursuant to 10 CFR 32.11 this section must use the following ad-
through 32.26. dress: U.S. Nuclear Regulatory Com-
(v) New uses or techniques for use of mission, Region III, Material Licensing
byproduct, source, or special nuclear Section, 2443 Warrenville Road, Suite
material. 210, Lisle, IL 60532–4352; where e-mail is
(vi) Reviews pursuant to § 70.32(c). appropriate it should be addressed to
(vii) Uranium enrichment facilities. RidsRgn3MailCenter.Resource@nrc.gov.
(2) Submissions—(i) Region I. The re- (B) Otherwise, the regional licensing
gional licensing program involves all program involves all Federal facilities
Federal facilities in the region and in the region and non-Federal licensees
287
§ 70.6 10 CFR Ch. I (1–1–11 Edition)
in the following Region III non-Agree- TX 76011–4125; where e-mail is appro-

ment States: Indiana, Michigan, and priate it should be addressed to
Missouri. All mailed or hand-delivered RidsRgn4MailCenter.Resource@nrc.gov.
inquiries, communications, and appli- Outside of this jurisdiction, concerning
cations for a new license or an amend- the licensing program involving min-
ment, or renewal of an existing license ing and milling, the Agreement States
specified in paragraph (b)(1) of this sec- of Colorado, Utah, Texas and Wash-
tion must use the following address: ington should be contacted.
U.S. Nuclear Regulatory Commission,
[48 FR 16032, Apr. 14, 1983]
Region III, Material Licensing Section,
2443 Warrenville Road, Suite 210, Lisle, EDITORIAL NOTE: For FEDERAL REGISTER ci-
IL 60532–4352; where e-mail is appro- tations affecting § 70.5, see the List of CFR
priate it should be addressed to Sections Affected, which appears in the
RidsRgn3MailCenter.Resource@nrc.gov.
and at www.fdsys.gov.
Outside of this jurisdiction, concerning
the licensing program involving min- § 70.6 Interpretations.
ing and milling, the Agreement States
of Illinois and Ohio should be con- Except as specifically authorized by
tacted. the Commission in writing, no inter-
(iv) Region IV. (A) The regional li- pretation of the meaning of the regula-
censing program for mining and mill- tions in this part by any officer or em-
ing involves all Federal facilities in the ployee of the Commission other than a
region, and non-Federal licensees in written interpretation by the General
the Region IV non-Agreement States Counsel will be recognized to be bind-
and territory of Alaska, Hawaii, Idaho, ing upon the Commission.
Montana, South Dakota, Wyoming and
§ 70.7 Employee protection.
Guam and Region IV Agreement States
of Oregon, California, Nevada, New (a) Discrimination by a Commission
Mexico, Louisiana, Mississippi, Arkan- licensee, an applicant for a Commis-
sas, Oklahoma, Kansas, Nebraska, and sion license, or a contractor or subcon-
North Dakota. All mailed or hand-de- tractor of a Commission licensee or ap-
livered inquiries, communications, and plicant against an employee for engag-
applications for a new license or an ing in certain protected activities is
amendment, renewal, or termination prohibited. Discrimination includes
request of an existing license specified discharge and other actions that relate
in paragraph (b)(1) of this section must to compensation, terms, conditions, or
use the following address: U.S. Nuclear privileges of employment. The pro-
Regulatory Commission, Region IV, Di- tected activities are established in sec-
vision of Nuclear Materials Safety, 612 tion 211 of the Energy Reorganization
E. Lamar Blvd., Suite 400, Arlington, Act of 1974, as amended, and in general
TX 76011–4125; where e-mail is appro- are related to the administration or en-
priate it should be addressed to forcement of a requirement imposed
RidsRgn4MailCenter.Resource@nrc.gov. under the Atomic Energy Act or the
(B) Otherwise, the regional licensing Energy Reorganization Act.
program involves all Federal facilities (1) The protected activities include
in the region and non-Federal licensees but are not limited to:
in the following Region IV non-Agree- (i) Providing the Commission or his
ment States and territory: Alaska, Ha- or her employer information about al-
waii, Idaho, Montana, South Dakota, leged violations of either of the stat-
Wyoming, and Guam. All mailed or utes named in paragraph (a) introduc-
hand-delivered inquiries, communica- tory text of this section or possible vio-
tions, and applications for a new li- lations of requirements imposed under
cense or an amendment or renewal of either of those statutes;
an existing license specified in para- (ii) Refusing to engage in any prac-
graph (b)(1) of this section must use tice made unlawful under either of the
the following address: U.S. Nuclear statutes named in paragraph (a) intro-
Regulatory Commission, Region IV, Di- ductory text or under these require-
vision of Nuclear Materials Safety, 612 ments if the employee has identified
E. Lamar Blvd., Suite 400, Arlington, the alleged illegality to the employer;
288

institute action against his or her em- others, which adversely affect an em-
ployer for the administration or en- ployee may be predicated upon non-
in paragraph (a) introductory text. him or her immune from discharge or
(2) These activities are protected (e)(1) Each specific licensee, each ap-
even if no formal proceeding is actu- plicant for a specific license, and each
ally initiated as a result of the em- general licensee subject to part 19 shall
ployee assistance or participation. prominently post the revision of NRC
(3) This section has no application to Form 3, ‘‘Notice to Employees,’’ ref-
any employee alleging discrimination erenced in 10 CFR 19.11(c).
prohibited by this section who, acting (2) The posting of NRC Form 3 must
without direction from his or her em-
be at locations sufficient to permit em-
ployer (or the employer’s agent), delib-
ployees protected by this section to ob-
erately causes a violation of any re-
serve a copy on the way to or from
quirement of the Energy Reorganiza-
tion Act of 1974, as amended, or the their place of work. Premises must be
Atomic Energy Act of 1954, as amend- posted not later than 30 days after an
ed. application is docketed and remain
(b) Any employee who believes that posted while the application is pending
he or she has been discharged or other- before the Commission, during the
wise discriminated against by any per- term of the license, and for 30 days fol-
son for engaging in protected activities lowing license termination.
specified in paragraph (a)(1) of this sec- (3) Copies of NRC Form 3 may be ob-
tion may seek a remedy for the dis- tained by writing to the Regional Ad-
charge or discrimination through an ministrator of the appropriate U.S. Nu-
administrative proceeding in the De- clear Regulatory Commission Regional
partment of Labor. The administrative Office listed in appendix D to part 20 of
proceeding must be initiated within 180 this chapter, by calling (301) 415-7232,
days after an alleged violation occurs. via e-mail to FORMS.Resource@nrc.gov,
The employee may do this by filing a or by accessing the NRC Web site at
complaint alleging the violation with http://www.nrc.gov and selecting forms
the Department of Labor, Employment from the index found on the home page.
Standards Administration, Wage and (f) No agreement affecting the com-
Hour Division. The Department of pensation, terms, conditions, or privi-
Labor may order reinstatement, back leges of employment, including an
pay, and compensatory damages. agreement to settle a complaint filed
(c) A violation of paragraphs (a), (e), by an employee with the Department
or (f) of this section by a Commission of Labor pursuant to section 211 of the
licensee, an applicant for a Commis-
Energy Reorganization Act of 1974, as
sion license, or a contractor or subcon-
amended, may contain any provision
tractor of a Commission licensee or ap-
plicant may be grounds for— which would prohibit, restrict, or oth-
erwise discourage an employee from
of the license. participating in protected activity as
defined in paragraph (a)(1) of this sec-
(2) Imposition of a civil penalty on
the licensee, applicant, or a contractor tion including, but not limited to, pro-
or subcontractor of the licensee or ap- viding information to the NRC or to

plicant.
(3) Other enforcement action.
289
§ 70.8 10 CFR Ch. I (1–1–11 Edition)
his or her employer on potential viola- by statute or by the Commission’s reg-

tions or other matters within NRC’s ulations, orders, or license conditions
regulatory responsibilities. to be maintained by the applicant or
the licensee shall be complete and ac-
[58 FR 52413, Oct. 8, 1993, as amended at 60 FR
24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996; 68 curate in all material respects.
FR 58816, Oct. 10, 2003; 72 FR 63974, Nov. 14, (b) Each applicant or licensee shall
2007; 73 FR 30459, May 28, 2008] notify the Commission of information
identified by the applicant or licensee
§ 70.8 Information collection require- as having for the regulated activity a
ments: OMB approval. significant implication for public
(a) The Nuclear Regulatory Commis- health and safety or common defense
sion has submitted the information and security. An applicant or licensee
collection requirements contained in violates this paragraph only if the ap-
this part to the office of Management plicant or licensee fails to notify the
and Budget (OMB) for approval as re- Commission of information that the
quired by the Paperwork reduction Act applicant or licensee has identified as
(44 U.S.C. 3501 et seq.). The NRC may having a significant implication for
not conduct or sponsor, and a person is public health and safety or common de-
not required to respond to, a collection fense and security. Notification shall
of information unless it displays a cur- be provided to the Administrator of the
rently valid OMB control number. OMB appropriate Regional Office within two
has approved the information collec- working days of identifying the infor-
tion requirements contained in this mation. This requirement is not appli-
part under control number 3150–0009. cable to information which is already
(b) The approved information collec- required to be provided to the Commis-
tion requirements contained in this sion by other reporting or updating re-
part appear in §§ 70.9, 70.17, 70.19, 70.20a, quirements.
70.20b, 70.21, 70.22, 70.24, 70.25, 70.32, [52 FR 49373, Dec. 31, 1987]
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, § 70.10 Deliberate misconduct.
70.73, 70.74, and Appendix A. (a) Any licensee, applicant for a li-
(c) This part contains information cense, employee of a licensee or appli-
collection requirements in addition to cant; or any contractor (including a
those approved under the control num- supplier or consultant), subcontractor,
ber specified in paragraph (a) of this employee of a contractor or subcon-
section. These information collection tractor of any licensee or applicant for
requirements and the control numbers a license, who knowingly provides to
under which they are approved are as any licensee, applicant, contractor, or
follows: subcontractor, any components, equip-
(1) In § 70.21(g), Form N–71 and associ- ment, materials, or other goods or
ated forms are approved under control services that relate to a licensee’s or
number 3150–0056. applicant’s activities in this part, may
(2) In § 70.38, NRC form 314 is ap- not:
proved under control number 3150–0028. (1) Engage in deliberate misconduct
(3) In § 70.21(g), DOC/NRC Forms AP– that causes or would have caused, if
1, AP–A, and associated forms are ap- not detected, a licensee or applicant to
proved under control number 0694–0135. be in violation of any rule, regulation,
or order; or any term, condition, or
FR 19305, May 22, 1987; 56 FR 40769, Aug. 16,
limitation of any license issued by the
1991; 57 FR 18392, Apr. 30, 1992; 58 FR 39634, Commission; or
July 26, 1993; 62 FR 52189, Oct. 6, 1997; 65 FR (2) Deliberately submit to the NRC, a
56225, Sept. 18, 2000; 67 FR 78142, Dec. 23, 2003; licensee, an applicant, or a licensee’s
73 FR 78606, Dec. 23, 2008] or applicant’s contractor or subcon-
tractor, information that the person
§ 70.9 Completeness and accuracy of submitting the information knows to
information. be incomplete or inaccurate in some
(a) Information provided to the Com- respect material to the NRC.

mission by an applicant for a license or (b) A person who violates paragraph
by a licensee or information required (a)(1) or (a)(2) of this section may be
290
subject to enforcement action in ac- Act of 1974, any prime contractor or

cordance with the procedures in 10 CFR subcontractor of the Department or
part 2, subpart B. the Commission is exempt from the re-
(c) For the purposes of paragraph quirements for a license set forth in
(a)(1) of this section, deliberate mis- section 53 of the Act and from the regu-
conduct by a person means an inten- lations in this part to the extent that
tional act or omission that the person such prime contractor or subcontractor
knows: receives title to, owns, acquires, deliv-
(1) Would cause a licensee or appli-
ers, receives, possesses, uses, or trans-
cant to be in violation of any rule, reg-
fers special nuclear material under his
ulation, or order; or any term, condi-
tion, or limitation, of any license prime contract or subcontract when
issued by the Commission; or the Commission determines that the
(2) Constitutes a violation of a re- exemption of the prime contractor or
quirement, procedure, instruction, con- subcontractor is authorized by law; and
tract, purchase order, or policy of a li- that, under the terms of the contract
censee, applicant, contractor, or sub- or subcontract there is adequate assur-
contractor. ance that the work thereunder can be
[63 FR 1899, Jan. 13, 1998]
accomplished without undue risk to
the public health and safety.
Subpart B—Exemptions [40 FR 14085, Mar. 28, 1975; 40 FR 16047, Apr.
9, 1975; as amended at 43 FR 6924, Feb. 17,
§ 70.11 Persons using special nuclear 1978; 65 FR 54950, Sept. 12, 2000]
material under certain Department
of Energy and Nuclear Regulatory § 70.12 Carriers.
Commission contracts.
Common and contract carriers,
Except to the extent that Depart- freight forwarders, warehousemen, and
ment facilities or activities of the
the U.S. Postal Service are exempt
types subject to licensing pursuant to
section 202 of the Energy Reorganiza- from the regulations in this part to the
tion Act of 1974 are involved, any prime extent that they transport special nu-
contractor of the Department is ex- clear material in the regular course of
empt from the requirements for a li- carriage for another or storage inci-
cense set forth in section 53 of the Act dent thereto. This exemption does not
and from the regulations in this part to apply to the storage in transit or trans-
the extent that such contractor, under port of material by persons covered by
his prime contract with the Depart- the general license issued under § 70.20a
ment receives title to, owns, acquires, and § 70.20b.
delivers, receives, possesses, uses, or
[46 FR 12696, Feb. 18, 1981]
transfers special nuclear material for:
(a) The performance of work for the § 70.13 Department of Defense.
Department at a United States Govern-
ment-owned or controlled site, includ- The regulations in this part do not
ing the transportation of special nu- apply to the Department of Defense to
clear material to or from such site and the extent that the Department re-
the performance of contract services ceives, possesses and uses special nu-
during temporary interruptions of such clear material in accordance with the
transportation; (b) research in, or de- direction of the President pursuant to
velopment, manufacture, storage, test- section 91 of the Act.
ing or transportation of, atomic weap-
ons or components thereof; or (c) the § 70.14 Foreign military aircraft.
use or operation of nuclear reactors or The regulations in this part do not
other nuclear devices in a United apply to persons who carry special nu-
States Government-owned vehicle or clear material (other than plutonium)
vessel. In addition to the foregoing ex- in aircraft of the armed forces of for-
emptions, and subject to the require-
eign nations subject to 49 U.S.C.

ment for licensing of Department fa-
40103(d).
cilities and activities pursuant to sec-
tion 202 of the Energy Reorganization [71 FR 15012, Mar. 27, 2006]
291
§ 70.17 10 CFR Ch. I (1–1–11 Edition)
§ 70.17 Specific exemptions. transfer byproduct material, source

(a) The Commission may, upon appli- material, or special nuclear material;
cation of any interested person or upon (2) Any Government agency as de-
its own initiative, grant such exemp- fined in § 70.4 that holds a specific li-
tions from the requirements of the reg- cense issued by the Commission that
ulations in this part as it determines authorizes it to receive, possess, use, or
are authorized by law and will not en- transfer byproduct material, source
danger life or property or the common material, or special nuclear material;
defense and security and are otherwise and
in the public interest. (3) Any person in an agreement State
(b) [Reserved] who holds a specific license issued by
(c) The DOE is exempt from the re- the Commission or the Atomic Energy
quirements of the regulations in this Commission which authorizes him to
part to the extent that its activities receive, possess, use and transfer spe-
are subject to the requirements of part cial nuclear material.
60 or part 63 of this chapter. (b) The general license in paragraph
(d) Except as specifically provided in (a) of this section applies only to cali-
part 61 of this chapter, any licensee is bration or reference sources which
exempt from the requirements of the have been manufactured or initially
regulations in this part to the extent transferred in accordance with the
that its activities are subject to the re- specifications contained in a specific li-
quirements of part 61 of this chapter. cense issued pursuant to § 70.39 or in ac-
[37 FR 5749, Mar. 21, 1972, as amended at 45 cordance with the specifications con-
FR 65536, Oct. 3, 1980; 46 FR 13987, Feb. 25, tained in a specific license issued by an
1981; 47 FR 57481, Dec. 27, 1982; Redesignated agreement State which authorizes
at 65 FR 56225, Sept. 18, 2000, as amended at manufacture of the sources for dis-
66 FR 55815, Nov. 2, 2001]
tribution to persons generally licensed
by the agreement State.
Subpart C—General Licenses (c) The general license in paragraph
§ 70.18 Types of licenses. (a) of this section is subject to the pro-
visions of §§ 70.32, 70.50, 70.55, 70.56,
Licenses for special nuclear material 70.91, 70.81, and 70.82; the provisions of
are of two types: general and specific. §§ 74.11 and 74.19 of this chapter; and to
Any general license provided in this
the provisions of parts 19, 20, and 21 of
part is effective without the filing of
this chapter. In addition, persons who
applications with the Commission or
receive title to own, acquire, deliver,
the issuance of licensing documents to
receive, possess, use or transfer one or
particular persons. Specific licenses
more calibration or reference sources
are issued to named persons upon ap-
plications filed pursuant to the regula- under this general license:
tions in this part. (1) Shall not possess at any one time,
at any one location of storage or use,
[29 FR 5884, May 5, 1964] more than 5 microcuries of plutonium
in such sources;
§ 70.19 General license for calibration
or reference sources. (2) Shall not receive, possess, use or
transfer such source unless the source,
(a) A general license is hereby issued
or the storage container, bears a label
to those persons listed below to receive
which includes the following statement
title to, own, acquire, deliver, receive,
or a substantially similar statement
possess, use and transfer in accordance
which contains the information called
with the provisions of paragraphs (b)
for in the following statement: 1
and (c) of this section, plutonium in
the form of calibration or reference The receipt, possession, use and transfer of
sources: this source, Model lll, Serial No. lll,
(1) Any person in a non-agreement
State who holds a specific license
1 Sources generally licensed under this sec-

issued by the Commission or the Atom- tion prior to January 19, 1975 may bear labels
ic Energy Commission which author- authorized by the regulations in effect on
izes him to receive, possess, use and January 1, 1975.
292
Nuclear Regulatory Commission § 70.20a
are subject to a general license and the regu- the types and quantities subject to the
lations of the United States Nuclear Regu- requirements of §§ 73.20, 73.25, 73.26 and
latory Commission or of a State with which 73.27 of this chapter, and irradiated re-
the Commission has entered into an agree-
actor fuel containing material of the
ment for the exercise of regulatory author-
ity. Do not remove this label. types and quantities subject to the re-
quirements of § 73.37 of this chapter, in
CAUTION—RADIOACTIVE MATERIAL—THIS the regular course of carriage for an-
SOURCE CONTAINS PLUTONIUM. DO NOT TOUCH other or storage incident. Carriers gen-
RADIOACTIVE PORTION OF THIS SOURCE.
erally licensed under § 70.20b are ex-
(Name of Manufacturer or Initial Transferor) empt from the requirements of this
section. Carriers of irradiated reactor
(3) Shall not transfer, abandon, or fuel for the United States Department
dispose of such source except by trans- of Energy are also exempt from the re-
fer to a person authorized by a license quirements of this section. The general
from the Commission or the Atomic license is subject to the applicable pro-
Energy Commission or an Agreement visions of §§ 70.7 (a) through (e), 70.32 (a)
State to receive the source. and (b), and §§ 70.42, 70.52, 70.55, 70.91,
(4) Shall store such source, except 70.81, 70.82 and 10 CFR 74.11.
when the source is being used, in a (b) Notwithstanding any other provi-
closed container adequately designed sion of this chapter, the general license
and constructed to contain plutonium issued under this section does not au-
which might otherwise escape during thorize any person to conduct any ac-
storage. tivity that would be authorized by a li-
(5) Shall not use such source for any cense issued pursuant to parts 30
purpose other than the calibration of through 36, 39, 40, 50, 72, 110, or other
radiation detectors or the standardiza- sections of this part.
tion of other sources. (c) Notwithstanding any other provi-
(d) The general license in paragraph sion of this chapter, the duties of a
(a) of this section does not authorize general licensee under this section
the manufacture, import, or export of while in possession of formula quan-
calibration or reference sources con- tities of strategic special nuclear mate-
taining plutonium. rial or irradiated reactor fuel in the
[29 FR 5884, May 5, 1964, as amended at 32 FR regular course of carriage for another
8124, June 7, 1967; 38 FR 22221, Aug. 17, 1973; or storage incident thereto shall be
40 FR 8792, Mar. 3, 1975; 42 FR 28896, June 6, limited to providing for the physical
1977; 43 FR 6924, Feb. 17, 1978; 48 FR 32329, protection of such material against
July 15, 1983; 56 FR 40769, Aug. 16, 1991; 57 FR theft or sabotage. Unless otherwise
33428, July 29, 1992; 67 FR 78142, Dec. 23, 2002; provided by this section, a general li-
72 FR 35145, June 27, 2007] cense under this section is not subject
§ 70.20 General license to own special to the requirements of parts 19, 20, 70
nuclear material. and 73.
(d) Any person who possesses formula
A general license is hereby issued to quantities of strategic special nuclear
receive title to and own special nuclear material under this general license:
material without regard to quantity. (1) Shall have submitted and received
Notwithstanding any other provision of approval of a transportation security
this chapter, a general licensee under plan. The security plan shall outline
this section is not authorized to ac- the procedures that will be used to
quire, deliver, receive, possess, use, meet the requirements of §§ 73.20, 73.25,
transfer, import, or export special nu- 73.26, 73.27 and 73.70(g) of this chapter
clear material, except as authorized in including a plan for the selection, qual-
a specific license. ification, and training of armed es-
[33 FR 9810, July 9, 1968] corts, or the specification and design of
a specially designed truck or trailer as
§ 70.20a General license to possess spe- appropriate.
cial nuclear material for transport. (2) Shall assure that the transpor-
(a) A general license is issued to any tation is in accordance with the appli-
person to possess formula quantities of cable physical protection requirements
strategic special nuclear material of of §§ 73.20, 73.25, 73.26, 73.27 and 73.70(g)
293
§ 70.20b 10 CFR Ch. I (1–1–11 Edition)
of this chapter and the applicable ap- ment enters a United States port until
proved transportation security plan. it exits that or another United States
(3) Shall be subject to part 26 and port.
§ 73.80 of this chapter. (d) Persons generally licensed under
(e) Any person who possesses irradi- this section to possess a transient ship-
ated reactor fuel under this general li- ment of special nuclear material of
cense shall: moderate or low strategic significance
(1) Assure or receive certification of the kind and quantity specified in
from the shipper that the transpor- paragraph (a)(2) of this section shall
tation is in accordance with the appli- provide physical protection for that
cable physical protection requirements shipment in accordance with or equiva-
of § 73.37 of this chapter; and lent to § 73.67 of this chapter and shall
(2) Comply with the reporting re- comply with the requirements of
quirements of § 73.71 of this chapter. § 73.71(b) of this chapter.
[44 FR 26851, May 8, 1979, as amended at 44 (e) Persons generally licensed under
FR 68186, Nov. 28, 1979; 46 FR 12696, Feb. 18, this section to possess a transient ship-
1981; 47 FR 30458, July 14, 1982; 53 FR 31682, ment of irradiated reactor fuel of the
Aug. 19, 1988; 58 FR 7737, Feb. 9, 1993; 58 FR kind and quantity specified in para-
31471, June 3, 1993; 67 FR 78142, Dec. 23, 2002; graph (a)(3) of this section shall pro-
72 FR 35145, June 27, 2007] vide physical protection for that ship-
ment in accordance with or equivalent
§ 70.20b General license for carriers of
transient shipments of formula to § 73.37 of this chapter and shall com-
quantities of strategic special nu- ply with the requirements of § 73.71(b)
clear material, special nuclear ma- of this chapter.
terial of moderate strategic signifi- (f)(1) Persons generally licensed
cance, special nuclear material of under this section, who plan to carry
low strategic significance, and irra- transient shipments with scheduled
diated reactor fuel. stops at United States ports, shall no-
(a) A general license is hereby issued tify in writing the Director, Division of
to any person to possess transient ship- Security Policy, Office of Nuclear Se-
ments of the following kinds and quan- curity and Incident Response, using an
tities of special nuclear material: appropriate method listed in § 70.5(a).
(1) A formula quantity of special nu- Classified notifications shall be sent to
clear material of the types and quan- the NRC headquarters classified mail-
tities subject to the requirements of ing address listed in appendix A to part
§§ 73.20, 73.25, 73.26, and 73.27 of this 73 of this chapter.
chapter. (2) A person generally licensed under
(2) Special nuclear material of mod- this section shall assure that:
erate and low strategic significance of (i) The notification will be received
the types and quantities subject to the at least 10 days before transport of the
requirements of § 73.67 of this chapter. shipment commences at the shipping
(3) Irradiated reactor fuel of the type facility;
and quantity subject to the require- (ii) The NRC Headquarters Oper-
ments of § 73.37 of this chapter. ations Center shall be notified by tele-
(b) Persons generally licensed under phone at least 2 days before commence-
this section are exempt from the re- ment of the shipment at the numbers
quirements of parts 19 and 20 of this listed in appendix A to part 73 of this
chapter and the requirements of this chapter. Classified notifications shall
part, except §§ 70.32 (a) and (b), 70.52, be made by secure telephone.
70.55, 70.91, 70.81, and 70.82. (iii) The NRC Headquarters Oper-
(c) Persons generally licensed under ations Center shall be notified by tele-
this section to possess a transient ship- phone of schedule changes greater than
ment of special nuclear material of the ±6 hours at the numbers listed in ap-
kind and quantity specified in para- pendix A to part 73 of this chapter.
graph (a)(1) of this section shall pro- Classified notifications shall be made
vide physical protection for that ship- by secure telephone.
ment in accordance with or equivalent (3) Persons who are generally li-
to §§ 73.20(a), 73.20(b), 73.25, and 73.71(b) censed under paragraph (a)(1) of this
of this chapter from the time a ship- section must include the information
294
listed in paragraphs (f)(3)(i) through (3) In the case of persons generally li-
(ix) of this section. Persons who are censed under paragraph (a)(2) of this
generally licensed under § 70.20b(a)(2) section, arrange for the shipment to be
and § 70.20b(a)(3) must include the in- protected as required in § 73.67(e) of this
formation listed in paragraphs (f)(3) (i) chapter.
through (viii) of this section. (4) In the case of persons generally li-
(i) Location of all scheduled stops in censed under paragraph (a)(3) of this
United States territory; section, arrange for the shipment to be
(ii) Arrival and departure times for protected as required in § 73.37(e) of this
all scheduled stops in United States chapter.
territory; (5) Implement these arrangements
(iii) The type of transport vehicle; within a reasonable time after the ar-
rival of the shipment at a United
(iv) A physical description of the
States port to remain in effect until
shipment (elements, isotopes, and en-
the shipment exits that or another
richments);
United States port.
(v) The number and types of con-
tainers; [52 FR 9652, Mar. 26, 1987, as amended at 60
FR 24552, May 9, 1995; 67 FR 3585, Jan. 25,
(vi) The name and telephone number
2002; 68 FR 14529, Mar. 26, 2003; 68 FR 23575,
of the carrier’s representative at each May 5, 2003; 68 FR 58817, Oct. 10, 2003; 72 FR
stopover location in United States ter- 35145, June 27, 2007; 74 FR 62683, Dec. 1, 2009]
ritory;
(vii) The estimated time and date Subpart D—License Applications
that shipment will commence and that
each country (other than the United § 70.21 Filing.
States) along the route is scheduled to
(a)(1) A person may apply for a li-
be entered;
cense to possess and use special nuclear
(viii) For shipments between coun- material in a plutonium processing or
tries that are not party to the Conven- fuel fabrication plant, or for a uranium
tion on the Physical Protection of Nu- enrichment facility license, by filing
clear Material, provide assurances, as the application with the Director of
far as is practicable, that this nuclear the NRC’s Office of Nuclear Material
material will be protected during inter- Safety and Safeguards in accordance
national transport at levels described with the instructions in § 70.5(a). If the
in Annex I to that Convention (see ap- application is on paper or CD-ROM,
pendices E and F of part 73 of this only one copy need be provided. If the
chapter); and application is to be submitted elec-
(ix) A physical protection plan for tronically, see guidance for electronic
implementing the requirement of submissions to the Commission.
§ 70.20b(c), which will include the use of (2) A person may apply for any other
armed personnel to protect the ship- license issued under this part, by filing
ment during the time the shipment is the application in accordance with the
in a United States port. instructions in § 70.5(a). If the applica-
(g) Persons generally licensed under tion is on paper, only one copy need be
this section making unscheduled stops provided. If the application is to be
at United States ports, immediately submitted electronically, see guidance
after the decision to make an unsched- for electronic submissions to the Com-
uled stop, shall: mission.
(1) Provide to the Director, Division (3) Information contained in previous
of Security Policy, Office of Security applications, statements, or reports
Policy and Incident Response, the in- filed with the Commission may be in-
formation required under paragraph (f) corporated by reference if the ref-
of this section. erences are clear and specific.
(2) In the case of persons generally li- (b) An application for license filed
censed under paragraph (a)(1) of this pursuant to the regulations in this part
section, arrange for local law enforce- will be considered also as an applica-
ment authorities or trained and quali- tion for licenses authorizing other ac-
fied private guards to protect the ship- tivities for which licenses are required
ment during the stop. by the Act, provided the application
295
§ 70.22 10 CFR Ch. I (1–1–11 Edition)
specifies the additional activities for DOC/NRC Form AP–1 and associated
which licenses are requested and com- forms; and
plies with regulations of the Commis- (3) Shall permit verification thereof
sion as to applications for such li- by the International Atomic Energy
censes. Agency (IAEA) and take other action
(c) Any application which contains as necessary to implement the US/
Restricted Data shall be prepared in IAEA Safeguards Agreement, as de-
such manner that all Restricted Data scribed in Part 75 of this chapter.
are separated from the unclassified in- (h) A license application for a ura-
formation. nium enrichment facility must be ac-
(d) Applications and documents sub- companied by an Environmental Re-
mitted to the Commission in connec- port required under subpart A of part
tion with applications may be made 51 of this chapter.
available for public inspection in ac-
cordance with the provisions of the 1122, Feb. 21, 1958; 31 FR 4670, Mar. 19, 1966; 34
regulations contained in part 2 of this FR 19546, Dec. 11, 1969; 36 FR 146, Jan. 6, 1971;
chapter. 37 FR 5749, Mar. 21, 1972; 49 FR 9406, Mar. 12,
(e) Each application for a special nu- 1984; 49 FR 19628 and 19632, May 9, 1984; 49 FR
clear material license, other than a li- 21699, May 23, 1984; 57 FR 18392, Apr. 30, 1992;
cense exempted from part 170 of this 68 FR 58817, Oct. 10, 2003; 73 FR 78606, Dec. 23,
chapter, shall be accompanied by the 2008]
fee prescribed in § 170.31 of this chapter.
§ 70.22 Contents of applications.
No fee will be required to accompany
an application for renewal or amend- (a) Each application for a license
ment of a license, except as provided in shall contain the following informa-
§ 170.31 of this chapter. tion:
(f) An application for a license to (1) The full name, address, age (if an
possess and use special nuclear mate- individual), and citizenship of the ap-
rial for processing and fuel fabrication, plicant and the names and addresses of
scrap recovery or conversion of ura- three personal references. If the appli-
nium hexafluoride, or for the conduct cant is a corporation or other entity, it
of any other activity which the Com- shall indicate the State where it was
mission has determined pursuant to incorporated or organized, the location
subpart A of part 51 of this chapter will of the principal office, the names, ad-
significantly affect the quality of the dresses, and citizenship of its principal
environment shall be filed at least 9 officers, and shall include information
months prior to commencement of con- known to the applicant concerning the
struction of the plant or facility in control or ownership, if any, exercised
which the activity will be conducted, over the applicant by any alien, foreign
and shall be accompanied by an Envi- corporation, or foreign government;
ronmental Report required under sub- (2) The activity for which the special
part A of part 51 of this chapter. nuclear material is requested, or in
(g)(1) In response to a written request which special nuclear material will be
by the Commission, each applicant for produced, the place at which the activ-
a construction authorization or license ity is to be performed and the general
and each recipient of a construction plan for carrying out the activity;
authorization or a license to possess (3) The period of time for which the
and use special nuclear material shall license is requested;
submit facility information, as de- (4) The name, amount, and specifica-
scribed in § 75.10 of this chapter, on tions (including the chemical and phys-
Form N–71 and associated forms and ical form and, where applicable, iso-
site information on DOC/NRC Form topic content) of the special nuclear
AP–A and associated forms; material the applicant proposes to use
(2) As required by the Additional Pro- or produce;
tocol, applicants and licensees speci- (5) [Reserved]
fied in paragraph (a) of this section (6) The technical qualifications, in-
shall submit location information de- cluding training and experience of the
scribed in § 75.11 of this chapter on applicant and members of his staff to
296
engage in the proposed activities in ac- or 74.51 of this chapter, as applicable,

cordance with the regulations in this will be accomplished.
chapter; (c) [Reserved]
(7) A description of equipment and fa- (d) The Commission may at any time
cilities which will be used by the appli- after the filing of the original applica-
cant to protect health and minimize tion, and before the expiration of the
danger to life or property (such as han- license, require further statements in
dling devices, working areas, shields, order to enable the Commission to de-
measuring and monitoring instru- termine whether the application should
ments, devices for the disposal of ra- be granted or denied or whether a li-
dioactive effluents and wastes, storage cense should be modified or revoked.
facilities, criticality accident alarm All applications and statements shall
systems, etc.); be signed by the applicant or licensee
(8) Proposed procedures to protect or a corporate officer thereof.
health and minimize danger to life or (e) Each application and statement
property (such as procedures to avoid shall contain complete and accurate
accidental criticality, procedures for disclosure as to all matters and things
personnel monitoring and waste dis- required to be disclosed.
posal, post-criticality accident emer- (f) Each application for a license to
gency procedures, etc.). possess and use special nuclear mate-
NOTE: Where the nature of the proposed ac- rial in a plutonium processing and fuel
tivities is such as to require consideration of fabrication plant shall contain, in addi-
the applicant’s financial qualifications to en- tion to the other information required
gage in the proposed activities in accordance by this section, a description of the
with the regulations in this chapter, the plantsite, a description and safety as-
Commission may request the applicant to sessment of the design bases of the
submit information with respect to his fi- principal structure, systems, and com-
nancial qualifications.
ponents of the plant, including provi-
(9) As provided by § 70.25, certain ap- sions for protection against natural
plications for specific licenses filed phenomena, and a description of the
under this part must contain a pro- quality assurance program to be ap-
posed decommissioning funding plan or plied to the design, fabrication, con-
a certification of financial assurance struction, testing and operation of the
for decommissioning. In the case of re- structures, systems, and components of
newal applications submitted on or be- the plant. 2
fore July 27, 1990, this submittal may (g)(1) Each application for a license
follow the renewal application but that would authorize the transport or
must be submitted on or before July 27, delivery to a carrier for transport of
1990. special nuclear material in an amount
(b) Each application for a license to specified in § 73.1(b)(2) of this chapter
possess special nuclear material, to must include (i) a description of the
possess equipment capable of enriching plan for physical protection of special
uranium, to operate an uranium en- nuclear material in transit in accord-
richment facility, to possess and use at ance with §§ 73.20, 73.25, 73.26, 73.27, and
any one time and location special nu- 73.67 (a), (e), and (g) for 10 kg or more
clear material in a quantity exceeding of special nuclear material of low stra-
one effective kilogram, except for ap- tegic significance, and § 73.70(g) of this
plications for use as sealed sources and chapter including, as appropriate, a
for those uses involved in the operation plan for the selection, qualification,
of a nuclear reactor licensed pursuant and training of armed escorts, or the
to part 50 of this chapter and those in- specification and design of a specially
volved in a waste disposal operation, designed truck or trailer, and (ii) a li-
must contain a full description of the censee safeguards contingency plan or
applicant’s program for control and ac- response procedures, as appropriate, for
counting of such special nuclear mate-
rial or enrichment equipment that will
2 The description of the quality assurance

be in the applicant’s possession under program should include a discussion of how
license to show how compliance with the criteria in appendix B of part 50 of this
the requirements of §§ 74.31, 74.33, 74.41, chapter will be met.
297
§ 70.22 10 CFR Ch. I (1–1–11 Edition)
dealing with threats, thefts, and radio- required, uranium hexafluoride in ex-
logical sabotage relating to the special cess of 50 kilograms in a single con-
nuclear material in transit. tainer or 1000 kilograms total, or in ex-
(2) Each application for such a li- cess of 2 curies of plutonium in un-
cense involving formula quantities of sealed form or on foils or plated
strategic special nuclear material must sources, must contain either:
include the first four categories of in- (i) An evaluation showing that the
formation contained in the applicant’s maximum dose to a member of the pub-
safeguards contingency plan. (The first lic offsite due to a release of radio-
four categories of information, as set active materials would not exceed 1
forth in appendix C to part 73 of this
rem effective dose equivalent or an in-
chapter, are Background, Generic Plan-
take of 2 milligrams of soluble ura-
ning Base, Licensee Planning Base, and
Responsibility Matrix. The fifth cat- nium, or
egory of information, Procedures, does (ii) An emergency plan for responding
not have to be submitted for approval.) to the radiological hazards of an acci-
(3) The licensee shall retain this dental release of special nuclear mate-
discription of the plan for physical pro- rial and to any associated chemical
tection of special nuclear material in hazards directly incident thereto.
transit and the safeguards contingency (2) One or more of the following fac-
plan or safeguards response procedures tors may be used to support an evalua-
and each change to the plan or proce- tion submitted under paragraph (i)(1)(i)
dures as a record for a period of three of this section:
years following the date on which the (i) The radioactive material is phys-
licensee last possessed the appropriate ically separated so that only a portion
type and quantity of special nuclear could be involved in an accident;
material requiring this record under (ii) All or part of the radioactive ma-
each license. terial is not subject to release during
(h)(1) Each application for a license an accident or to criticality because of
to possess or use, at any site or contig-
the way it is stored or packaged;
uous sites subject to licensee control, a
formula quantity of strategic special (iii) In the case of fires or explosions,
nuclear material, as defined in § 70.4, the release fraction would be lower
other than a license for possession or than 0.001 due to the chemical or phys-
use of this material in the operation of ical form of the material;
a nuclear reactor licensed pursuant to (iv) The solubility of the material re-
part 50 of this chapter, must include a leased would reduce the dose received;
physical security plan. The plan must (v) The facility design or engineered
describe how the applicant will meet safety features in the facility would
the applicable requirements of part 73 cause the release fraction to be lower
of this chapter in the conduct of the than 0.001;
activity to be licensed, including the (vi) Operating restrictions or proce-
identification and description of jobs dures would prevent a release large
as required by 10 CFR 11.11(a). The plan enough to cause a member of the public
must list tests, inspections, audits, and offsite to receive a dose exceeding 1
other means to be used to demonstrate rem effective dose equivalent; or
compliance with the requirements of 10 (vii) Other factors appropriate for the
CFR parts 11 and 73, if applicable. specific facility.
(2) The licensee shall retain a copy of
(3) Emergency plans submitted under
this physical security plan and each
change to the plan as a record for a pe- paragraph (i)(1)(ii) of this section must
riod of three years following the date include the following information:
on which the licensee last possessed (i) Facility description. A brief descrip-
the appropriate type and quantity of tion of the licensee’s facility and area
special nuclear material requiring this near the site.
record under each license. (ii) Types of accidents. An identifica-
(i)(1) Each application to possess en- tion of each type of radioactive mate-
riched uranium or plutonium for which rials accident for which protective ac-
a criticality accident alarm system is tions may be needed.
298
(iii) Classification of accidents. A clas- (x) Training. A brief description of

sification system for classifying acci- the frequency, performance objectives
dents as alerts or site area emer- and plans for the training that the li-
gencies. censee will provide workers on how to
(iv) Detection of accidents. Identifica- respond to an emergency including any
tion of the means of detecting each special instructions and orientation
type of accident in a timely manner. tours the licensee would offer to fire,
(v) Mitigation of consequences. A brief police, medical and other emergency
description of the means and equip- personnel. The training shall famil-
ment for mitigating the consequences iarize personnel with site-specific
of each type of accident, including emergency procedures. Also, the train-
those provided to protect workers on- ing shall thoroughly prepare site per-
site, and a description of the program sonnel for their responsibilities in the
for maintaining the equipment. event of accident scenarios postulated
(vi) Assessment of releases. A brief de-
as most probable for the specific site,
scription of the methods and equip-
including the use of team training for
ment to assess releases of radioactive
such scenarios.
materials.
(vii) Responsibilities. A brief descrip- (xi) Safe shutdown. A brief descrip-
tion of the responsibilities of licensee tion of the means of restoring the facil-
personnel should an accident occur, in- ity to a safe condition after an acci-
cluding identification of personnel re- dent.
sponsible for promptly notifying offsite (xii) Exercises. Provisions for con-
response organizations and the NRC; ducting quarterly communications
also responsibilities for developing, checks with offsite response organiza-
maintaining, and updating the plan. tions and biennial onsite exercises to
(viii) Notification and coordination. A test response to simulated emer-
commitment to and a brief description gencies. Quarterly communications
of the means to promptly notify offsite checks with offsite response organiza-
response organizations and request off- tions must include the check and up-
site assistance, including medical as- date of all necessary telephone num-
sistance for the treatment of contami- bers. The licensee shall invite offsite
nated injured onsite workers when ap- response organizations to participate
propriate. A control point must be es- in the biennial exercises. Participation
tablished. The notification and coordi- of offsite response organizations in bi-
nation must be planned so that un- ennial exercises although rec-
availability of some personnel, parts of ommended is not required. Exercises
the facility, and some equipment will must use accident scenarios postulated
not prevent the notification and co- as most probable for the specific site
ordination. The licensee shall also and the scenarios shall not be known
commit to notify the NRC operations to most exercise participants. The li-
center immediately after notification censee shall critique each exercise
of the appropriate offsite response or- using individuals not having direct im-
ganizations and not later than one plementation responsibility for the
hour after the licensee declares an plan. Critiques of exercises must evalu-
emergency. 1 ate the appropriateness of the plan,
(ix) Information to be communicated. emergency procedures, facilities,
A brief description of the types of in- equipment, training of personnel, and
formation on facility status, radio- overall effectiveness of the response.
active releases, and recommended pro- Deficiencies found by the critiques
tective actions, if necessary, to be must be corrected.
given to offsite response organizations
(xiii) Hazardous chemicals. A certifi-
and to the NRC.
cation that the applicant has met its
1 These
responsibilities under the Emergency
reporting requirements do not
Planning and Community Right-to-
superceed or release licensees of complying
Know Act of 1986, Title III, Pub. L. 99–
with the requirements under the Emergency

Planning and Community Right-to-Know 499, if applicable to the applicant’s ac-
Act of 1986, Title III, Pub. L. 99–499 or other tivities at the proposed place of use of
state or federal reporting requirements. the special nuclear material.
299
§ 70.23 10 CFR Ch. I (1–1–11 Edition)
(4) The licensee shall allow the off- ation of a nuclear power reactor li-
site response organizations expected to censed pursuant to part 50 of this chap-
respond in case of an accident 60 days ter, must include a physical security
to comment on the licensee’s emer- plan that demonstrates how the appli-
gency plan before submitting it to cant plans to meet the requirements of
NRC. The licensee shall provide any paragraphs (d), (e), (f), and (g) of § 73.67
comments received within the 60 days of this chapter, as appropriate. The li-
to the NRC with the emergency plan. censee shall retain a copy of this phys-
(j)(1) Each application for a license to ical security plan as a record for the
possess or use at any site or contiguous period during which the licensee pos-
sites subject to control by the licensee sesses the appropriate type and quan-
uranium-235 (contained in uranium entity of special nuclear material under
riched to 20 percent or more in the ura- each license, and if any portion of the
nium-235 isotope), uranium-233, or plu- plan is superseded, retain that super-
tonium alone or in any combination in seded portion of the plan for 3 years
a quantity of 5,000 grams or more com- after the effective date of the change.
puted by the formula, grams = (grams (l) Each applicant for a license shall
contained U–235) + 2.5 (grams U–233 + protect Safeguards Information against
grams plutonium) other than a license unauthorized disclosure in accordance
for possession or use of this material in with the requirements in § 73.21 and the
the operation of a nuclear reactor li- requirements of § 73.22, or 73.23 of this
censed pursuant to part 50 of this chap- chapter, as applicable, and shall pro-
ter, must include a licensee safeguards tect classified information in accord-
contingency plan for dealing with ance with the requirements of parts 25
threats, thefts, and radiological sabo- and 95 of this chapter, as applicable.
tage, as defined in part 73 of this chap- (m) Each application for a license to
ter, relating to nuclear facilities li- possess equipment capable of enriching
censed under part 50 of this chapter or uranium or operate an enrichment fa-
to the possession of special nuclear ma- cility, and produce, possess, or use
terial licensed under this part. more than one effective kilogram of
(2) Each application for such a li- special nuclear material at any site or
cense must include the first four cat- contiguous sites subject to control by
egories of information contained in the the applicant, must contain a full de-
applicant’s safeguards contingency scription of the applicant’s security
plan. (The first four categories of infor- program to protect against theft, and
mation, as set forth in appendix C to to protect against unauthorized view-
part 73 of this chapter, are Back- ing of classified enrichment equipment,
ground, Generic Planning Base, Li- and unauthorized disclosure of classi-
censee Planning Base, and Responsi- fied matter in accordance with the re-
bility Matrix.) The fifth category of in- quirements of 10 CFR parts 25 and 95.
formation, Procedures, does not have (n) A license application that in-
to be submitted for approval. volves the use of special nuclear mate-
(3) The licensee shall retain a copy of rial in a uranium enrichment facility
this safeguards contingency plan as a must include the applicant’s provisions
record until the Commission termi- for liability insurance.
nates each license obtained by this ap- [21 FR 764, Feb. 3, 1956]
plication or any application for re-
EDITORIAL NOTE: For FEDERAL REGISTER ci-
newal of a license and retain each tations affecting § 70.22, see the List of CFR
change to the plan as a record for three Sections Affected, which appears in the
years after the date of the change. Finding Aids section of the printed volume
(k) Each application for a license to and at www.fdsys.gov.
possess or use at any site or contiguous
sites subject to licensee control, spe- § 70.23 Requirements for the approval
cial nuclear material of moderate stra- of applications.
tegic significance or 10 kg or more of (a) An application for a license will
special nuclear material of low stra- be approved if the Commission deter-
tegic significance as defined under mines that:

§ 70.4, other than a license for posses- (1) The special nuclear material is to
sion or use of this material in the oper- be used for the conduct of research or
300
development activities of a type speci- hexafluoride, uranium enrichment fa-

fied in section 31 of the Act, 1 in activi- cility construction and operation, or
ties licensed by the Commission under any other activity which the Commis-
section 103 or 104 of the Act, or for such sion determines will significantly af-
other uses as the Commission deter- fect the quality of the environment,
mines to be appropriate to carry out the Director of Nuclear Material Safe-
the purposes of the Act; ty and Safeguards or his designee, be-
(2) The applicant is qualified by rea- fore commencement of construction of
son of training and experience to use the plant or facility in which the activ-
the material for the purpose requested ity will be conducted, on the basis of
in accordance with the regulations in information filed and evaluations made
this chapter; pursuant to subpart A of part 51 of this
(3) The applicant’s proposed equip- chapter, has concluded, after weighing
ment and facilities are adequate to the environmental, economic, tech-
protect health and minimize danger to nical, and other benefits against envi-
life or property; ronmental costs and considering avail-
(4) The applicant’s proposed proce- able alternatives, that the action
dures to protect health and to mini-
called for is the issuance of the pro-
mize danger to life or property are ade-
posed license, with any appropriate
quate;
conditions to protect environmental
(5) Where the nature of the proposed
values. Commencement of construction
activities is such as to require consid-
eration by the Commission, that the prior to this conclusion is grounds for
applicant appears to be financially denial to possess and use special nu-
qualified to engage in the proposed ac- clear material in the plant or facility.
tivities in accordance with the regula- As used in this paragraph, the term
tions in this part; ‘‘commencement of construction’’
(6) Where the applicant is required to means any clearing of land, excavation,
submit a summary description of the or other substantial action that would
fundamental material controls pro- adversely affect the environment of a
vided in his procedures for the control site. The term does not mean site ex-
of and accounting for special nuclear ploration, roads necessary for site ex-
material pursuant to § 70.22 (b), the ap- ploration, borings to determine founda-
plicant’s proposed controls are ade- tion conditions, or other
quate; preconstruction monitoring or testing
(7) Where the proposed activity is to establish background information
processing and fuel fabrication, scrap related to the suitability of the site or
recovery, conversion of uranium the protection of environmental val-
ues.
1 The types of research and development (8) Where the proposed activity is the
activities specified in section 31 are those re- operation of a plutonium processing
lating to: and fuel fabrication plant, construction
(1) Nuclear processes; of the principal structures, systems,
(2) The theory and production of atomic
and components approved pursuant to
energy, including processes, materials, and
devices related to such production; paragraph (b) of this section has been
(3) Utilization of special nuclear material completed in accordance with the ap-
and radioactive material for medical, bio- plication;
logical, agricultural, health or military pur- (9) Where the applicant is required to
poses; submit a plan for physical protection
(4) Utilization of special nuclear material,
atomic energy, and radioactive material and
of special nuclear material in transit
processes entailed in the utilization or pro- pursuant to § 70.22(g), of this chapter,
duction of atomic energy or such material the applicant’s plan is adequate;
for all other purposes, including industrial (10) Where the applicant is required
use, the generation of usable energy, and the to submit a physical security plan pur-
demonstration of the practical value of utili- suant to § 70.22(h), the applicant’s pro-
zation or production facilities for industrial
posed plan is adequate;
or commercial purposes; and

(5) The protection of health and the pro- (11) Where the proposed activity is
motion of safety during research and produc- processing and fuel fabrication, scrap
tion activities. recovery, conversion of uranium
301
§ 70.23a 10 CFR Ch. I (1–1–11 Edition)
hexafluoride, or involves the use of spe- uranium–235, 520 grams of uranium–233,

cial nuclear material in a uranium en- 450 grams of plutonium, 1,500 grams of
richment facility, the applicant’s pro- contained uranium–235 if no uranium
posed emergency plan is adequate. enriched to more than 4 percent by
(12) Where the proposed activity is weight of uranium–235 is present, 450
use of special nuclear material in a grams of any combination thereof, or
uranium enrichment facility, the appli- one-half such quantities if massive
cable provisions of part 140 of this moderators or reflectors made of
chapter have been satisfied. graphite, heavy water or beryllium
(b) The Commission will approve con- may be present, shall maintain in each
struction of the principal structures, area in which such licensed special nu-
systems, and components of a pluto- clear material is handled, used, or
nium processing and fuel fabrication stored, a monitoring system meeting
plant on the basis of information filed the requirements of either paragraph
pursuant to § 70.22(f) when the Commis-
(a)(1) or (a)(2), as appropriate, and
sion has determined that the design
using gamma- or neutron-sensitive ra-
bases of the principal structures, sys-
diation detectors which will energize
tems, and components, and the quality
assurance program provide reasonable clearly audible alarm signals if acci-
assurance of protection against natural dental criticality occurs. This section
phenomena and the consequences of po- is not intended to require underwater
tential accidents. 3 Failure to obtain monitoring when special nuclear mate-
Commission approval prior to begin- rial is handled or stored beneath water
ning of such construction may be shielding or to require monitoring sys-
grounds for denial of a license to pos- tems when special nuclear material is
sess and use special nuclear material in being transported when packaged in ac-
a plutonium processing and fuel fab- cordance with the requirements of part
rication plant. 71 of this chapter.
(1) The monitoring system shall be
[36 FR 17574, Sept. 2, 1971, as amended at 37
FR 5749, Mar. 21, 1972; 38 FR 30534, 30538, Nov. capable of detecting a criticality that
6, 1973; 39 FR 26286, July 18, 1974; 42 FR 17126, produces an absorbed dose in soft tis-
Mar. 31, 1977; 43 FR 6924, Feb. 17, 1978; 49 FR sue of 20 rads of combined neutron and
9406, Mar. 12, 1984; 54 FR 14064, Apr. 7, 1989; 57 gamma radiation at an unshielded dis-
FR 18392, Apr. 30, 1992; 67 FR 78142, Dec. 23, tance of 2 meters from the reacting
2002] material within one minute. Coverage
§ 70.23a Hearing required for uranium of all areas shall be provided by two de-
enrichment facility. tectors.
(2) Persons licensed prior to Decem-
The Commission will hold a hearing
under 10 CFR part 2, subparts A, C, G, ber 6, 1974, to possess special nuclear
and I, on each application for issuance material subject to this section may
of a license for construction and oper- maintain a monitoring system capable
ation of a uranium enrichment facility. of detecting a criticality which gen-
The Commission will publish public no- erates radiation levels of 300 rems per
tice of the hearing in the FEDERAL hour one foot from the source of the ra-
REGISTER at least thirty (30) days be- diation. The monitoring devices in the
fore the hearing. system shall have a preset alarm point
of not less than 5 millirems per hour
[69 FR 2280, Jan. 14, 2004]
(in order to avoid false alarms) nor
§ 70.24 Criticality accident require- more than 20 millirems per hour. In no
ments. event may any such device be farther
than 120 feet from the special nuclear
(a) Each licensee authorized to pos-
sess special nuclear material in a quan- material being handled, used, or stored;
tity exceeding 700 grams of contained lesser distances may be necessary to
meet the requirements of this para-
graph (a)(2) on account of intervening
3 The criteria in appendix B of part 50 of
this chapter will be used by the Commission shielding or other pertinent factors.
in determining the adequacy of the quality (3) The licensee shall maintain emer-
assurance program. gency procedures for each area in
302
which this licensed special nuclear ma- licensee from complying with any of
terial is handled, used, or stored to en- the requirements in § 50.68, but shall be
sure that all personnel withdraw to an ineffective so long as the licensee
area of safety upon the sounding of the elects to comply with § 50.68.
alarm. These procedures must include [39 FR 39021, Nov. 5, 1974, as amended at 41
the conduct of drills to familiarize per- FR 31522, July 29, 1976; 53 FR 19252, May 27,
sonnel with the evacuation plan, and 1988; 62 FR 63828, Dec. 3, 1997; 63 FR 9403, Feb.
designation of responsible individuals 25, 1998; 63 FR 63130, Nov. 12, 1998]
for determining the cause of the alarm,
and placement of radiation survey in- § 70.25 Financial assurance and rec-
struments in accessible locations for ordkeeping for decommissioning.
use in such an emergency. The licensee (a) Each applicant for a specific li-
shall retain a copy of current proce- cense of the types described in para-
dures for each area as a record for as graphs (a) (1) and (2) of this section
long as licensed special nuclear mate- shall submit a decommissioning fund-
rial is handled, used, or stored in the ing plan as described in paragraph (e)
area. The licensee shall retain any su- of this section.
perseded portion of the procedures for (1) A specific license for a uranium
three years after the portion is super- enrichment facility;
seded. (2) A specific license authorizing the
(b) Each licensee authorized to pos- possession and use of unsealed special
sess special nuclear material in quan- nuclear material in quantities exceed-
tities in excess of those specified in ing 105 times the applicable quantities
paragraph (a) shall: set forth in appendix B to part 30. A de-
(1) Provide the means for identifying commissioning funding plan must also
quickly which individuals have re- be submitted when a combination of
ceived doses of 10 rads or more. isotopes is involved if R divided by 105
(2) Maintain facilities and supplies at is greater than 1 (unity rule), where R
the site for decontamination of per- is the sum of the ratios of the quantity
sonnel, arrangements for the services of each isotope to the applicable value
of a physician and other medical per- in appendix B to part 30.
sonnel qualified to handle radiation (b) Each applicant for a specific li-
emergencies, arrangements for trans- cense authorizing possession and use of
portation of injured or contaminated unsealed special nuclear material in
individuals to treatment facilities, and quantities specified in paragraph (d) of
arrangements for treatment of individ- this section shall either—
uals at treatment facilities outside the (1) Submit a decommissioning fund-
site boundary. ing plan as described in paragraph (e)
(c) Holders of licenses for construc- of this section; or
tion or operation of a nuclear reactor (2) Submit a certification that finan-
issued pursuant to part 50 of this chap- cial assurance for decommissioning has
ter, except critical assembly reactors, been provided in the amount prescribed
are exempt for the requirements of by paragraph (d) of this section using
paragraph (b) of this section with re- one of the methods described in para-
spect to special nuclear material used graph (f) of this section. For an appli-
or to be used in the reactor. cant, this certification may state that
(d)(1) The requirements in paragraphs the appropriate assurance will be ob-
(a) through (c) of this section do not tained after the application has been
apply to a holder of a construction per- approved and the license issued but be-
mit or operating license for a nuclear fore the receipt of licensed material. If
power reactor issued under part 50 of the applicant defers execution of the fi-
this chapter or a combined license nancial instrument until after the li-
issued under part 52 of this chapter, if cense has been issued, a signed original
the holder complies with the require- of the financial instrument obtained to
ments of paragraph (b) of 10 CFR 50.68. satisfy the requirements of paragraph
(2) An exemption from § 70.24 held by (f) of this section must be submitted to
a licensee who thereafter elects to NRC before receipt of licensed mate-

comply with requirements of paragraph rial. If the applicant does not defer exe-
(b) of 10 CFR 50.68 does not exempt that cution of the financial instrument, the
303
§ 70.25 10 CFR Ch. I (1–1–11 Edition)
applicant shall submit to NRC, as part

Greater than 104 but less than
of the certification, a signed original of
or equal to 105 times the ap-
the financial instrument obtained to
plicable quantities of appen-
satisfy the requirements of paragraph
dix B to part 30. (For a com-
(f) of this section.
bination of isotopes, if R, as
(c)(1) Each holder of a specific license defined in § 70.25(a), divided
issued on or after July 27, 1990, which is by 104 is greater than 1 but
of a type described in paragraph (a) or R divided by 105 is less than
(b) of this section, shall provide finan- or equal to 1.) ....................... $1,125,000
cial assurance for decommissioning in Greater than 103 but less than
accordance with the criteria set forth or equal to 104 times the ap-
in this section. plicable quantities of appen-
(2) Each holder of a specific license dix B to part 30. (For a com-
issued before July 27, 1990, and of a bination of isotopes, if R, as
type described in paragraph (a) of this defined in § 70.25(a), divided
section shall submit a decommis- by 103 is greater than 1 but
sioning funding plan as described in R divided by 104 is less than
paragraph (e) of this section or a cer- or equal to 1.) ....................... $225,000
tification of financial assurance for de-
commissioning in an amount at least (e) Each decommissioning funding
equal to $1,125,000 in accordance with plan must contain a cost estimate for
the criteria set forth in this section. If decommissioning and a description of
the licensee submits the certification the method of assuring funds for de-
of financial assurance rather than a decommissioning from paragraph (f) of
commissioning funding plan, the li- this section, including means for ad-
censee shall include a decommissioning justing cost estimates and associated
funding plan in any application for li- funding levels periodically over the life
cense renewal. of the facility. Cost estimates must be
(3) Each holder of a specific license adjusted at intervals not to exceed 3
issued before July 27, 1990, and of a years. The decommissioning funding
type described in paragraph (b) of this plan must also contain a certification
section shall submit, on or before July by the licensee that financial assur-
27, 1990, a decommissioning funding ance for decommissioning has been
plan, described in paragraph (e) of this provided in the amount of the cost esti-
section, or a certification of financial mate for decommissioning and a signed
assurance for decommissioning in ac- original of the financial instrument ob-
cordance with the criteria set forth in tained to satisfy the requirements of
this section. paragraph (f) of this section.
(4) Any licensee who has submitted (f) Financial assurance for decommis-
an application before July 27, 1990, for sioning must be provided by one or
renewal of license in accordance with more of the following methods:
§ 70.33 shall provide financial assurance (1) Prepayment. Prepayment is the
for decommissioning in accordance deposit prior to the start of operation
with paragraphs (a) and (b) of this sec- into an account segregated from li-
tion. This assurance must be submitted censee assets and outside the licensee’s
when this rule becomes effective No- administrative control of cash or liquid
vember 24, 1995. assets such that the amount of funds
(d) Table of required amounts of fi- would be sufficient to pay decommis-
nancial assurance for decommissioning sioning costs. Prepayment may be in
by quantity of material. Licensees re- the form of a trust, escrow account,
quired to submit the $1,125,000 amount government fund, certificate of de-
must do so by December 2, 2004. Licens- posit, or deposit of government securi-
ees required to submit the $225,000 ties.
amount must do so by June 2, 2005. Li- (2) A surety method, insurance, or
censees having possession limits ex- other guarantee method. These meth-
ceeding the upper bounds of this table ods guarantee that decommissioning
must base financial assurance on a de- costs will be paid. A surety method
commissioning funding plan. may be in the form of a surety bond,
304
letter of credit, or line of credit. A par- government agency or an entity which

ent company guarantee of funds for de- has the authority to act as a trustee
commissioning costs based on a finan- and whose trust operations are regu-
cial test may be used if the guarantee lated and examined by a Federal or
and test are as contained in appendix A State agency.
to part 30. A parent company guar- (iii) The surety method or insurance
antee may not be used in combination must remain in effect until the Com-
with other financial methods to satisfy mission has terminated the license.
the requirements of this section. For (3) An external sinking fund in which
commercial corporations that issue deposits are made at least annually,
bonds, a guarantee of funds by the ap- coupled with a surety method or insur-
plicant or licensee for decommis- ance, the value of which may decrease
sioning costs based on a financial test by the amount being accumulated in
may be used if the guarantee and test the sinking fund. An external sinking
are as contained in appendix C to part fund is a fund established and main-
30. For commercial companies that do tained by setting aside funds periodi-
not issue bonds, a guarantee of funds cally in an account segregated from li-
by the applicant or licensee for decom- censee assets and outside the
missioning costs may be used if the licenssee’s administrative control in
guarantee and test are as contained in which the total amount of funds would
appendix D to part 30. For nonprofit be sufficient to pay decommissioning
entities, such as colleges, universities, costs at the time termination of oper-
and nonprofit hospitals, a guarantee of ation is expected. An external sinking
funds by the applicant or licensee may fund may be in the form of a trust, es-
be used if the guarantee and test are as crow account, government fund, cer-
contained in appendix E to part 30. A tificate of deposit, or deposit of govern-
guarantee by the applicant or licensee ment securities. The surety or insur-
may not be used in combination with
ance provisions must be as stated in
any other financial methods used to
paragraph (f)(2) of this section.
satisfy the requirements of this section
(4) In the case of Federal, State, or
or in any situation where the applicant
or licensee has a parent company hold- local government licensees, a state-
ing majority control of the voting ment of intent containing a cost esti-
stock of the company. Any surety mate for decommissioning or an
method or insurance used to provide fi- amount based on the Table in para-
nancial assurance for decommissioning graph (d) of this section, and indicating
must contain the following conditions: that funds for decommissioning will be
(i) The surety method or insurance obtained when necessary.
must be open-ended or, if written for a (5) When a governmental entity is as-
specified term, such as five years, must suming custody and ownership of a
be renewed automatically unless 90 site, an arrangement that is deemed
days or more prior to the renewal date, acceptable by such governmental enti-
the issurer notifies the Commission, ty.
the beneficiary, and the licensee of its (g) Each person licensed under this
intention not to renew. The surety part shall keep records of information
method or insurance must also provide important to the decommissioning of a
that the full face amount be paid to the facility in an identified location until
beneficiary automatically prior to the the site is released for unrestricted use.
expiration without proof of forfeiture if If records important to the decommis-
the licensee fails to provide a replace- sioning of a facility are kept for other
ment acceptable to the Commission purposes, reference to these records
within 30 days after receipt of notifica- and their locations may be used. Infor-
tion of cancellation. mation the Commission considers im-
(ii) The surety method or insurance portant to decommissioning consists
must be payable to a trust established of—
for decommissioning costs. The trustee (1) Records of spills or other unusual
and trust must be acceptable to the occurrences involving the spread of

Commission. An acceptable trustee in- contamination in and around the facil-
cludes an appropriate State or Federal ity, equipment, or site. These records
305
§ 70.31 10 CFR Ch. I (1–1–11 Edition)
may be limited to instances when con- if either a funding plan or certification

tamination remains after any cleanup is used.
procedures or when there is reasonable [53 FR 24053, June 27, 1988, as amended at 56
likelihood that contaminants may FR 23474, May 21, 1991; 57 FR 18393, Apr. 30,
have spread to inaccessible areas as in 1992; 58 FR 39634, July 26, 1993; 58 FR 67662,
the case of possible seepage into porous Dec. 22, 1993; 58 FR 68731, Dec. 29, 1993; 59 FR
materials such as concrete. These 1618, Jan. 12, 1994; 60 FR 38239, July 26, 1995;
records must include any known infor- 61 FR 24675, May 16, 1996; 62 FR 39091, July 21,
1997; 63 FR 29544, June 1, 1998; 68 FR 57337,
mation on identification of involved Oct. 3, 2003]
nuclides, quantities, forms, and con-
centrations.
Subpart E—Licenses
(2) As-built drawings and modifica-
tions of structures and equipment in § 70.31 Issuance of licenses.
restricted areas where radioactive ma- (a) Upon a determination that an ap-
terials are used and/or stored and of lo- plication meets the requirements of
cations of possible inaccessible con- the act and of the regulations of the
tamination such as buried pipes which Commission, the Commission will issue
may be subject to contamination. If re- a license in such form and containing
quired drawings are referenced, each such conditions and limitations as it
relevant document need not be indexed deems appropriate or necessary to ef-
individually. If drawings are not avail- fectuate the purposes of the act.
able, the licensee shall substitute ap- (b) [Reserved]
propriate records of available informa- (c) Each license issued to a person for
tion concerning these areas and loca- use of special nuclear material in ac-
tions. tivities in which special nuclear mate-
(3) Except for areas containing only rial will be produced shall (subject to
sealed sources (provided the sources the provisions of § 70.41(b)) be deemed
have not leaked or no contamination to authorize such person to receive
remains after cleanup of any leak), a title to, own, acquire, receive, possess,
list contained in a single document and use, and transfer the special nuclear
updated every 2 years, of the following: material produced in the course of such
(i) All areas designated and formerly authorized activities.
designated as restricted areas as de- (d) No license will be issued by the
fined under 10 CFR 20.1003 (For require- Commission to any person within the
ments prior to January 1, 1994, see 10 United States if the Commission finds
CFR 20.3 as contained in the CFR edi- that the issuance of such license would
be inimical to the common defense and
tion revised as of January 1, 1993.);
security or would constitute an unrea-
(ii) All areas outside of restricted
sonable risk to the health and safety of
areas that require documentation the public.
under § 70.25(g)(1); (e) No license to construct and oper-
(iii) All areas outside of restricted ate a uranium enrichment facility may
areas where current and previous be issued until a hearing pursuant to 10
wastes have been buried as documented CFR part 2, subparts G and I, is com-
under 10 CFR 20.2108; and pleted and decision issued on the appli-
(iv) All areas outside of restricted cation.
areas that contain material such that,
if the license expired, the licensee
2563, Feb. 7, 1967; 32 FR 4056, Mar. 15, 1967; 43
would be required to either decontami- FR 6925, Feb. 17, 1978; 57 FR 18393, Apr. 30,
nate the area to meet the criteria for 1992]
decommissioning in 10 CFR part 20,
subpart E, or apply for approval for dis- § 70.32 Conditions of licenses.
posal under 10 CFR 20.2002. (a) Each license shall contain and be
(4) Records of the cost estimate per- subject to the following conditions:
formed for the decommissioning fund- (1) [Reserved]
ing plan or of the amount certified for (2) No right to the special nuclear
decommissioning, and records of the material shall be conferred by the li-
funding method used for assuring funds cense except as defined by the license;
306
(3) Neither the license nor any right (2) Protect health or to minimize
under the license shall be assigned or danger to life or property;
otherwise transferred in violation of (3) Protect restricted data;
the provisions of the Act; (4) Guard against the loss or diver-
(4) All special nuclear material shall sion of special nuclear material;
be subject to the right of recapture or (5) Require such reports and the
control reserved by section 108 and to keeping of such records, and to provide
all other provisions of the Act; for such inspections, of activities under
(5) No special nuclear material may the license as may be necessary or ap-
be used in any utilization or produc- propriate to effectuate the purposes of
tion facility except in accordance with the act and regulations thereunder.
the provisions of the Act; (c)(1) Each license authorizing the
(6) The licensee shall not use the spe- possession and use at any one time and
cial nuclear material to construct an location of uranium source material at
atomic weapon or any component of an an uranium enrichment facility or spe-
atomic weapon; cial nuclear material in a quantity ex-
(7) Except to the extent that the in- ceeding one effective kilogram, except
demnification and limitation of liabil- for use as sealed sources and those uses
ity provisions of part 140 of this chap- involved in the operation of a nuclear
ter apply, the licensee will hold the reactor licensed pursuant to part 50 of
United States and the Department this chapter and those involved in a
harmless from any damages resulting waste disposal operation, shall contain
from the use or possession of special and be subject to a condition requiring
nuclear material leased from the De- the licensee to maintain and follow:
partment by the licensee; (i) The program for control and ac-
(8) The license shall be subject to and counting of uranium source material at
the licensee shall observe, all applica- an uranium enrichment facility and
ble rules, regulations and orders of the special nuclear material at all applica-
Commission. ble facilities as implemented pursuant
(9)(i) Each licensee shall notify the to § 70.22(b), or §§ 74.31(b), 74.33(b),
appropriate NRC Regional Adminis- 74.41(b), or 74.51(c) of this chapter, as
trator, in writing, immediately fol- appropriate;
lowing the filing of a voluntary or in- (ii) The measurement control pro-
voluntary petition for bankruptcy gram for uranium source material at
under any Chapter of Title 11 (Bank- an uranium enrichment facility and for
ruptcy) of the United States Code by or special nuclear material at all applica-
against: ble facilities as implemented pursuant
(A) The licensee; to §§ 74.31(b), 74.33(b), 74.45(c), or 74.59(e)
(B) An entity (as that term is defined of this chapter, as appropriate; and
in 11 U.S.C. 101(14)) controlling the li- (iii) Other material control proce-
censee or listing the license or licensee dures as the Commission determines to
as property of the estate; or be essential for the safeguarding of
(C) An affiliate (as that term is de- uranium source material at an ura-
fined in 11 U.S.C. 101(a)) of the licensee. nium enrichment facility or of special
(ii) This notification must indicate: nuclear material and providing that
(A) The bankruptcy court in which the licensee shall make no change that
the petition for bankruptcy was filed; would decrease the effectiveness of the
and material control and accounting pro-
(B) The date of the filing of the peti- gram implemented pursuant to
tion. § 70.22(b), or §§ 74.31(b), 74.33(b), 74.41(b),
(b) The Commission may incorporate or 74.51(c) of this chapter, and the
in any license such additional condi- measurement control program imple-
tions and requirements with respect to mented pursuant to §§ 74.31(b), 74.33(b),
the licensee’s ownership, receipt, pos- 74.41(b), or 74.59(e) of this chapter with-
session, use, and transfer of special nu- out the prior approval of the Commis-
clear material as it deems appropriate sion. A licensee desiring to make
or necessary in order to: changes that would decrease the effec-

(1) Promote the common defense and tiveness of its material control and ac-
security; counting program or its measurement
307
§ 70.32 10 CFR Ch. I (1–1–11 Edition)
control program shall submit an appli- clear Material Safety and Safeguards,
cation for amendment to its license using an appropriate method listed in
pursuant to § 70.34. § 70.5(a); and a copy must be sent to the
(2) The licensee shall maintain appropriate NRC Regional Office shown
records of changes to the material con- in appendix A to part 73 of this chap-
trol and accounting program made ter.
without prior Commission approval for (e) The licensee shall make no
a period of 5 years from the date of the change which would decrease the effec-
change. Licensees located in all four tiveness of a security plan prepared
Regions as indicated in appendix A of pursuant to §§ 70.22(h), 70.22(k), or
part 73 of this chapter shall furnish to 73.20(c) without the prior approval of
the Director, Division of Security Pol- the Commission. A licensee desiring to
icy, Office of Nuclear Security and In- make such a change shall submit an
cident Response, using an appropriate application for an amendment to its li-
method listed in § 70.5(a), a report con- cense pursuant to § 70.34. The licensee
taining a description of each change shall maintain records of changes to
within: the plan made without prior Commis-
(i) Two months of the change if it sion approval, for three years from the
pertains to uranium-233, uranium-235 effective date of the change, and shall,
contained in uranium enriched 20 per- within two months after the change is
cent or more in the uranium-235 iso- made, furnish a report containing a de-
tope, or plutonium, except plutonium scription of each change to the Direc-
containing 80 percent or more by tor, Division of Security Policy, Office
weight of the isotope Pu-238, and of Nuclear Security and Incident Re-
(ii) Six months of the change if it sponse; the report may be sent using an
pertains to uranium enriched less than appropriate method listed in § 70.5(a),
20 percent in the uranium-235 isotope, and a copy of the report must be sent
or plutonium containing 80 percent or to the appropriate NRC Regional Office
more by weight of the isotope Pu-238. shown in appendix A to part 73 of this
(d) The licensee shall make no chapter.
change which would decrease the effec- (f) [Reserved]
tiveness of the plan for physical protec- (g) The licensee shall prepare and
tion of special nuclear material in maintain safeguards contingency plan
transit prepared pursuant to § 70.22(g) procedures in accordance with appen-
or § 73.20(c) of this chapter without the dix C to part 73 of this chapter for
prior approval of the Commission. A li- bringing about the actions and deci-
censee desiring to make such changes sions contained in the Responsibility
shall submit an application for a Matrix of its safeguards contingency
change in the technical specifications plan. The licensee shall retain the cur-
incorporated in his or her license, if rent safeguards contingency plan pro-
any, or for an amendment to the li- cedures as a record for the entire pe-
cense pursuant to § 50.90 or § 70.34 of riod during which the licensee pos-
this chapter, as appropriate. The li- sesses the appropriate type and quan-
censee may make changes to the plan tity of special nuclear material under
for physical protection of special nu- each license for which the procedures
clear material without prior Commis- were developed and, if any portion of
sion approval if these changes do not the plan is superseded, retain that su-
decrease the effectiveness of the plan. perseded portion for 3 years after the
The licensee shall retain a copy of the effective date of the change. The li-
plan as a record for the period during censee shall not make a change that
which the licensee possesses a formula would decrease the safeguards effec-
quantity of special nuclear material re- tiveness of the first four categories of
quiring this record under each license information (i.e., Background, Generic
and each change to the plan for three Planning Base, Licensee Planning
years from the effective date of the Base, and Responsibility Matrix) con-
change. Within two months after each tained in any licensee safeguards con-
change, a report containing a descrip- tingency plan prepared pursuant to

tion of the change must be furnished to §§ 70.22(g), 70.22(j), 72.184, 73.20(c),
the Director of the NRC’s Office of Nu- 73.26(e)(1), 73.46(h)(1), or 73.50(g)(1) of
308
this chapter without the prior approval more than 100 grams of irradiated reac-
of the NRC. A licensee desiring to tor fuel shall ensure that Safeguards
make such a change shall submit an Information is protected against unau-
application for an amendment to its li- thorized disclosure in accordance with
cense pursuant to § 70.34. The licensee the requirements in § 73.21 and the re-
may make changes to the licensee safe- quirements of § 73.22 or § 73.23 of this
guards contingency plan without prior chapter, as applicable, and shall pro-
NRC approval if the changes do not detect classified information in accord-
crease the safeguards effectiveness of ance with the requirements of parts 25
the plan. The licensee shall maintain and 95 of this chapter, as applicable.
each change to the plan made without (k) No person may commence oper-
prior approval as a record during the ation of a uranium enrichment facility
period for which possession of a for- until the Commission verifies through
mula quantity of special nuclear mate- inspection that the facility has been
rial is authorized under a license and constructed in accordance with the re-
retain the superseded portion for 3 quirements of the license. The Com-
years after the effective date of the mission shall publish notice of the in-
change, and shall, within 60 days after spection results in the FEDERAL REG-
the change is made, furnish a report ISTER.
containing a description of each [21 FR 764, Feb. 3, 1956]
change to the Director of Nuclear Ma-
terial Safety and Safeguards; the re- EDITORIAL NOTE: For FEDERAL REGISTER ci-
port may be sent using an appropriate tations affecting § 70.32, see the List of CFR
Sections Affected, which appears in the
method listed in § 70.5(a), and a copy of
the report must be sent to the Regional and at www.fdsys.gov.
Administrator of the appropriate NRC
Regional Office as specified in appendix § 70.33 Applications for renewal of li-
A to part 73 of this chapter. censes.
(h) [Reserved] Applications for renewal of a license
(i) Licensees required to submit should be filed in accordance with
emergency plans in accordance with §§ 70.21 and 70.22. Information contained
§ 70.22(i) shall follow the emergency in previous applications, statements or
plan approved by the Commission. The reports filed with the Commission
licensee may change the approved plan under the license may be incorporated
without Commission approval if the by reference, provided that such ref-
changes do not decrease the effective- erences are clear and specific.
ness of the plan. Within six months
after each change is made, the licensee [75 FR 73944, Nov. 30, 2010]
shall, using an appropriate method list-
§ 70.34 Amendment of licenses.
ed in § 70.5(a), furnish the Director, Di-
vision of Security Policy, Office of Nu- Applications for amendment of a li-
clear Security and Incident Response, a cense shall be filed in accordance with
copy of each change, with copies to the § 70.21(a) and shall specify the respects
appropriate NRC Regional Office speci- in which the licensee desires his license
fied in appendix D to part 20 of this to be amended and the grounds for such
chapter and to affected offsite response amendment.
organizations. Proposed changes that
decrease the effectiveness of the ap- § 70.35 Commission action on applica-
tions to renew or amend.
proved emergency plan may not be im-
plemented without prior application to In considering an application by a li-
and prior approval by the Commission. censee to renew or amend his license,
(j) Each licensee who possesses spe- the Commission will apply the criteria
cial nuclear material, or who trans- set forth in § 70.23.
ports, or delivers to a carrier for trans-
port, a formula quantity of strategic § 70.36 Inalienability of licenses.
special nuclear material, special nu- No license granted under the regula-
clear material of moderate strategic tions in this part and no right to pos-
significance, or special nuclear mate- sess or utilize special nuclear material
rial of low strategic significance, or granted by any license issued pursuant
309
§ 70.37 10 CFR Ch. I (1–1–11 Edition)
to the regulations in this part shall be (1) Limit actions involving special
transferred, assigned or in any manner nuclear material to those related to de-
disposed of, either voluntarily or invol- commissioning; and
untarily, directly or indirectly, (2) Continue to control entry to re-
through transfer of control of any li- stricted areas until they are suitable
cense to any person unless the Com- for release in accordance with NRC re-
mission shall after securing full infor- quirements.
mation, find that the transfer is in ac- (d) Within 60 days of the occurrence
cordance with the provisions of the of any of the following, consistent with
Act, and shall give its consent in writ- the administrative directions in § 70.5,
ing. each licensee shall provide notification
[21 FR 764, Feb. 3, 1956, as amended at 35 FR to the NRC in writing and either begin
11461, July 17, 1970] decommissioning its site, or any sepa-
rate building or outdoor area that con-
§ 70.37 Disclaimer of warranties. tains residual radioactivity, so that
Neither the Government nor the the building or outdoor area is suitable
Commission makes any warranty or for release in accordance with NRC re-
other representation that special nu- quirements, or submit within 12
clear material (a) will not result in in- months of notification a decommis-
jury or damage when used for purposes sioning plan, if required by paragraph
approved by the Commission, (b) will (g)(1) of this section, and begin decom-
accomplish the results for which it is missioning upon approval of that plan
requested and approved by the Com- if—
mission, or (c) is safe for any other use. (1) The license has expired pursuant
to paragraph (a) or (b) of this section;
§ 70.38 Expiration and termination of or
licenses and decommissioning of (2) The licensee has decided to per-
sites and separate buildings or out- manently cease principal activities, as
door areas. defined in this part, at the entire site
(a) Each specific license expires at or in any separate building or outdoor
the end of the day on the expiration area; or
date stated in the license unless the li- (3) No principal activities under the
censee has filed an application for relicense have been conducted for a pe-
newal under § 70.33 not less than 30 days riod of 24 months; or
before the expiration date stated in the (4) No principal activities have been
existing license. If an application for conducted for a period of 24 months in
renewal has been filed at least 30 days any separate building or outdoor area
before the expiration date stated in the that contains residual radioactivity
existing license, the existing license such that the building or outdoor area
expires at the end of the day on which is unsuitable for release in accordance
the Commission makes a final deter- with NRC requirements.
mination to deny the renewal applica- (e) Coincident with the notification
tion or, if the determination states an required by paragraph (d) of this sec-
expiration date, the expiration date tion, the licensee shall maintain in ef-
stated in the determination. fect all decommissioning financial as-
(b) Each specific license revoked by surances established by the licensee
the Commission expires at the end of pursuant to § 70.25 in conjunction with
the day on the date of the Commis- a license issuance or renewal or as re-
sion’s final determination to revoke quired by this section. The amount of
the license, or on the expiration date the financial assurance must be in-
stated in the determination, or as oth- creased, or may be decreased, as appro-
erwise provided by Commission Order. priate, to cover the detailed cost esti-
(c) Each specific license continues in mate for decommissioning established
effect, beyond the expiration date if pursuant to paragraph (g)(4)(v) of this
necessary, with respect to possession of section.
special nuclear material until the Com- (1) Any licensee who has not provided
mission notifies the licensee in writing financial assurance to cover the de-
that the license is terminated. During tailed cost estimate submitted with
this time, the licensee shall— the decommissioning plan shall do so
310
when this rule becomes effective No- safety and is otherwise in the public in-
vember 24, 1995. terest.
(2) Following approval of the decom- (3) The procedures listed in para-
missioning plan, a licensee may reduce graph (g)(1) of this section may not be
the amount of the financial assurance carried out prior to approval of the de-
as decommissioning proceeds and radi- commissioning plan.
ological contamination is reduced at (4) The proposed decommissioning
the site with the approval of the Com- plan for the site or separate building or
mission. outdoor area must include:
(f) The Commission may grant a re- (i) A description of the conditions of
quest to delay or postpone initiation of the site or separate building or outdoor
the decommissioning process if the area sufficient to evaluate the accept-
Commission determines that this relief ability of the plan;
is not detrimental to the public health (ii) A description of planned decom-
and safety and is otherwise in the pub- missioning activities;
lic interest. The request must be sub- (iii) A description of methods used to
mitted no later than 30 days before no- ensure protection of workers and the
tification pursuant to paragraph (d) of environment against radiation hazards
this section. The schedule for decom- during decommissioning;
missioning set forth in paragraph (d) of
(iv) A description of the planned final
this section may not commence until
radiation survey; and
the Commission has made a determina-
tion on the request. (v) An updated detailed cost estimate
(g)(1) A decommissioning plan must for decommissioning, comparison of
be submitted if required by license con- that estimate with present funds set
dition or if the procedures and activi- aside for decommissioning, and a plan
ties necessary to carry out decommis- for assuring the availability of ade-
sioning of the site or separate building quate funds for completion of decom-
or outdoor area have not been pre- missioning.
viously approved by the Commission (vi) A description of the physical se-
and these procedures could increase po- curity plan and material control and
tential health and safety impacts to accounting plan provisions in place
workers or to the public, such as in any during decommissioning.
of the following cases: (vii) For decommissioning plans call-
(i) Procedures would involve tech- ing for completion of decommissioning
niques not applied routinely during later than 24 months after plan ap-
cleanup or maintenance operations; proval, a justification for the delay
(ii) Workers would be entering areas based on the criteria in paragraph (i) of
not normally occupied where surface this section.
contamination and radiation levels are (5) The proposed decommissioning
significantly higher than routinely en- plan will be approved by the Commis-
countered during operation; sion if the information therein dem-
(iii) Procedures could result in sig- onstrates that the decommissioning
nificantly greater airborne concentra- will be completed as soon as practical
tions of radioactive materials than are and that the health and safety of work-
present during operation; or ers and the public will be adequately
(iv) Procedures could result in sig- protected.
nificantly greater releases of radio- (h)(1) Except as provided in para-
active material to the environment graph (i) of this section, licensees shall
than those associated with operation. complete decommissioning of the site
(2) The Commission may approve an or separate building or outdoor area as
alternate schedule for submittal of a soon as practicable but no later than 24
decommissioning plan required pursu- months following the initiation of de-
ant to paragraph (d) of this section if commissioning.
the Commission determines that the (2) Except as provided in paragraph
alternative schedule is necessary to the (i) of this section, when decommis-
effective conduct of decommissioning sioning involves the entire site, the li-
operations and presents no undue risk censee shall request license termi-
from radiation to the public health and nation as soon as practicable but no
311
§ 70.39 10 CFR Ch. I (1–1–11 Edition)
later than 24 months following the ini- tions per minute or microcuries) per
tiation of decommissioning. 100 square centimeters removable and
(i) The Commission may approve a fixed for surfaces, megabecquerels
request for an alternate schedule for (microcuries) per milliliter for water,
completion of decommissioning of the and becquerels (picocuries) per gram
site or separate building or outdoor for solids such as soils or concrete; and
area, and license termination if appro- (ii) Specify the survey instrument(s)
priate, if the Commission determines used and certify that each instrument
that the alternative is warranted by is properly calibrated and tested.
consideration of the following: (k) Specific licenses, including ex-
(1) Whether it is technically feasible pired licenses, will be terminated by
to complete decommissioning within written notice to the licensee when the
the allotted 24-month period; Commission determines that:
(2) Whether sufficient waste disposal (1) Special nuclear material has been
capacity is available to allow comple- properly disposed;
tion of decommissioning within the al- (2) Reasonable effort has been made
lotted 24-month period; to eliminate residual radioactive con-
(3) Whether a significant volume re- tamination, if present; and
duction in wastes requiring disposal (3)(i) A radiation survey has been per-
will be achieved by allowing short- formed which demonstrates that the
lived radionuclides to decay; premises are suitable for release in ac-
(4) Whether a significant reduction in cordance with the criteria for decom-
radiation exposure to workers can be missioning in 10 CFR part 20, subpart
achieved by allowing short-lived radio- E; or
nuclides to decay; and (ii) Other information submitted by
(5) Other site-specific factors which the licensee is sufficient to dem-
the Commission may consider appro- onstrate that the premises are suitable
priate on a case-by-case basis, such as for release in accordance with the cri-
regulatory requirements of other gov- teria for decommissioning in 10 CFR
ernment agencies, lawsuits, ground- part 20, subpart E.
water treatment activities, monitored (4) Records required by § 70.51(b)(6)
natural ground-water restoration, ac- have been received.
tions that could result in more envi- [59 FR 36037, July 15, 1994, as amended at 60
ronmental harm than deferred cleanup, FR 38240, July 26, 1995; 61 FR 1115, Jan. 16,
and other factors beyond the control of 1996; 61 FR 24675, May 16, 1996; 61 FR 29637,
the licensee. 29638, June 12, 1996; 62 FR 39091, July 21, 1997;
66 FR 24049, May 11, 2001; 73 FR 42675, July 23,
(j) As the final step in decommis- 2008]
sioning, the licensee shall—
(1) Certify the disposition of all li- § 70.39 Specific licenses for the manu-
censed material, including accumu- facture or initial transfer of calibra-
lated wastes, by submitting a com- tion or reference sources.
pleted NRC Form 314 or equivalent in- (a) An application for a specific li-
formation; and cense to manufacture or initially
(2) Conduct a radiation survey of the transfer calibration or reference
premises where the licensed activities sources containing plutonium, for dis-
were carried out and submit a report of tribution to persons generally licensed
the results of this survey, unless the li- under § 70.19, will be approved if:
censee demonstrates in some other (1) The applicant satisfies the general
manner that the premises are suitable requirements of § 70.23.
for release in accordance with the cri- (2) The applicant submits sufficient
teria for decommissioning in 10 CFR information regarding each type of
part 20, subpart E. The licensee shall, calibration or reference source perti-
as appropriate— nent to evaluation of the potential ra-
(i) Report levels of gamma radiation diation exposure, including:
in units of millisieverts (micro- (i) Chemical and physical form and
roentgen) per hour at one meter from maximum quantity of plutonium in the
surfaces, and report levels of radioac- source;

tivity, including alpha and beta, in (ii) Details of construction and de-
units of megabecquerels (disintegra- sign;
312
(iii) Details of the method of incorpo- radioactivity on the source following

ration and binding of the plutonium in the dry wipe.
the source; (iii) Wet wipe test. The entire radio-
(iv) Procedures for and results of pro- active surface of the source shall be
totype testing of sources, which are de- wiped with filter paper, moistened with
signed to contain more than 0.005 water, with the application of mod-
microcurie of plutonium, to dem- erate finger pressure. Removal of ra-
onstrate that the plutonium contained dioactive material from the source
in each source will not be released or shall be determined by measuring the
be removed from the source under nor- radioactivity on the filter paper after
mal conditions of use; it has dried or by direct measurement
(v) Details of quality control proce- of the radioactivity on the source fol-
dures to be followed in manufacture of lowing the wet wipe.
the source; (iv) Water soak test. The source shall
(vi) Description of labeling to be af- be immersed in water at room tempera-
fixed to the source or the storage con- ture for a period of 24 consecutive
tainer for the source; hours. The source shall then be re-
(vii) Any additional information, in- moved from the water. Removal of ra-
cluding experimental studies and tests, dioactive material from the source
required by the Commission to facili- shall be determined by direct measure-
tate a determination of the safety of ment of the radioactivity on the source
the source. after it has dried or by measuring the
(3) Each source will contain no more radioactivity in the residue obtained
than 5 microcuries of plutonium. by evaporation of the water in which
(4) The Commission determines, with the source was immersed.
respect to any type of source con- (v) Dry wipe test. On completion of
taining more than 0.005 microcurie of the preceding tests in paragraphs
plutonium, that: (a)(5)(i) through (iv) of this section, the
(i) The method of incorporation and dry wipe test described in paragraph
binding of the plutonium in the source (a)(5)(ii) of this section shall be re-
is such that the plutonium will not be peated.
released or be removed from the source (vi) Observations. Removal of more
under normal conditions of use and than 0.005 microcurie of radioactivity
handling of the source; and in any test prescribed by this para-
(ii) The source has been subjected to graph shall be cause for rejection of the
and has satisfactorily passed the proto- source design. Results of prototype
type tests prescribed by paragraph tests submitted to the Commission
(a)(5) of this section. shall be given in terms of radioactivity
(5) For any type of source which is in microcuries and percent of removal
designed to contain more than 0.005 from the total amount of radioactive
microcurie of plutonium, the applicant material deposited on the source.
has conducted prototype tests, in the (b) Each person licensed under this
order listed, on each of five prototypes section shall affix to each source, or
of such source, which contains more storage container for the source, a
than 0.005 microcurie of plutonium, as label which shall contain sufficient in-
follows: formation relative to safe use and stor-
(i) Initial measurement. The quantity age of the source and shall include the
of radioactive material deposited on following statement or a substantially
the source shall be measured by direct similar statement which contains the
counting of the source. information called for in the following
(ii) Dry wipe test. The entire radio- statement. 1
active surface of the source shall be The receipt, possession, use and transfer of
wiped with filter paper with the appli- this source, Model lll, Serial No. lll,
cation of moderate finger pressure. Re-
moval of radioactive material from the 1 Sources generally licensed under this sec-
source shall be determined by meas- tion prior to January 19, 1975 may bear labels
uring the radioactivity on the filter authorized by the regulations in effect on
paper or by direct measurement of the January 1, 1975.
313
§ 70.40 10 CFR Ch. I (1–1–11 Edition)
are subject to a general license and the regu- Subpart F—Acquisition, Use and
lations of the United States Nuclear Regu-
latory Commission or of a State with which
Transfer of Special Nuclear
the Commission has entered into an agree- Material, Creditors’ Rights
ment for the exercise of regulatory author-
ity. Do not remove this label. § 70.41 Authorized use of special nu-
CAUTION—RADIOACTIVE MATERIAL—THIS
clear material.
SOURCE CONTAINS PLUTONIUM. DO NOT (a) Each licensee shall confine his
TOUCH RADIOACTIVE PORTION OF THIS possession and use of special nuclear
SOURCE. material to the locations and purposes
authorized in his license. Except as
(Name of Manufacturer or Initial Transferor)
otherwise provided in the license, each
(c) Each person licensed under this license issued pursuant to the regula-
section shall perform a dry wipe test tions in this part shall carry with it
the right to receive title to, own, ac-
upon each source containing more than
quire, receive, possess and use special
0.1 microcurie of plutonium prior to
nuclear material. Preparation for ship-
transferring the source to a general li-
ment and transport of special nuclear
censee under § 70.19. This test shall be material shall be in accordance with
performed by wiping the entire radio- the provisions of part 71 of this chap-
active surface of the source with a filter.
ter paper with the application of mod- (b) The possession, use and transfer
erate finger pressure. The radioactivity of any special nuclear material pro-
on the paper shall be measured by duced by a licensee, in connection with
using radiation detection instrumenta- or as a result of use of special nuclear
tion capable of detecting 0.005 material received under his license,
microcurie of plutonium. If any such shall be subject to the provisions of the
test discloses more than 0.005 license and the regulations in this part.
microcurie of radioactive material, the
source shall be deemed to be leaking or 33970, Dec. 10, 1973; 43 FR 6925, Feb. 17, 1978]
losing plutonium and shall not be
transferred to a general licensee under § 70.42 Transfer of special nuclear ma-
§ 70.19. terial.
[29 FR 5884, May 5, 1964, as amended at 32 FR (a) No licensee shall transfer special
2563, Feb. 7, 1967; 38 FR 1272, Jan. 11, 1973; 40 nuclear material except as authorized
FR 8792, Mar. 3, 1975; 42 FR 43966, Sept. 1, pursuant to this section.
1977; 43 FR 6925, Feb. 17, 1978] (b) Except as otherwise provided in
his license and subject to the provi-
§ 70.40 Ineligibility of certain appli- sions of paragraphs (c) and (d) of this
cants. section, any licensee may transfer spe-
A license may not be issued to the cial nuclear material:
Corporation if the Commission deter- (1) To the Department;
mines that: (2) To the agency in any Agreement
(a) The Corporation is owned, con- State which regulates radioactive ma-
terials pursuant to an agreement with
trolled, or dominated by an alien, a for-
the Commission or the Atomic Energy
eign corporation, or a foreign govern-
Commission under section 274 of the
ment; or Act, if the quantity transferred is not
(b) The issuance of such a license sufficient to form a critical mass;
would be inimical to— (3) To any person exempt from the li-
(1) The common defense and security censing requirements of the Act and
of the United States; or regulations in this part, to the extent
(2) The maintenance of a reliable and permitted under such exemption;
economical domestic source of enrich- (4) To any person in an Agreement
ment services. State, subject to the jurisdiction of
that State, who has been exempted
[62 FR 6669, Feb. 12, 1997]

from the licensing requirements and
regulations of that State, to the extent
permitted under such exemption;
314
(5) To any person authorized to re- certification for three years from the
ceive such special nuclear material date of receipt of the confirmation;
under terms of a specific license or a (4) The transferor may obtain other
general license or their equivalents sources of information compiled by a
issued by the Commission or an Agree- reporting service from official records
ment State; of the Commission or the licensing
(6) To any person abroad pursuant to agency of an Agreement State as to the
an export license issued under part 110 identity of licensees and the scope and
of this chapter; or expiration dates of licenses and reg-
(7) As otherwise authorized by the istrations. The transferor shall retain
Commission in writing. the compilation of information as a
(c) Before transferring special nu- record for three years from the date
clear material to a specific licensee of that it was obtained; or
the Commission or an Agreement State (5) When none of the methods of
or to a general licensee who is required verification described in paragraphs (d)
to register with the Commission or (1) to (4) of this section are readily
with an Agreement State prior to re- available or when a transferor desires
ceipt of the special nuclear material, to verify that information received by
the licensee transferring the material one of these methods is correct or up-
shall verify that the transferee’s li- to-date, the transferor may obtain and
cense authorizes receipt of the type, record confirmation from the Commis-
form, and quantity of special nuclear sion or the licensing agency of an
material to be transferred. Agreement State that the transferee is
(d) The following methods for the licensed to receive the special nuclear
verification required by paragraph (c) material. The transferor shall retain
of this section are acceptable: the record of confirmation for three
(1) The transferor may have in his or years from the date the record is made.
her possession, and read, a current [38 FR 33970, Dec. 10, 1973, as amended at 40
copy of the transferee’s specific license FR 8792, Mar. 3, 1975; 43 FR 6925, Feb. 21, 1978;
or registration certificate. The trans- 53 FR 19253, May 27, 1988]
feror shall retain a copy of each license
or certificate for three years from the § 70.44 Creditor regulations.
date that it was obtained. (a) Pursuant to section 184 of the Act,
(2) The transferor may have in its the Commission consents, without in-
possession a written certification by dividual application, to the creation of
the transferee that the transferee is any mortgage, pledge, or other lien
authorized by license or registration upon any special nuclear material, not
certificate to receive the type, form, owned by the United States, which is
and quantity of special nuclear mate- subject to licensing: Provided:
rial to be transferred, specifying the li- (1) That the rights of any creditor so
cense or registration certificate num- secured may be exercised only in com-
ber, issuing agency, and expiration pliance with and subject to the same
date. The transferor shall retain the requirements and restrictions as would
written certification as a record for apply to the licensee pursuant to the
three years from the date of receipt of provisions of the license, the Atomic
the certification; Energy Act of 1954, as amended, and
(3) For emergency shipments the regulations issued by the Commission
transferor may accept oral certifi- pursuant to said Act; and
cation by the transferee that he or she (2) That no creditor so secured may
is authorized by license or registration take possession of the special nuclear
certification to receive the type, form, material pursuant to the provisions of
and quantity of special nuclear mate- this section prior to either the issuance
rial to be transferred, specifying the li- of a license by the Commission author-
cense or registration certificate num- izing such possession or the transfer of
ber, issuing agency, and expiration a license pursuant to § 70.36.
date, provided that the oral certifi- (b) Nothing contained in this section
cation is confirmed in writing within shall be deemed to affect the means of

ten days. The transferor shall retain acquiring, or the priority of, any tax
the written confirmation of the oral lien or other lien provided by law.
315
§ 70.50 10 CFR Ch. I (1–1–11 Edition)
(c) As used in this section, creditor in- hours to decay prior to decontamina-
cludes, without implied limitation, the tion.
trustee under any mortgage, pledge, or (2) An event in which equipment is
lien on special nuclear material made disabled or fails to function as designed
to secure any creditor, any trustee or when:
receiver of the special nuclear material (i) The equipment is required by reg-
appointed by a court of competent ju- ulation or licensee condition to prevent
risdiction in any action brought for the releases exceeding regulatory limits, to
benefit of any creditor secured by such prevent exposures to radiation and ra-
mortgage, pledge, or lien, any pur- dioactive materials exceeding regu-
chaser of such special nuclear material latory limits, or to mitigate the con-
at the sale thereof upon foreclosure of sequences of an accident;
such mortgage, pledge, or lien or upon (ii) The equipment is required to be
exercise of any power of sale contained available and operable when it is dis-
therein, or any assignee of any such abled or fails to function; and
purchaser. (iii) No redundant equipment is
[32 FR 2563, Feb. 7, 1967, as amended at 35 FR available and operable to perform the
11461, July 17, 1970] required safety function.
(3) An event that requires unplanned
Subpart G—Special Nuclear Ma- medical treatment at a medical facil-
terial Control, Records, Re- ity of an individual with spreadable ra-
ports and Inspections dioactive contamination on the indi-
vidual’s clothing or body.
§ 70.50 Reporting requirements. (4) An unplanned fire or explosion
damaging any licensed material or any
(a) Immediate report. Each licensee
device, container, or equipment con-
shall notify the NRC as soon as pos-
taining licensed material when:
sible but not later than 4 hours after
(i) The quantity of material involved
the discovery of an event that prevents
is greater than five times the lowest
immediate protective actions nec-
annual limit on intake specified in ap-
essary to avoid exposures to radiation
pendix B of §§ 20.1001–20.2401 of 10 CFR
or radioactive materials that could ex-
part 20 for the material; and
ceed regulatory limits or releases of li-
censed material that could exceed reg- (ii) The damage affects the integrity
ulatory limits (events may include of the licensed material or its con-
fires, explosions, toxic gas releases, tainer.
etc.). (c) Preparation and submission of re-
(b) Twenty-four hour report. Each li- ports. Reports made by licensees in re-
censee shall notify the NRC within 24 sponse to the requirements of this sec-
hours after the discovery of any of the tion must be made as follows:
following events involving licensed ma- (1) Licensees shall make reports re-
terial: quired by paragraphs (a) and (b) of this
(1) An unplanned contamination section, and by § 70.74 and Appendix A
event that: of this part, if applicable, by telephone
(i) Requires access to the contami- to the NRC Operations Center. 1 To the
nated area, by workers or the public, to extent that the information is avail-
be restricted for more than 24 hours by able at the time of notification, the in-
imposing additional radiological con- formation provided in these reports
trols or by prohibiting entry into the must include:
area; (i) Caller’s name, position title, and
(ii) Involves a quantity of material call-back telephone number;
greater than five times the lowest an- (ii) Date, time, and exact location of
nual limit on intake specified in Ap- the event;
pendix B of §§ 20.1001–20.2401 of 10 CFR (iii) Description of the event, includ-
part 20 for the material; and ing:
(iii) Has access to the area restricted

1 The commercial telephone number for the
for a reason other than to allow iso-
topes with a half-life of less than 24 NRC Operations Center is (301) 816–5100.
316
(A) Radiological or chemical hazards method listed in § 70.5(a), with a copy

involved, including isotopes, quan- to the appropriate NRC regional office
tities, and chemical and physical form listed in appendix D to part 20 of this
of any material released; chapter. The reports must include the
(B) Actual or potential health and following:
safety consequences to the workers, (i) Complete applicable information
the public, and the environment, in- required by § 70.50(c)(1);
cluding relevant chemical and radi- (ii) The probable cause of the event,
ation data for actual personnel expo- including all factors that contributed
sures to radiation or radioactive mate- to the event and the manufacturer and
rials or hazardous chemicals produced model number (if applicable) of any
from licensed materials (e.g., level of equipment that failed or malfunc-
radiation exposure, concentration of tioned;
chemicals, and duration of exposure); (iii) Corrective actions taken or
(C) The sequence of occurrences lead- planned to prevent occurrence of simi-
ing to the event, including degradation lar or identical events in the future
or failure of structures, systems, equip- and the results of any evaluations or
ment, components, and activities of assessments; and
personnel relied on to prevent poten- (iv) For licensees subject to Subpart
tial accidents or mitigate their con- H of this part, whether the event was
sequences; and identified and evaluated in the Inte-
(D) Whether the remaining struc- grated Safety Analysis.
tures, systems, equipment, compo- (d) The provisions of § 70.50 do not
nents, and activities of personnel relied apply to licensees subject to § 50.72.
on to prevent potential accidents or They do apply to those Part 50 licens-
mitigate their consequences are avail- ees possessing material licensed under
able and reliable to perform their func- Part 70 that are not subject to the noti-
tion; fication requirements in § 50.72.
(iv) External conditions affecting the [56 FR 40769, Aug. 16, 1991; 56 FR 64980, Dec.
event; 13, 1991, as amended at 59 FR 14087, Mar. 25,
(v) Additional actions taken by the 1994; 65 FR 56226, Sept. 18, 2000; 68 FR 58817,
licensee in response to the event; Oct. 10, 2003]
(vi) Status of the event (e.g., whether
the event is on-going or was termi- § 70.51 Records requirements.
nated); (a) Before license termination, li-
(vii) Current and planned site status, censees shall forward the following
including any declared emergency records to the appropriate NRC Re-
class; gional Office:
(viii) Notifications, related to the (1) Records of disposal of licensed
event, that were made or are planned material made under 10 CFR 20.2002 (in-
to any local, State, or other Federal cluding burials authorized before Janu-
agencies; ary 28, 1981 1), 20.2003, 20.2004, 20.2005;
(ix) Status of any press releases, re- (2) Records required by 10 CFR
lated to the event, that were made or 20.2103(b)(4); and
are planned. (3) Records required by § 70.25(g).
(2) Written report. Each licensee that (b) If licensed activities are trans-
makes a report required by paragraph ferred or assigned in accordance with
(a) or (b) of this section, or by § 70.74 § 70.32(a)(3), the licensee shall transfer
and Appendix A of this part, if applica- the following records to the new li-
ble, shall submit a written follow-up censee and the new licensee will be re-
report within 30 days of the initial responsible for maintaining these records
port. Written reports prepared pursu- until the license is terminated:
ant to other regulations may be sub-
mitted to fulfill this requirement if the 1 A previous § 20.304 permitted burial of
report contains all the necessary infor- small quantities of licensed materials in soil
mation, and the appropriate distribu-
before January 28, 1981, without specific

tion is made. These written reports Commission authorization. See § 20.304 con-
must be sent to the NRC’s Document tained in the 10 CFR, parts 0 to 199, edition
Control Desk, using an appropriate revised as of January 1, 1981.
317
§ 70.52 10 CFR Ch. I (1–1–11 Edition)
(1) Records of disposal of licensed via commercial telephonic service or

material made under 10 CFR 20.2002 (in- other dedicated telephonic system or
cluding burials authorized before Janu- any other method that will ensure that
ary 28, 1981 1), 20.2003, 20.2004, 20.2005; a report is received by the NRC Oper-
(2) Records required by 10 CFR ations Center within one hour.
20.2103(b)(4); and [67 FR 78143, Dec. 23, 2002]
(3) Records required by § 70.25(g).
(c)(1) Records which must be main- § 70.55 Inspections.
tained pursuant to this part may be the
original or a reproduced copy, or (a) Each licensee shall afford to the
microform if the reproduced copy or Commission at all reasonable times op-
microform is duly authenticated by au- portunity to inspect special nuclear
thorized personnel, and the microform material and the premises and facili-
is capable of producing a clear and leg- ties wherein special nuclear material is
ible copy after storage for the period used, produced, or stored.
specified by Commission regulations. (b) Each licensee shall make avail-
The record may also be stored in elec- able to the Commission for inspection,
tronic media with the capability for upon reasonable notice, records kept
producing legible, accurate, and com- by the licensee pertaining to his re-
plete records during the required reten- ceipt, possession, use, acquisition, im-
tion period. Records such as letters, port, export, or transfer of special nu-
drawings, and specifications, must in- clear material.
(c)(1) In the case of fuel cycle facili-
clude all pertinent information such as
ties where nuclear reactor fuel is fab-
stamps, initials, and signatures. The li-
ricated or processed each licensee shall
censee shall maintain adequate safe-
upon request by the Director, Office of
guards against tampering with and loss
of records.
guards or the appropriate NRC Re-
(2) If there is a conflict between the
gional Administrator, provide rent-free
Commission’s regulations in this part,
office space for the exclusive use of
license condition, or other written
Commission inspection personnel.
Commission approval or authorization
Heat, air conditioning, light, electrical
pertaining to the retention period for
outlets and janitorial services shall be
the same type of record, the retention
furnished by each licensee. The office
period specified in the regulations in shall be convenient to and have full ac-
this part for these records shall apply cess to the facility and, shall provide
unless the Commission, under § 70.17 the inspector both visual and acoustic
has granted a specific exemption from privacy.
the record retention requirements (2) For a site with a single fuel facil-
specified in the regulations in this ity licensed pursuant to part 70, the
part. space provided shall be adequate to ac-
[67 FR 78142, Dec. 23, 2002, as amended at 72 commodate a full-time inspector, a
FR 35145, June 27, 2007] part-time secretary and transient NRC
personnel and will be generally com-
§ 70.52 Reports of accidental criti- mensurate with other office facilities
cality. at the site. A space of 250 square feet
(a) Each licensee shall notify the either within the site’s office complex
NRC Operations Center 1 within one or in an office trailer or other on site
hour after discovery of any case of ac- space is suggested as a guide. For sites
cidental criticality. containing multiple fuel facilities, ad-
(b) This notification must be made to ditional space may be requested to ac-
the NRC Operations Center via the commodate additional full-time inspec-
Emergency Notification System if the tor(s). The office space that is provided
licensee is party to that system. If the shall be subject to the approval of the
Emergency Notification System is in- Director, Office of Nuclear Material
operative or unavailable, the licensee Safety and Safeguards or the appro-
shall make the required notification priate NRC Regional Administrator.
All furniture, supplies and communica-

1 Commercial telephone number of the NRC tion equipment will be furnished by the
Operations Center is (301) 816–5100. Commission.
318
(3) The licensee shall afford any NRC the previous six months of operation,
resident inspector assigned to that site and such other information as the
or other NRC inspectors identified by Commission may require to estimate
the Director, Office of Nuclear Mate- maximum potential annual radiation
rial Safety and Safeguards, as likely to doses to the public resulting from ef-
inspect the facility, immediate unfet- fluent releases. If quantities of radio-
tered access, equivalent to access pro- active materials released during the re-
vided regular plant employees, fol- porting periods are significantly above
lowing proper identification and com- the licensee’s design objectives pre-
pliance with applicable access control viously reviewed as part of the licens-
measures for security, radiological pro- ing action, the report must cover this
tection, and personal safety. specifically. On the basis of these re-
ports and any additional information
[21 FR 764, Feb. 3, 1956. Redesignated at 25
FR 1607, Feb. 25, 1960, and 25 FR 12730, Dec. the Commission may obtain from the
13, 1960, and amended at 32 FR 2563, Feb. 7, licensee or others, the Commission
1967; 44 FR 47919, Aug. 16, 1979; 52 FR 31612, may from time to time require the li-
Aug. 21, 1987; 54 FR 6877, Feb. 15, 1989; 55 FR censee to take such action as the Com-
5979, Feb. 21, 1990] mission deems appropriate.
§ 70.56 Tests. [68 FR 58817, Oct. 10, 2003]
Each licensee shall perform, or per-

mit the Commission to perform, such Subpart H—Additional Require-
tests as the Commission deems appro- ments for Certain Licensees
priate or necessary for the administra- Authorized To Possess a Crit-
tion of the regulations in this part, in- ical Mass of Special Nuclear
cluding tests of (a) special nuclear ma- Material
terial, (b) facilities wherein special nu-
clear material is utilized, produced or SOURCE: 65 FR 56226, Sept. 18, 2000, unless
stored, (c) radiation detection and otherwise noted.
monitoring instruments, and (d) other
equipment and devices used in connec- § 70.60 Applicability.
tion with the production, utilization or The regulations in § 70.61 through
storage of special nuclear material. § 70.76 apply, in addition to other appli-
[21 FR 764, Feb. 3, 1956. Redesignated at 25 cable Commission regulations, to each
FR 1607, Feb. 25, 1960, and 25 FR 12730, Dec. applicant or licensee that is or plans to
13, 1960] be authorized to possess greater than a
critical mass of special nuclear mate-
§ 70.59 Effluent monitoring reporting rial, and engaged in enriched uranium
requirements. processing, fabrication of uranium fuel
Within 60 days after January 1 and or fuel assemblies, uranium enrich-
July 1 of each year, and using an ap- ment, enriched uranium hexafluoride
propriate method listed in § 70.5(a), conversion, plutonium processing, fab-
each licensee authorized to possess and rication of mixed-oxide fuel or fuel as-
use special nuclear material for proc- semblies, scrap recovery of special nu-
essing and fuel fabrication, scrap re- clear material, or any other activity
covery, conversion of uranium that the Commission determines could
hexafluoride, or in a uranium enrich- significantly affect public health and
ment facility shall submit a report ad- safety. The regulations in § 70.61
dressed: ATTN: Document Control through § 70.76 do not apply to decom-
Desk, Director, Office of Nuclear Mate- missioning activities performed pursu-
rial Safety and Safeguards, U.S. Nu- ant to other applicable Commission
clear Regulatory Commission, Wash- regulations including § 70.25 and § 70.38
ington, DC 20555–0001, with a copy to of this part. Also, the regulations in
the appropriate NRC Regional Office § 70.61 through § 70.76 do not apply to
shown in appendix D to part 20 of this activities that are certified by the
chapter. The report must specify the Commission pursuant to part 76 of this
quantity of each of the principal radio- chapter or licensed by the Commission

nuclides released to unrestricted areas pursuant to other parts of this chapter.
in liquid and gaseous effluents during Unless specifically addressed in § 70.61
319
§ 70.61 10 CFR Ch. I (1–1–11 Edition)
through § 70.76, implementation by cur- limited. Engineered controls, adminis-

rent licensees of the Subpart H require- trative controls, or both shall be ap-
ments shall be completed no later than plied to the extent needed so that,
the time of the ISA Summary sub- upon implementation of such controls,
mittal required in § 70.62(c)(3)(ii). the event is unlikely or its con-
sequences are less than those in para-
§ 70.61 Performance requirements. graphs (c)(1)–(4) of this section. Inter-
(a) Each applicant or licensee shall mediate consequence events are those
evaluate, in the integrated safety anal- internally or externally initiated
ysis performed in accordance with events that are not high consequence
§ 70.62, its compliance with the per- events, that result in:
formance requirements in paragraphs (1) An acute worker dose of 0.25 Sv (25
(b), (c), and (d) of this section. rem) or greater total effective dose
(b) The risk of each credible high- equivalent;
consequence event must be limited. (2) An acute dose of 0.05 Sv (5 rem) or
Engineered controls, administrative greater total effective dose equivalent
controls, or both, shall be applied to to any individual located outside the
the extent needed to reduce the likeli- controlled area identified pursuant to
hood of occurrence of the event so that, paragraph (f) of this section;
upon implementation of such controls, (3) A 24-hour averaged release of ra-
the event is highly unlikely or its con- dioactive material outside the re-
sequences are less severe than those in stricted area in concentrations exceed-
paragrahs (b)(1)–(4) of this section. ing 5000 times the values in Table 2 of
High consequence events are those in- Appendix B to Part 20; or
ternally or externally initiated events (4) An acute chemical exposure to an
that result in: individual from licensed material or
(1) An acute worker dose of 1 Sv (100 hazardous chemicals produced from li-
rem) or greater total effective dose censed material that:
equivalent; (i) Could lead to irreversible or other
(2) An acute dose of 0.25 Sv (25 rem) serious, long-lasting health effects to a
or greater total effective dose equiva- worker, or
lent to any individual located outside (ii) Could cause mild transient health
the controlled area identified pursuant effects to any individual located out-
to paragraph (f) of this section; side the controlled area as specified in
(3) An intake of 30 mg or greater of paragraph (f) of this section. If an ap-
uranium in soluble form by any indi- plicant possesses or plans to possess
vidual located outside the controlled quantities of material capable of such
area identified pursuant to paragraph chemical exposures, then the applicant
(f) of this section; or shall propose appropriate quantitative
(4) An acute chemical exposure to an standards for these health effects, as
individual from licensed material or part of the information submitted pur-
hazardous chemicals produced from li- suant to § 70.65 of this subpart.
censed material that: (d) In addition to complying with
(i) Could endanger the life of a work- paragraphs (b) and (c) of this section,
er, or the risk of nuclear criticality accidents
(ii) Could lead to irreversible or other must be limited by assuring that under
serious, long-lasting health effects to normal and credible abnormal condi-
any individual located outside the con- tions, all nuclear processes are subcrit-
trolled area identified pursuant to ical, including use of an approved mar-
paragraph (f) of this section. If an ap- gin of subcriticality for safety. Preven-
plicant possesses or plans to possess tive controls and measures must be the
quantities of material capable of such primary means of protection against
chemical exposures, then the applicant nuclear criticality accidents.
shall propose appropriate quantitative (e) Each engineered or administra-
standards for these health effects, as tive control or control system nec-
part of the information submitted pur- essary to comply with paragraphs (b),
suant to § 70.65 of this subpart. (c), or (d) of this section shall be des-
(c) The risk of each credible inter- ignated as an item relied on for safety.
mediate-consequence event must be The safety program, established and
320
maintained pursuant to § 70.62 of this (2) Each licensee or applicant shall

subpart, shall ensure that each item re- establish and maintain records that
lied on for safety will be available and demonstrate compliance with the re-
reliable to perform its intended func- quirements of paragraphs (b) through
tion when needed and in the context of (d) of this section.
the performance requirements of this (3) Each licensee or applicant shall
section. maintain records of failures readily re-
(f) Each licensee must establish a trievable and available for NRC inspec-
controlled area, as defined in § 20.1003. tion, documenting each discovery that
In addition, the licensee must retain an item relied on for safety or manage-
the authority to exclude or remove per- ment measure has failed to perform its
sonnel and property from the area. For function upon demand or has degraded
the purpose of complying with the per- such that the performance require-
formance requirements of this section, ments of § 70.61 are not satisfied. These
individuals who are not workers, as de- records must identify the item relied
fined in § 70.4, may be permitted to per- on for safety or management measure
form ongoing activities (e.g., at a facil- that has failed and the safety function
ity not related to the licensed activi- affected, the date of discovery, date (or
ties) in the controlled area, if the li- estimated date) of the failure, duration
censee: (or estimated duration) of the time
(1) Demonstrates and documents, in that the item was unable to perform its
the integrated safety analysis, that the function, any other affected items re-
risk for those individuals at the loca- lied on for safety or management
tion of their activities does not exceed measures and their safety function, af-
the performance requirements of para- fected processes, cause of the failure,
graphs (b)(2), (b)(3), (b)(4)(ii), (c)(2), and whether the failure was in the context
(c)(4)(ii) of this section; or of the performance requirements or
upon demand or both, and any correc-
(2) Provides training that satisfies 10
tive or compensatory action that was
CFR 19.12(a)(1)–(5) to these individuals
taken. A failure must be recorded at
and ensures that they are aware of the
the time of discovery and the record of
risks associated with accidents involv- that failure updated promptly upon the
ing the licensed activities as deter- conclusion of each failure investigation
mined by the integrated safety anal- of an item relied on for safety or man-
ysis, and conspicuously posts and agement measure.
maintains notices stating where the in- (b) Process safety information. Each li-
formation in 10 CFR 19.11(a) may be ex- censee or applicant shall maintain
amined by these individuals. Under process safety information to enable
these conditions, the performance re- the performance and maintenance of an
quirements for workers specified in integrated safety analysis. This process
paragraphs (b) and (c) of this section safety information must include infor-
may be applied to these individuals. mation pertaining to the hazards of the
materials used or produced in the proc-
§ 70.62 Safety program and integrated
safety analysis. ess, information pertaining to the tech-
nology of the process, and information
(a) Safety program. (1) Each licensee pertaining to the equipment in the
or applicant shall establish and main- process.
tain a safety program that dem- (c) Integrated safety analysis. (1) Each
onstrates compliance with the perform- licensee or applicant shall conduct and
ance requirements of § 70.61. The safety maintain an integrated safety analysis,
program may be graded such that man- that is of appropriate detail for the
agement measures applied are graded complexity of the process, that identi-
commensurate with the reduction of fies:
the risk attributable to that item. (i) Radiological hazards related to
Three elements of this safety program; possessing or processing licensed mate-
namely, process safety information, in- rial at its facility;
tegrated safety analysis, and manage- (ii) Chemical hazards of licensed ma-
ment measures, are described in para- terial and hazardous chemicals pro-
graphs (b) through (d) of this section. duced from licensed material;
321
§ 70.64 10 CFR Ch. I (1–1–11 Edition)
(iii) Facility hazards that could af- completing the correction of unaccept-
fect the safety of licensed materials able performance deficiencies if the
and thus present an increased radio- Commission determines that the alter-
logical risk; native is warranted by consideration of
(iv) Potential accident sequences the following:
caused by process deviations or other (A) Adequate compensatory measures
events internal to the facility and cred- have been established;
ible external events, including natural (B) Whether it is technically feasible
phenomena; to complete the correction of the unac-
(v) The consequence and the likeli- ceptable performance deficiency within
hood of occurrence of each potential the allotted 4-year period;
accident sequence identified pursuant (C) Other site-specific factors which
to paragraph (c)(1)(iv) of this section, the Commission may consider appro-
and the methods used to determine the priate on a case-by-case basis and that
consequences and likelihoods; and are beyond the control of the licensee.
(vi) Each item relied on for safety
(iii) Pending the correction of unac-
identified pursuant to § 70.61(e) of this
ceptable performance deficiencies iden-
subpart, the characteristics of its pre-
tified during the conduct of the inte-
ventive, mitigative, or other safety
grated safety analysis, the licensee
function, and the assumptions and con-
shall implement appropriate compen-
ditions under which the item is relied
satory measures to ensure adequate
upon to support compliance with the
protection.
performance requirements of § 70.61.
(2) Integrated safety analysis team (d) Management measures. Each appli-
qualifications. To assure the adequacy cant or licensee shall establish man-
of the integrated safety analysis, the agement measures to ensure compli-
analysis must be performed by a team ance with the performance require-
with expertise in engineering and proc- ments of § 70.61. The measures applied
ess operations. The team shall include to a particular engineered or adminis-
at least one person who has experience trative control or control system may
and knowledge specific to each process be graded commensurate with the re-
being evaluated, and persons who have duction of the risk attributable to that
experience in nuclear criticality safe- control or control system. The man-
ty, radiation safety, fire safety, and agement measures shall ensure that
chemical process safety. One member engineered and administrative controls
of the team must be knowledgeable in and control systems that are identified
the specific integrated safety analysis as items relied on for safety pursuant
methodology being used. to § 70.61(e) of this subpart are de-
(3) Requirements for existing licens- signed, implemented, and maintained,
ees. Individuals holding an NRC license as necessary, to ensure they are avail-
on September 18, 2000 shall, with regard able and reliable to perform their func-
to existing licensed activities: tion when needed, to comply with the
(i) By April 18, 2001, submit for NRC performance requirements of § 70.61 of
approval, a plan that describes the in- this subpart.
tegrated safety analysis approach that
will be used, the processes that will be § 70.64 Requirements for new facilities
analyzed, and the schedule for com- or new processes at existing facili-
ties.
pleting the analysis of each process.
(ii) By October 18, 2004, or in accord- (a) Baseline design criteria. Each pro-
ance with the approved plan submitted spective applicant or licensee shall ad-
under § 70.62(c)(3)(i), complete an inte- dress the following baseline design cri-
grated safety analysis, correct all un- teria in the design of new facilities.
acceptable performance deficiencies, Each existing licensee shall address the
and submit, for NRC approval, an inte- following baseline design criteria in
grated safety analysis summary, in- the design of new processes at existing
cluding a description of the manage- facilities that require a license amend-
ment measures, in accordance with ment under § 70.72. The baseline design
§ 70.65. The Commission may approve a criteria must be applied to the design
request for an alternative schedule for of new facilities and new processes, but
322
do not require retrofits to existing fa- (7) Utility services. The design must
cilities or existing processes (e.g., provide for continued operation of es-
those housing or adjacent to the new sential utility services.
process); however, all facilities and (8) Inspection, testing, and mainte-
processes must comply with the per- nance. The design of items relied on for
formance requirements in § 70.61. Li- safety must provide for adequate in-
censees shall maintain the application spection, testing, and maintenance, to
of these criteria unless the analysis ensure their availability and reliability
performed pursuant to § 70.62(c) dem- to perform their function when needed.
onstrates that a given item is not re- (9) Criticality control. The design must
lied on for safety or does not require provide for criticality control includ-
adherence to the specified criteria. ing adherence to the double contin-
gency principle.
(1) Quality standards and records. The
(10) Instrumentation and controls. The
design must be developed and imple- design must provide for inclusion of in-
mented in accordance with manage- strumentation and control systems to
ment measures, to provide adequate as- monitor and control the behavior of
surance that items relied on for safety items relied on for safety.
will be available and reliable to per- (b) Facility and system design and fa-
form their function when needed. Ap- cility layout must be based on defense-
propriate records of these items must in-depth practices. 1 The design must
be maintained by or under the control incorporate, to the extent practicable:
of the licensee throughout the life of (1) Preference for the selection of en-
the facility. gineered controls over administrative
(2) Natural phenomena hazards. The controls to increase overall system re-
design must provide for adequate pro- liability; and
tection against natural phenomena (2) Features that enhance safety by
with consideration of the most severe reducing challenges to items relied on
documented historical events for the for safety.
site.
(3) Fire protection. The design must § 70.65 Additional content of applica-
tions.
provide for adequate protection against
fires and explosions. (a) In addition to the contents re-
(4) Environmental and dynamic effects. quired by § 70.22, each application must
The design must provide for adequate include a description of the applicant’s
protection from environmental condi- safety program established under
tions and dynamic effects associated § 70.62.
with normal operations, maintenance, (b) The integrated safety analysis
testing, and postulated accidents that summary must be submitted with the
could lead to loss of safety functions. license or renewal application (and
amendment application as necessary),
(5) Chemical protection. The design
must provide for adequate protection 1 As used in § 70.64, Requirements for new
against chemical risks produced from
facilities or new processes at existing facili-
licensed material, facility conditions ties, defense-in-depth practices means a de-
which affect the safety of licensed ma- sign philosophy, applied from the outset and
terial, and hazardous chemicals pro- through completion of the design, that is
duced from licensed material. based on providing successive levels of pro-
(6) Emergency capability. The design tection such that health and safety will not
must provide for emergency capability be wholly dependent upon any single element
of the design, construction, maintenance, or
to maintain control of: operation of the facility. The net effect of in-
(i) Licensed material and hazardous corporating defense-in-depth practices is a
chemicals produced from licensed ma- conservatively designed facility and system
terial; that will exhibit greater tolerance to fail-
(ii) Evacuation of on-site personnel; ures and external challenges. The risk in-
sights obtained through performance of the
and
integrated safety analysis can be then used

(iii) Onsite emergency facilities and to supplement the final design by focusing
services that facilitate the use of avail- attention on the prevention and mitigation
able offsite services. of the higher-risk potential accidents.
323
§ 70.66 10 CFR Ch. I (1–1–11 Edition)
but shall not be incorporated in the li- (9) A description of the definitions of
cense. However, changes to the inte- unlikely, highly unlikely, and credible
grated safety analysis summary shall as used in the evaluations in the inte-
meet the conditions of § 70.72. The integrated safety analysis.
grated safety analysis summary must
contain: § 70.66 Additional requirements for ap-
(1) A general description of the site proval of license application.
with emphasis on those factors that (a) An application for a license from
could affect safety (i.e., meteorology, an applicant subject to subpart H will
seismology); be approved if the Commission deter-
(2) A general description of the facil- mines that the applicant has complied
ity with emphasis on those areas that with the requirements of §§ 70.21, 70.22,
could affect safety, including an identi- 70.23, and 70.60 through 70.65.
fication of the controlled area bound- (b) Submittals by existing licensees
aries; in accordance with § 70.62(c)(3)(i) will be
(3) A description of each process (de- approved if the Commission determines
fined as a single reasonably simple in- that:
tegrated unit operation within an over- (1) The integrated safety analysis ap-
all production line) analyzed in the in- proach is in accordance with the re-
tegrated safety analysis in sufficient quirements of §§ 70.61, 70.62(c)(1), and
detail to understand the theory of op- 70.62(c)(2); and
eration; and, for each process, the haz- (2) The schedule is in compliance
ards that were identified in the inte- with § 70.62(c)(3)(ii).
grated safety analysis pursuant to (c) Submittals by existing licensees
§ 70.62(c)(1)(i)–(iii) and a general de- in accordance with § 70.62(c)(3)(ii) will
scription of the types of accident se- be approved if the Commission deter-
quences; mines that:
(4) Information that demonstrates (1) The requirements of § 70.65(b) are
the licensee’s compliance with the per- satisfied; and
formance requirements of § 70.61, in- (2) The performance requirements in
cluding a description of the manage- § 70.61 (b), (c) and (d) are satisfied,
ment measures; the requirements for based on the information in the ISA
criticality monitoring and alarms in Summary, together with other infor-
§ 70.24; and, if applicable, the require- mation submitted to NRC or available
ments of § 70.64; to NRC at the licensee’s site.
(5) A description of the team, quali-
fications, and the methods used to per- § 70.72 Facility changes and change
form the integrated safety analysis; process.
(6) A list briefly describing each item (a) The licensee shall establish a con-
relied on for safety which is identified figuration management system to
pursuant to § 70.61(e) in sufficient detail evaluate, implement, and track each
to understand their functions in rela- change to the site, structures, proc-
tion to the performance requirements esses, systems, equipment, compo-
of § 70.61; nents, computer programs, and activi-
(7) A description of the proposed ties of personnel. This system must be
quantitative standards used to assess documented in written procedures and
the consequences to an individual from must assure that the following are ad-
acute chemical exposure to licensed dressed prior to implementing any
material or chemicals produced from change:
licensed materials which are on-site, or (1) The technical basis for the
expected to be on-site as described in change;
§ 70.61(b)(4) and (c)(4); (2) Impact of the change on safety
(8) A descriptive list that identifies and health or control of licensed mate-
all items relied on for safety that are rial;
the sole item preventing or mitigating (3) Modifications to existing oper-
an accident sequence that exceeds the ating procedures including any nec-
performance requirements of § 70.61; essary training or retraining before op-
and eration;
324
(4) Authorization requirements for shall submit to NRC annually, within

the change; 30 days after the end of the calendar
(5) For temporary changes, the ap- year during which the changes oc-
proved duration (e.g., expiration date) curred, a brief summary of all changes
of the change; and to the records required by § 70.62(a)(2)
(6) The impacts or modifications to of this subpart.
the integrated safety analysis, inte- (3) For all changes that affect the in-
grated safety analysis summary, or tegrated safety analysis summary, the
other safety program information, de- licensee shall submit to NRC annually,
veloped in accordance with § 70.62. within 30 days after the end of the cal-
(b) Any change to site, structures, endar year during which the changes
processes, systems, equipment, compo- occurred, revised integrated safety
nents, computer programs, and activi- analysis summary pages.
ties of personnel must be evaluated by (e) If a change covered by § 70.72 is
the licensee as specified in paragraph made, the affected on-site documenta-
(a) of this section, before the change is tion must be updated promptly.
implemented. The evaluation of the (f) The licensee shall maintain
change must determine, before the records of changes to its facility car-
change is implemented, if an amend- ried out under this section. These
ment to the license is required to be records must include a written evalua-
submitted in accordance with § 70.34. tion that provides the bases for the de-
(c) The licensee may make changes termination that the changes do not
to the site, structures, processes, sys- require prior Commission approval
tems, equipment, components, com- under paragraph (c) or (d) of this sec-
puter programs, and activities of per- tion. These records must be maintained
sonnel, without prior Commission ap- until termination of the license.
proval, if the change: [65 FR 56226, Sept. 18, 2000, as amended at 71
(1) Does not: FR 56346, Sept. 27, 2006]
(i) Create new types of accident se-
quences that, unless mitigated or pre- § 70.73 Renewal of licenses.
vented, would exceed the performance Applications for renewal of a license
requirements of § 70.61 and that have must be filed in accordance with
not previously been described in the in- §§ 2.109, 70.21, 70.22, 70.33, 70.38, and 70.65
tegrated safety analysis summary; or of this chapter. Information contained
(ii) Use new processes, technologies, in previous applications, statements,
or control systems for which the li- or reports filed with the Commission
censee has no prior experience; under the license may be incorporated
(2) Does not remove, without at least by reference, provided that these ref-
an equivalent replacement of the safe- erences are clear and specific.
ty function, an item relied on for safe-
ty that is listed in the integrated safe- § 70.74 Additional reporting require-
ty analysis summary and is necessary ments.
for compliance with the performance (a) Reports to NRC Operations Center.
requirements of § 70.61; (1) Each licensee shall report to the
(3) Does not alter any item relied on NRC Operations Center the events de-
for safety, listed in the integrated safe- scribed in Appendix A to Part 70.
ty analysis summary, that is the sole (2) Reports must be made by a knowl-
item preventing or mitigating an acci- edgeable licensee representative and by
dent sequence that exceeds the per- any method that will ensure compli-
formance requirements of § 70.61; and ance with the required time period for
(4) Is not otherwise prohibited by this reporting.
section, license condition, or order. (3) The information provided must in-
(d)(1) For changes that require preclude a description of the event and
approval under § 70.72, the licensee other related information as described
shall submit an amendment request to in § 70.50(c)(1).
the NRC in accordance with § 70.34 and (4) Follow-up information to the re-
§ 70.65 of this chapter. ports must be provided until all infor-

(2) For changes that do not require mation required to be reported in
pre-approval under § 70.72, the licensee § 70.50(c)(1) of this subpart is complete.
325
§ 70.76 10 CFR Ch. I (1–1–11 Edition)
(5) Each licensee shall provide rea- evaluation for its finding, any of the
sonable assurance that reliable com- following:
munication with the NRC Operations (i) That a modification is necessary
Center is available during each event. to bring a facility into compliance
(b) Written reports. Each licensee that with Subpart H of this part;
makes a report required by paragraph (ii) That a modification is necessary
(a)(1) of this section shall submit a to bring a facility into compliance
written follow-up report within 30 days with a license or the rules or orders of
of the initial report. The written report the Commission, or into conformance
must contain the information as de- with written commitments by the li-
scribed in § 70.50(c)(2). censee;
(iii) That regulatory action is nec-
§ 70.76 Backfitting. essary to ensure that the facility pro-
(a) For each licensee, this provision vides adequate protection to the health
shall apply to Subpart H requirements and safety of the public and is in ac-
as soon as the NRC approves that li- cord with the common defense and se-
censee’s ISA Summary pursuant to curity; or
§ 70.66. For requirements other than (iv) That the regulatory action in-
Subpart H, this provision applies re- volves defining or redefining what level
gardless of the status of the approval of of protection to the public health and
a licensee’s ISA Summary. safety or common defense and security
(1) Backfitting is defined as the should be regarded as adequate.
modification of, or addition to, sys- (5) The Commission shall always re-
tems, structures, or components of a quire the backfitting of a facility if it
facility; or to the procedures or organi- determines that the regulatory action
zation required to operate a facility; is necessary to ensure that the facility
any of which may result from a new or provides adequate protection to the
amended provision in the Commission health and safety of the public and is
rules or the imposition of a regulatory in accord with the common defense and
staff position interpreting the Commis- security.
sion rules that is either new or dif- (6) The documented evaluation re-
ferent from a previous NRC staff posi- quired by paragraph (a)(4) of this sec-
tion. tion must include a statement of the
(2) Except as provided in paragraph objectives of and reasons for the modi-
(a)(4) of this section, the Commission fication and the basis for invoking the
shall require a systematic and docu- exception. If immediate effective regu-
mented analysis pursuant to paragraph latory action is required, then the doc-
(b) of this section for backfits which it umented evaluation may follow, rather
seeks to impose. than precede, the regulatory action.
(3) Except as provided in paragraph (7) If there are two or more ways to
(a)(4) of this section, the Commission achieve compliance with a license or
shall require the backfitting of a facil- the rules or orders of the Commission,
ity only when it determines, based on or with written license commitments,
the analysis described in paragraph (b) or there are two or more ways to reach
of this section, that there is a substan- an adequate level of protection, then
tial increase in the overall protection ordinarily the licensee is free to choose
of the public health and safety or the the way that best suits its purposes.
common defense and security to be de- However, should it be necessary or ap-
rived from the backfit and that the di- propriate for the Commission to pre-
rect and indirect costs of implementa- scribe a specific way to comply with its
tion for that facility are justified in requirements or to achieve adequate
view of this increased protection. protection, then cost may be a factor
(4) The provisions of paragraphs (a)(2) in selecting the way, provided that the
and (a)(3) of this section are inappli- objective of compliance or adequate
cable and, therefore, backfit analysis is protection is met.
not required and the standards in para- (b) In reaching the determination re-
graph (a)(3) of this section do not apply quired by paragraph (a)(3) of this sec-
where the Commission finds and de- tion, the Commission will consider how
clares, with appropriately documented the backfit should be scheduled in light
326
of other ongoing regulatory activities Subpart I—Modification and

at the facility and, in addition, will Revocation of Licenses
consider information available con-
cerning any of the following factors as § 70.81 Modification and revocation of
may be appropriate and any other in- licenses.
formation relevant and material to the (a) The terms and conditions of all li-
proposed backfit: censes shall be subject to amendment,
(1) Statement of the specific objec- revision, or modification by reason of
tives that the proposed backfit is de- amendments to the Atomic Energy Act
signed to achieve; of 1954, or by reason of rules, regula-
(2) General description of the activity tions or orders issued in accordance
that would be required by the licensee with the Act or any amendments there-
in order to complete the backfit; to;
(3) Potential change in the risk to (b) Any license may be revoked, sus-
the public from the accidental release pended or modified for any material
of radioactive material and hazardous false statements in the application or
chemicals produced from licensed ma- any statement of fact required under
terial; section 182 of the Act or because of
(4) Potential impact on radiological conditions revealed by such application
exposure or exposure to hazardous or statement of fact or any report,
chemicals produced from licensed ma- record, or inspection or other means
terial of facility employees; which would warrant the Commission
(5) Installation and continuing costs to refuse to grant a license on an origi-
associated with the backfit, including nal application, or for failure to con-
the cost of facility downtime; struct or operate a facility in accord-
(6) The potential safety impact of ance with the terms of the construc-
changes in facility or operational com- tion permit or license, the technical
plexity, including the relationship to specifications in the application, or for
proposed and existing regulatory re- violation of, or failure to observe any
quirements; of the terms and conditions of the Act,
(7) The estimated resource burden on or of any regulation of the Commis-
the NRC associated with the proposed sion.
backfit and the availability of such re- (c) Upon revocation, suspension or
sources; modification of a license, the Commis-
(8) The potential impact of dif- sion may immediately retake posses-
ferences in facility type, design, or age sion of all special nuclear material
on the relevancy and practicality of held by the licensee. In cases found by
the proposed backfit; and the Commission to be of extreme im-
(9) Whether the proposed backfit is portance to the national defense or se-
interim or final and, if interim, the jus- curity, or to the health and safety of
tification for imposing the proposed the public, the Commission may recap-
backfit on an interim basis. ture any special nuclear material held
(c) No license will be withheld during by the licensee prior to any of the pro-
the pendency of backfit analyses re- cedures provided under section 551–558
quired by the Commission’s rules. of title 5 of the United States Code.
(d) The Executive Director for Oper- (d) Except in cases of willfulness or
ations shall be responsible for imple- those in which the public health, inter-
mentation of this section, and all anal- est or safety requires otherwise, no li-
yses required by this section shall be cense shall be modified, suspended or
approved by the Executive Director for revoked unless, prior to the institution
Operations or his or her designee. of proceedings therefor, facts or con-
duct which may warrant such action
[65 FR 56226, Sept. 18, 2000]
shall have been called to the attention
327
§ 70.82 10 CFR Ch. I (1–1–11 Edition)
of the licensee in writing and the li- (iv) Any term, condition, or limita-
censee shall have been accorded oppor- tion of any license issued under the
tunity to demonstrate or achieve com- sections specified in paragraph (b)(1)(i)
pliance with all lawful requirements. of this section.
11461, July 17, 1970. Redesignated at 65 FR
56226, Sept. 18, 2000] of the Atomic Energy Act of 1954, as
amended.
§ 70.82 Suspension and operation in [57 FR 55077, Nov. 24, 1992. Redesignated at 65
war or national emergency. FR 56226, Sept. 18, 2000]
Whenever Congress declares that a
state of war or national emergency ex- § 70.92 Criminal penalties.
ists, the Commission, if it finds it nec- (a) Section 223 of the Atomic Energy
essary to the common defense and se- Act of 1954, as amended, provides for
curity may, criminal sanctions for willful violation
(a) Suspend any license it has issued. of, attempted violation of, or con-
(b) Order the recapture of special nu- spiracy to violate, any regulation
clear material. issued under sections 161b, 161i, or 161o
(c) Order the operation of any li- of the Act. For purposes of section 223,
censed facility. all the regulations in part 70 are issued
(d) Order entry into any plant or fa- under one or more of sections 161b, 161i,
cility in order to recapture special nu- or 161o, except for the sections listed in
clear material or to operate the facil- paragraph (b) of this section.
ity. Just compensation shall be paid (b) The regulations in part 70 that
for any damages caused by recapture of are not issued under sections 161b, 161i,
special nuclear material or by oper- or 161o, for the purposes of section 223
ation of any facility, pursuant to this are as follows: §§ 70.1, 70.2, 70.4, 70.5,
section. 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,
4056, Mar. 15, 1967; 35 FR 11461, July 17, 1970.
Redesignated at 65 FR 56226, Sept. 18, 2000] and 70.92.
[57 FR 55077, Nov. 24, 1992. Redesignated and
Subpart J—Enforcement amended at 65 FR 56226, Sept. 18, 2000]
§ 70.91 Violations. APPENDIX A TO PART 70—REPORTABLE

SAFETY EVENTS
injunction or other court order to pre- Licensees must comply with reporting re-
vent a violation of the provisions of— quirements in this appendix. As required by
(1) The Atomic Energy Act of 1954, as 10 CFR 70.74, licensees subject to the require-
ments in subpart H of part 70, shall report:
amended; (a) One hour reports. Events to be reported
(2) Title II of the Energy Reorganiza- to the NRC Operations Center within 1 hour
tion Act of 1974, as amended; or of discovery, supplemented with the infor-
(3) A regulation or order issued pur- mation in 10 CFR 70.50(c)(1) as it becomes
suant to those Acts. available, followed by a written report with-
(b) The Commission may obtain a in 30 days:
court order for the payment of a civil (1) An inadvertent nuclear criticality.
(2) An acute intake by an individual of 30
penalty imposed under section 234 of mg or greater of uranium in a soluble form.
the Atomic Energy Act: (3) An acute chemical exposure to an indi-
(1) For violations of— vidual from licensed material or hazardous
(i) Sections 53, 57, 62, 63, 81, 82, 101, chemicals produced from licensed material
103, 104, 107, or 109 of the Atomic En- that exceeds the quantitative standards es-
ergy Act of 1954, as amended; tablished to satisfy the requirements in
(ii) Section 206 of the Energy Reorga- § 70.61(b)(4).
(4) An event or condition such that no
nization Act;
items relied on for safety, as documented in
(iii) Any rule, regulation, or order
the Integrated Safety Analysis summary, re-

issued pursuant to the sections speci- main available and reliable, in an accident
fied in paragraph (b)(1)(i) of this sec- sequence evaluated in the Integrated Safety
tion; Analysis, to perform their function:
328
(i) In the context of the performance re- PART 71—PACKAGING AND
quirements in § 70.61(b) and § 70.61(c), or
(ii) Prevent a nuclear criticality accident
TRANSPORTATION OF RADIO-
(i.e., loss of all controls in a particular se- ACTIVE MATERIAL
quence).
(5) Loss of controls such that only one Subpart A—General Provisions
item relied on for safety, as documented in Sec.
the Integrated Safety Analysis summary, re- 71.0 Purpose and scope.
mains available and reliable to prevent a nu- 71.1 Communications and records.
clear criticality accident, and has been in 71.2 Interpretations.
this state for greater than eight hours. 71.3 Requirement for license.
(b) Twenty-four hour reports. Events to be 71.4 Definitions.
reported to the NRC Operations Center with- 71.5 Transportation of licensed material.
in 24 hours of discovery, supplemented with 71.6 Information collection requirements:
the information in 10 CFR 70.50(c)(1) as it be- OMB approval.
comes available, followed by a written report 71.7 Completeness and accuracy of informa-
within 30 days: tion.
(1) Any event or condition that results in 71.8 Deliberate misconduct.
the facility being in a state that was not
71.10 Public inspection of application.
analyzed, was improperly analyzed, or is dif-
71.11 Protection of Safeguards Information.
ferent from that analyzed in the Integrated
Safety Analysis, and which results in failure Subpart B—Exemptions
to meet the performance requirements of
§ 70.61. 71.12 Specific exemptions.
(2) Loss or degradation of items relied on 71.13 Exemption of physicians.
for safety that results in failure to meet the 71.14 Exemption for low-level materials.
performance requirement of § 70.61. 71.15 Exemption from classification as
(3) An acute chemical exposure to an indi- fissile material.
vidual from licensed material or hazardous 71.16 [Reserved]
chemicals produced from licensed materials
Subpart C—General Licenses
that exceeds the quantitative standards that
satisfy the requirements of § 70.61(c)(4). 71.17 General license: NRC-approved pack-
(4) Any natural phenomenon or other ex- age.
ternal event, including fires internal and ex- 71.18 [Reserved]
ternal to the facility, that has affected or 71.19 Previously approved package.
may have affected the intended safety func- 71.21 General license: Use of foreign ap-
tion or availability or reliability of one or proved package.
more items relied on for safety. 71.22 General license: Fissile material.
(5) An occurrence of an event or process de- 71.23 General license: Plutonium-beryllium
viation that was considered in the Integrated special form material.
71.24–71.25 [Reserved]
Safety Analysis and:
(i) Was dismissed due to its likelihood; or Subpart D—Application for Package
(ii) Was categorized as unlikely and whose
Approval
associated unmitigated consequences would
have exceeded those in § 70.61(b) had the 71.31 Contents of application.
item(s) relied on for safety not performed 71.33 Package description.
their safety function(s). 71.35 Package evaluation.
(c) Concurrent Reports. Any event or situa- 71.37 Quality assurance.
tion, related to the health and safety of the 71.38 Renewal of a certificate of compliance
public or onsite personnel, or protection of or quality assurance program approval.
the environment, for which a news release is 71.39 Requirement for additional informa-
planned or notification to other government tion.
agencies has been or will be made, shall be
reported to the NRC Operations Center con-
Subpart E—Package Approval Standards
current to the news release or other notifica- 71.41 Demonstration of compliance.
tion. 71.43 General standards for all packages.
71.45 Lifting and tie-down standards for all
[65 FR 56231, Sept. 18, 2000, as amended at 75
packages.
FR 73944, Nov. 30, 2010]
71.47 External radiation standards for all
packages.
71.51 Additional requirements for Type B
packages.
71.53 [Reserved]
329
§ 71.0 10 CFR Ch. I (1–1–11 Edition)
71.55 General requirements for fissile mate- 71.133 Corrective action.
rial packages. 71.135 Quality assurance records.
71.57 [Reserved] 71.137 Audits.
71.59 Standards for arrays of fissile material APPENDIX A TO PART 71—DETERMINATION OF
packages. A1 AND A2
71.61 Special requirements for Type B pack-
ages containing more than 105A2. AUTHORITY: Secs. 53, 57, 62, 63, 81, 161, 182,
71.63 Special requirement for plutonium 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as
shipments. amended, sec. 1701, 106 Stat. 2951, 2952, 2953
71.64 Special requirements for plutonium (42 U.S.C. 2073, 2077, 2092, 2093, 2111, 2201, 2232,
air shipments. 2233, 2297f); secs. 201, as amended, 202, 206, 88
71.65 Additional requirements. Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44
Subpart F—Package, Special Form, and U.S.C. 3504 note); Energy Policy Act of 2005,
LSA-III Tests Pub. L. No. 109–58, 119 Stat. 594 (2005).
Section 71.97 also issued under sec. 301,
71.71 Normal conditions of transport. Pub. L. 96–295, 94 Stat. 789–790.
71.73 Hypothetical accident conditions.
71.74 Accident conditions for air transport SOURCE: 60 FR 50264, Sept. 28, 1995, unless
of plutonium. otherwise noted.
71.75 Qualification of special form radio-
active material. Subpart A—General Provisions
71.77 Qualification of LSA-III Material.
Subpart G—Operating Controls and SOURCE: 69 FR 3786, Jan. 26, 2004, unless
Procedures otherwise noted.
71.81 Applicability of operating controls and § 71.0 Purpose and scope.

procedures. (a) This part establishes—
71.83 Assumptions as to unknown prop-
erties.
(1) Requirements for packaging, prep-
71.85 Preliminary determinations. aration for shipment, and transpor-
71.87 Routine determinations. tation of licensed material; and
71.88 Air transport of plutonium. (2) Procedures and standards for NRC
71.89 Opening instructions. approval of packaging and shipping
71.91 Records. procedures for fissile material and for a
71.93 Inspection and tests. quantity of other licensed material in
71.95 Reports.
excess of a Type A quantity.
71.97 Advance notification of shipment of ir-
radiated reactor fuel and nuclear waste. (b) The packaging and transport of li-
71.99 Violations. censed material are also subject to
71.100 Criminal penalties. other parts of this chapter (e.g., 10 CFR
parts 20, 21, 30, 40, 70, and 73) and to the
Subpart H—Quality Assurance regulations of other agencies (e.g., the
U.S. Department of Transportation
71.101 Quality assurance requirements.
71.103 Quality assurance organization. (DOT) and the U.S. Postal Service) 1
71.105 Quality assurance program. having jurisdiction over means of
71.107 Package design control. transport. The requirements of this
71.109 Procurement document control. part are in addition to, and not in sub-
71.111 Instructions, procedures, and draw- stitution for, other requirements.
ings. (c) The regulations in this part apply
71.113 Document control. to any licensee authorized by specific
71.115 Control of purchased material, equip-
or general license issued by the Com-
ment, and services.
71.117 Identification and control of mate- mission to receive, possess, use, or
rials, parts, and components. transfer licensed material, if the li-
71.119 Control of special processes. censee delivers that material to a car-
71.121 Internal inspection. rier for transport, transports the mate-
71.123 Test control. rial outside the site of usage as speci-
71.125 Control of measuring and test equip- fied in the NRC license, or transports
ment. that material on public highways. No
71.127 Handling, storage, and shipping con-
trol.
71.129 Inspection, test, and operating status. 1 Postal Service manual (Domestic Mail
71.131 Nonconforming materials, parts, or Manual), Section 124, which is incorporated

components. by reference at 39 CFR 111.1.
330
provision of this part authorizes pos- proval holder’s, or applicant’s activi-

session of licensed material. ties subject to this part, that they may
(d)(1) Exemptions from the require- be individually subject to NRC enforce-
ment for license in § 71.3 are specified ment action for violation of § 71.8.
in § 71.14. General licenses for which no
NRC package approval is required are § 71.1 Communications and records.
issued in §§ 71.20 through 71.23. The gen- (a) Except where otherwise specified,
eral license in § 71.17 requires that an all communications and reports con-
NRC certificate of compliance or other cerning the regulations in this part and
package approval be issued for the applications filed under them should be
package to be used under this general sent by mail addressed: ATTN: Docu-
license. ment Control Desk, Director, Division
(2) Application for package approval of Spent Fuel Storage and Transpor-
must be completed in accordance with tation, Office of Nuclear Material Safe-
subpart D of this part, demonstrating ty and Safeguards, U.S. Nuclear Regu-
that the design of the package to be latory Commission, Washington, DC
used satisfies the package approval 20555–0001, by hand delivery to the
standards contained in subpart E of NRC’s offices at 11555 Rockville Pike,
this part, as related to the tests of sub- Rockville, Maryland; or, where prac-
part F of this part. ticable, by electronic submission, for
(3) A licensee transporting licensed example, via Electronic Information
material, or delivering licensed mate- Exchange, or CD-ROM. Electronic sub-
rial to a carrier for transport, shall missions must be made in a manner
comply with the operating control re- that enables the NRC to receive, read,
quirements of subpart G of this part; authenticate, distribute, and archive
the quality assurance requirements of the submission, and process and re-
subpart H of this part; and the general trieve it a single page at a time. De-
provisions of subpart A of this part, in- tailed guidance on making electronic
cluding DOT regulations referenced in submissions can be obtained by visiting
§ 71.5. the NRC’s Web site at http://
(e) The regulations of this part apply www.nrc.gov/site-help/e-submittals.html;
to any person holding, or applying for, by e-mail to MSHD.Resource@nrc.gov;
a certificate of compliance, issued pur- or by writing the Office of Information
suant to this part, for a package in- Services, U.S. Nuclear Regulatory
tended for the transportation of radio- Commission, Washington, DC 20555–
active material, outside the confines of 0001. The guidance discusses, among
a licensee’s facility or authorized place other topics, the formats the NRC can
of use. accept, the use of electronic signa-
(f) The regulations in this part apply tures, and the treatment of nonpublic
to any person required to obtain a cer- information. If the submission date
tificate of compliance, or an approved falls on a Saturday, Sunday, or a Fed-
compliance plan, pursuant to part 76 of eral holiday, the next Federal working
this chapter, if the person delivers ra- day becomes the official due date.
dioactive material to a common or (b) Each record required by this part
contract carrier for transport or trans- must be legible throughout the reten-
ports the material outside the confines tion period specified by each Commis-
of the person’s plant or other author- sion regulation. The record may be the
ized place of use. original or a reproduced copy or a
(g) This part also gives notice to all microform provided that the copy or
persons who knowingly provide to any microform is authenticated by author-
licensee, certificate holder, quality as- ized personnel and that the microform
surance program approval holder, ap- is capable of producing a clear copy
plicant for a license, certificate, or throughout the required retention pe-
quality assurance program approval, or riod. The record may also be stored in
to a contractor, or subcontractor of electronic media with the capability
any of them, components, equipment, for producing legible, accurate, and
materials, or other goods or services, complete records during the required

that relate to a licensee’s, certificate retention period. Records such as let-
holder’s, quality assurance program ap- ters, drawings, and specifications must
331
§ 71.2 10 CFR Ch. I (1–1–11 Edition)
include all pertinent information such Carrier means a person engaged in the
as stamps, initials, and signatures. The transportation of passengers or prop-
licensee shall maintain adequate safe- erty by land or water as a common,
guards against tampering with and loss contract, or private carrier, or by civil
of records. aircraft.
Certificate holder means a person who
[69 FR 3786, Jan. 26, 2004; 69 FR 58038, Sept.
29, 2004, as amended at 74 FR 62683, Dec. 1, has been issued a certificate of compli-
2009; 75 FR 73945, Nov. 30, 2010] ance or other package approval by the
Commission.
§ 71.2 Interpretations. Certificate of Compliance (CoC) means
the certificate issued by the Commis-
sion under subpart D of this part which
the Commission in writing, no inter-
approves the design of a package for
the transportation of radioactive mate-
tions in this part by any officer or em-
rial.
ployee of the Commission, other than a
Close reflection by water means imme-
written interpretation by the General
diate contact by water of sufficient
Counsel, will be recognized to be bind-
thickness for maximum reflection of
ing upon the Commission.
neutrons.
§ 71.3 Requirement for license. Consignment means each shipment of
a package or groups of packages or
Except as authorized in a general li- load of radioactive material offered by
cense or a specific license issued by the a shipper for transport.
Commission, or as exempted in this Containment system means the assem-
part, no licensee may— bly of components of the packaging in-
(a) Deliver licensed material to a car- tended to retain the radioactive mate-
rier for transport; or rial during transport.
(b) Transport licensed material. Conveyance means:
(1) For transport by public highway
§ 71.4 Definitions. or rail any transport vehicle or large
The following terms are as defined freight container;
here for the purpose of this part. To en- (2) For transport by water any vessel,
sure compatibility with international or any hold, compartment, or defined
transportation standards, all limits in deck area of a vessel including any
this part are given in terms of dual transport vehicle on board the vessel;
units: The International System of and
Units (SI) followed or preceded by U.S. (3) For transport by any aircraft.
standard or customary units. The U.S. Criticality Safety Index (CSI) means
customary units are not exact equiva- the dimensionless number (rounded up
lents but are rounded to a convenient to the next tenth) assigned to and
value, providing a functionally equiva- placed on the label of a fissile material
lent unit. For the purpose of this part, package, to designate the degree of
either unit may be used. control of accumulation of packages
A1 means the maximum activity of containing fissile material during
special form radioactive material per- transportation. Determination of the
mitted in a Type A package. This value criticality safety index is described in
is either listed in Appendix A, Table A– §§ 71.22, 71.23, and 71.59.
1, of this part, or may be derived in ac- Deuterium means, for the purposes of
cordance with the procedures pre- §§ 71.15 and 71.22, deuterium and any
scribed in Appendix A of this part. deuterium compounds, including heavy
A2 means the maximum activity of water, in which the ratio of deuterium
radioactive material, other than spe- atoms to hydrogen atoms exceeds
cial form material, LSA, and SCO ma- 1:5000.
terial, permitted in a Type A package. DOT means the U.S. Department of
This value is either listed in Appendix Transportation.
A, Table A–1, of this part, or may be Exclusive use means the sole use by a
derived in accordance with the proce- single consignor of a conveyance for

dures prescribed in Appendix A of this which all initial, intermediate, and
part. final loading and unloading are carried
332
out in accordance with the direction of thorium or their solid or liquid com-
the consignor or consignee. The con- pounds or mixtures;
signor and the carrier must ensure that (iii) Radioactive material for which
any loading or unloading is performed the A2 value is unlimited; or
by personnel having radiological train- (iv) Other radioactive material in
ing and resources appropriate for safe which the activity is distributed
handling of the consignment. The con- throughout and the estimated average
signor must issue specific instructions, specific activity does not exceed 30
in writing, for maintenance of exclu- times the value for exempt material
sive use shipment controls, and include activity concentration determined in
them with the shipping paper informa- accordance with Appendix A.
tion provided to the carrier by the con- (2) LSA—II.
signor. (i) Water with tritium concentration
Fissile material means the radio- up to 0.8 TBq/liter (20.0 Ci/liter); or
nuclides uranium-233, uranium-235, plu- (ii) Other material in which the ac-
tonium-239, and plutonium-241, or any tivity is distributed throughout and
combination of these radionuclides. the average specific activity does not
Fissile material means the fissile exceed 10¥4 A2/g for solids and gases,
nuclides themselves, not material con- and 10¥5 A2/g for liquids.
taining fissile nuclides. Unirradiated
(3) LSA—III. Solids (e.g., consoli-
natural uranium and depleted uranium
dated wastes, activated materials), ex-
and natural uranium or depleted ura-
cluding powders, that satisfy the re-
nium, that has been irradiated in ther-
quirements of § 71.77, in which:
mal reactors only, are not included in
this definition. Certain exclusions from (i) The radioactive material is dis-
fissile material controls are provided tributed throughout a solid or a collec-
in § 71.15. tion of solid objects, or is essentially
Graphite means, for the purposes of uniformly distributed in a solid com-
§§ 71.15 and 71.22, graphite with a boron pact binding agent (such as concrete,
equivalent content less than 5 parts per bitumen, ceramic, etc.);
million and density greater than 1.5 (ii) The radioactive material is rel-
grams per cubic centimeter. atively insoluble, or it is intrinsically
Licensed material means byproduct, contained in a relatively insoluble ma-
source, or special nuclear material re- terial, so that even under loss of pack-
ceived, possessed, used, or transferred aging, the loss of radioactive material
under a general or specific license per package by leaching, when placed
issued by the Commission pursuant to in water for 7 days, would not exceed
the regulations in this chapter. 0.1 A2; and
Low Specific Activity (LSA) material (iii) The estimated average specific
means radioactive material with lim- activity of the solid does not exceed 2
ited specific activity which is × 10¥3 A2/g.
nonfissile or is excepted under § 71.15, Low toxicity alpha emitters means nat-
and which satisfies the descriptions ural uranium, depleted uranium, nat-
and limits set forth below. Shielding ural thorium; uranium-235, uranium-
materials surrounding the LSA mate- 238, thorium-232, thorium-228 or tho-
rial may not be considered in deter- rium-230 when contained in ores or
mining the estimated average specific physical or chemical concentrates or
activity of the package contents. LSA tailings; or alpha emitters with a half-
material must be in one of three life of less than 10 days.
groups: Maximum normal operating pressure
(1) LSA—I. means the maximum gauge pressure
(i) Uranium and thorium ores, con- that would develop in the containment
centrates of uranium and thorium ores, system in a period of 1 year under the
and other ores containing naturally oc- heat condition specified in § 71.71(c)(1),
curring radioactive radionuclides in the absence of venting, external
which are not intended to be processed cooling by an ancillary system, or
for the use of these radionuclides; operational controls during transport.

(ii) Solid unirradiated natural ura- Natural thorium means thorium with
nium or depleted uranium or natural the naturally occurring distribution of
333
§ 71.4 10 CFR Ch. I (1–1–11 Edition)
thorium isotopes (essentially 100 ical shocks. The vehicle, tie-down sys-
weight percent thorium-232). tem, and auxiliary equipment may be
Normal form radioactive material designated as part of the packaging.
means radioactive material that has Special form radioactive material means
not been demonstrated to qualify as radioactive material that satisfies the
‘‘special form radioactive material.’’ following conditions:
Optimum interspersed hydrogenous (1) It is either a single solid piece or
moderation means the presence of hy- is contained in a sealed capsule that
drogenous material between packages can be opened only by destroying the
to such an extent that the maximum capsule;
nuclear reactivity results. (2) The piece or capsule has at least
Package means the packaging to- one dimension not less than 5 mm (0.2
gether with its radioactive contents as in); and
presented for transport.
(3) It satisfies the requirements of
(1) Fissile material package or Type
§ 71.75. A special form encapsulation de-
AF package, Type BF package, Type
signed in accordance with the require-
B(U)F package, or Type B(M)F package
ments of § 71.4 in effect on June 30, 1983
means a fissile material packaging to-
(see 10 CFR part 71, revised as of Janu-
gether with its fissile material con-
ary 1, 1983), and constructed before
tents.
July 1, 1985, and a special form encap-
(2) Type A package means a Type A
sulation designed in accordance with
packaging together with its radio-
the requirements of § 71.4 in effect on
active contents. A Type A package is
March 31, 1996 (see 10 CFR part 71, re-
defined and must comply with the DOT
regulations in 49 CFR part 173. vised as of January 1, 1983), and con-
(3) Type B package means a Type B structed before April 1, 1998, may con-
packaging together with its radio- tinue to be used. Any other special
active contents. On approval, a Type B form encapsulation must meet the
package design is designated by NRC as specifications of this definition.
B(U) unless the package has a max- Specific activity of a radionuclide
imum normal operating pressure of means the radioactivity of the radio-
more than 700 kPa (100 lbs/in2) gauge or nuclide per unit mass of that nuclide.
a pressure relief device that would The specific activity of a material in
allow the release of radioactive mate- which the radionuclide is essentially
rial to the environment under the tests uniformly distributed is the radioac-
specified in § 71.73 (hypothetical acci- tivity per unit mass of the material.
dent conditions), in which case it will Spent nuclear fuel or Spent fuel means
receive a designation B(M). B(U) refers fuel that has been withdrawn from a
to the need for unilateral approval of nuclear reactor following irradiation,
international shipments; B(M) refers to has undergone at least 1 year’s decay
the need for multilateral approval of since being used as a source of energy
international shipments. There is no in a power reactor, and has not been
distinction made in how packages with chemically separated into its con-
these designations may be used in do- stituent elements by reprocessing.
mestic transportation. To determine Spent fuel includes the special nuclear
their distinction for international material, byproduct material, source
transportation, see DOT regulations in material, and other radioactive mate-
49 CFR Part 173. A Type B package ap- rials associated with fuel assemblies.
proved before September 6, 1983, was State means a State of the United
designated only as Type B. Limitations States, the District of Columbia, the
on its use are specified in § 71.19. Commonwealth of Puerto Rico, the
Packaging means the assembly of Virgin Islands, Guam, American
components necessary to ensure com- Samoa, and the Commonwealth of the
pliance with the packaging require- Northern Mariana Islands.
ments of this part. It may consist of Surface Contaminated Object (SCO)
one or more receptacles, absorbent ma- means a solid object that is not itself
terials, spacing structures, thermal in- classed as radioactive material, but

sulation, radiation shielding, and de- which has radioactive material distrib-
vices for cooling or absorbing mechan- uted on any of its surfaces. SCO must
334
be in one of two groups with surface ac- curies/cm2) for all other alpha
tivity not exceeding the following lim- emitters.
its: Transport index (TI) means the
(1) SCO-I: A solid object on which: dimensionless number (rounded up to
(i) The nonfixed contamination on the next tenth) placed on the label of a
the accessible surface averaged over 300 package, to designate the degree of
cm2 (or the area of the surface if less control to be exercised by the carrier
than 300 cm2) does not exceed 4 Bq/cm2 during transportation. The transport
(10¥4 microcurie/cm2) for beta and index is the number determined by
gamma and low toxicity alpha multiplying the maximum radiation
emitters, or 0.4 Bq/cm2 (10¥5 level in millisievert (mSv) per hour at
microcurie/cm2) for all other alpha 1 meter (3.3 ft) from the external sur-
emitters; face of the package by 100 (equivalent
(ii) The fixed contamination on the to the maximum radiation level in
accessible surface averaged over 300 millirem per hour at 1 meter (3.3 ft)).
cm2 (or the area of the surface if less Type A quantity means a quantity of
than 300 cm2) does not exceed 4 × 104 Bq/ radioactive material, the aggregate ra-
cm2 (1.0 microcurie/cm2) for beta and dioactivity of which does not exceed A1
gamma and low toxicity alpha for special form radioactive material,
emitters, or 4 × 103 Bq/cm2 (0.1 or A2, for normal form radioactive ma-
microcurie/cm2) for all other alpha terial, where A1 and A2 are given in
emitters; and Table A–1 of this part, or may be deter-
(iii) The nonfixed contamination plus mined by procedures described in Ap-
the fixed contamination on the inac- pendix A of this part.
cessible surface averaged over 300 cm2 Type B quantity means a quantity of
(or the area of the surface if less than radioactive material greater than a
300 cm2) does not exceed 4 × 104 Bq/cm2 Type A quantity.
(1 microcurie/cm2) for beta and gamma Unirradiated uranium means uranium
and low toxicity alpha emitters, or 4 × containing not more than 2 × 103 Bq of
103 Bq/cm2 (0.1 microcurie/cm2) for all plutonium per gram of uranium-235,
other alpha emitters. not more than 9 × 106 Bq of fission prod-
(2) SCO-II: A solid object on which ucts per gram of uranium-235, and not
the limits for SCO-I are exceeded and more than 5 × 10¥3 g of uranium-236 per
on which: gram of uranium-235.
(i) The nonfixed contamination on Uranium—natural, depleted, enriched:
the accessible surface averaged over 300 (1) Natural uranium means uranium
cm2 (or the area of the surface if less with the naturally occurring distribu-
than 300 cm2) does not exceed 400 Bq/ tion of uranium isotopes (approxi-
cm2 (10¥2 microcurie/cm2) for beta and mately 0.711 weight percent uranium-
gamma and low toxicity alpha emitters 235, and the remainder by weight essen-
or 40 Bq/cm2 (10¥3 microcurie/cm2) for tially uranium-238).
all other alpha emitters; (2) Depleted uranium means uranium
(ii) The fixed contamination on the containing less uranium-235 than the
accessible surface averaged over 300 naturally occurring distribution of ura-
cm2 (or the area of the surface if less nium isotopes.
than 300 cm2) does not exceed 8 × 105 Bq/ (3) Enriched uranium means uranium
cm2 (20 microcuries/cm2) for beta and containing more uranium-235 than the
gamma and low toxicity alpha naturally occurring distribution of ura-
emitters, or 8 × 104 Bq/cm2 (2 micro- nium isotopes.
curies/cm2) for all other alpha [69 FR 3786, Jan. 26, 2004; 69 FR 58038, Sept.
emitters; and 29, 2004]
(iii) The nonfixed contamination plus
the fixed contamination on the inac- § 71.5 Transportation of licensed mate-
cessible surface averaged over 300 cm2 rial.
(or the area of the surface if less than (a) Each licensee who transports li-
300 cm2) does not exceed 8 × 105 Bq/cm2 censed material outside the site of
(20 microcuries/cm2) for beta and usage, as specified in the NRC license,
gamma and low toxicity alpha or where transport is on public high-
emitters, or 8 × 104 Bq/cm2 (2 micro- ways, or who delivers licensed material
335
§ 71.6 10 CFR Ch. I (1–1–11 Edition)
to a carrier for transport, shall comply § 71.6 Information collection require-

with the applicable requirements of the ments: OMB approval.
DOT regulations in 49 CFR parts 107, (a) The Nuclear Regulatory Commis-
171 through 180, and 390 through 397, ap- sion has submitted the information
propriate to the mode of transport. collection requirements contained in
(1) The licensee shall particularly this part to the Office of Management
note DOT regulations in the following and Budget (OMB) for approval as re-
areas: quired by the Paperwork Reduction
(i) Packaging—49 CFR part 173: sub- Act (44 U.S.C. 3501 et seq.). The NRC
parts A, B, and I. may not conduct or sponsor, and a per-
(ii) Marking and labeling—49 CFR son is not required to respond to, a col-
part 172: subpart D; and §§ 172.400 lection of information unless it dis-
through 172.407 and §§ 172.436 through plays a currently valid OMB control
172.441 of subpart E. number. OMB has approved the infor-
(iii) Placarding—49 CFR part 172: sub- mation collection requirements con-
part F, especially §§ 172.500 through tained in this part under control num-
172.519 and 172.556; and appendices B ber 3150–0008.
and C. (b) The approved information collec-
(iv) Accident reporting—49 CFR part tion requirements contained in this
171: §§ 171.15 and 171.16. part appear in §§ 71.5, 71.7, 71.9, 71.12,
(v) Shipping papers and emergency 71.17, 71.19, 71.22, 71.23, 71.31, 71.33, 71.35,
information—49 CFR part 172: subparts 71.37, 71.38, 71.39, 71.41, 71.47, 71.85, 71.87,
C and G. 71.89, 71.91, 71.93, 71.95, 71.97, 71.101,
(vi) Hazardous material employee 71.103, 71.105, 71.107, 71.109, 71.111, 71.113,
training—49 CFR part 172: subpart H. 71.115, 71.117, 71.119, 71.121, 71.123, 71.125,
(vii) Security plans—49 CFR part 172: 71.127, 71.129, 71.131, 71.133, 71.135, 71.137,
subpart I. and Appendix A, Paragraph II.
(viii) Hazardous material shipper/car- [69 FR 3786, Jan. 26, 2004, as amended at 75
rier registration—49 CFR part 107: sub- FR 73945, Nov. 30, 2010]
part G.
(2) The licensee shall also note DOT § 71.7 Completeness and accuracy of
information.
regulations pertaining to the following
modes of transportation: (a) Information provided to the Com-
(i) Rail—49 CFR part 174: subparts A mission by a licensee, certificate hold-
through D and K. er, or an applicant for a license or CoC;
(ii) Air—49 CFR part 175. or information required by statute or
(iii) Vessel—49 CFR part 176: subparts by the Commission’s regulations, or-
A through F and M. ders, license or CoC conditions, to be
(iv) Public Highway—49 CFR part 177 maintained by the licensee or certifi-
and parts 390 through 397. cate holder, must be complete and ac-
curate in all material respects.
(b) If DOT regulations are not appli-
(b) Each licensee, certificate holder,
cable to a shipment of licensed mate-
or applicant for a license or CoC must
rial, the licensee shall conform to the
notify the Commission of information
standards and requirements of the DOT
identified by the licensee, certificate
specified in paragraph (a) of this sec-
holder, or applicant for a license or
tion to the same extent as if the ship-
CoC as having, for the regulated activ-
ment or transportation were subject to
ity, a significant implication for public
DOT regulations. A request for modi- health and safety or common defense
fication, waiver, or exemption from and security. A licensee, certificate
those requirements, and any notifica- holder, or an applicant for a license or
tion referred to in those requirements, CoC violates this paragraph only if the
must be filed with, or made to, the Di- licensee, certificate holder, or appli-
rector, Office of Nuclear Material Safe- cant for a license or CoC fails to notify
ty and Safeguards, U.S. Nuclear Regu- the Commission of information that
latory Commission, Washington, DC the licensee, certificate holder, or ap-
20555–0001. plicant for a license or CoC has identi-

[69 FR 3786, Jan. 26, 2004; 69 FR 58038, Sept. fied as having a significant implication
29, 2004] for public health and safety or common
336
defense and security. Notification must subject to enforcement action in ac-

be provided to the Administrator of the cordance with the procedures in 10 CFR
appropriate Regional Office within 2 part 2, subpart B.
working days of identifying the infor- (d) For the purposes of paragraph
mation. This requirement is not appli- (b)(1) of this section, deliberate mis-
cable to information which is already conduct by a person means an inten-
required to be provided to the Commis- tional act or omission that the person
sion by other reporting or updating re- knows:
quirements. (1) Would cause a licensee, certificate
holder, quality assurance program ap-
§ 71.8 Deliberate misconduct. proval holder, or applicant for a li-
(a) This section applies to any— cense, certificate, or quality assurance
(1) Licensee; program approval to be in violation of
(2) Certificate holder; any rule, regulation, or order; or any
(3) Quality assurance program ap- term, condition, or limitation of any li-
proval holder; cense or certificate issued by the Com-
(4) Applicant for a license, certifi- mission; or
cate, or quality assurance program ap- (2) Constitutes a violation of a re-
proval; quirement, procedure, instruction, con-
(5) Contractor (including a supplier tract, purchase order, or policy of a li-
or consultant) or subcontractor, to any censee, certificate holder, quality as-
person identified in paragraph (a)(4) of surance program approval holder, ap-
this section; or plicant, or the contractor or subcon-
(6) Employees of any person identi- tractor of any of them.
fied in paragraphs (a)(1) through (a)(5)
of this section. § 71.9 Employee protection.
(b) A person identified in paragraph (a) Discrimination by a Commission
(a) of this section who knowingly pro- licensee, certificate holder, an appli-
vides to any entity, listed in para- cant for a Commission license or a CoC,
graphs (a)(1) through (a)(5) of this sec- or a contractor or subcontractor of any
tion, any components, materials, or of these, against an employee for en-
other goods or services that relate to a gaging in certain protected activities,
licensee’s, certificate holder’s, quality is prohibited. Discrimination includes
assurance program approval holder’s, discharge and other actions that relate
or applicant’s activities subject to this to compensation, terms, conditions, or
part may not: privileges of employment. The pro-
(1) Engage in deliberate misconduct tected activities are established in sec-
that causes or would have caused, if tion 211 of the Energy Reorganization
not detected, a licensee, certificate Act of 1974, as amended, and in general
holder, quality assurance program ap- are related to the administration or en-
proval holder, or any applicant to be in forcement of a requirement imposed
violation of any rule, regulation, or under the Atomic Energy Act of 1954,
order; or any term, condition or limita- as amended, or the Energy Reorganiza-
tion of any license, certificate, or ap- tion Act of 1974, as amended.
proval issued by the Commission; or (1) The protected activities include,
(2) Deliberately submit to the NRC, a but are not limited to:
licensee, a certificate holder, quality (i) Providing the Commission or his
assurance program approval holder, an or her employer information about al-
applicant for a license, certificate or leged violations of either of the stat-
quality assurance program approval, or utes named in paragraph (a) of this sec-
a licensee’s, applicant’s, certificate tion or possible violations of require-
holder’s, or quality assurance program ments imposed under either of those
approval holder’s contractor or subcon- statutes;
tractor, information that the person (ii) Refusing to engage in any prac-
submitting the information knows to tice made unlawful under either of the
be incomplete or inaccurate in some statutes named in paragraph (a) of this
respect material to the NRC. section or under these requirements if

(c) A person who violates paragraph the employee has identified the alleged
(b)(1) or (b)(2) of this section may be illegality to the employer;
337
§ 71.9 10 CFR Ch. I (1–1–11 Edition)

institute action against his or her em- others, which adversely affect an em-
ployer for the administration or en- ployee may be predicated upon non-
in paragraph (a) of this section; and him or her immune from discharge or
(2) These activities are protected (e)(1) Each licensee, certificate hold-
even if no formal proceeding is actu- er, and applicant for a license or CoC
ally initiated as a result of the employ- must prominently post the current re-
ee’s assistance or participation. vision of NRC Form 3, ‘‘Notice to Em-
(3) This section has no application to ployees,’’ referenced in § 19.11(c) of this
any employee alleging discrimination chapter. This form must be posted at
prohibited by this section who, acting locations sufficient to permit employ-
without direction from his or her em- ees protected by this section to observe
ployer (or the employer’s agent), delib- a copy on the way to or from their
erately causes a violation of any re-
place of work. The premises must be
quirement of the Energy Reorganiza-
posted not later than 30 days after an
tion Act of 1974, as amended, or the
Atomic Energy Act of 1954, as amend- application is docketed and remain
ed. posted while the application is pending
(b) Any employee who believes that before the Commission, during the
he or she has been discharged or other- term of the license or CoC, and for 30
wise discriminated against by any per- days following license or CoC termi-
son for engaging in protected activities nation.
specified in paragraph (a)(1) of this sec- (2) Copies of NRC Form 3 may be ob-
tion may seek a remedy for the dis- tained by writing to the Regional Ad-
charge or discrimination through an ministrator of the appropriate U.S. Nu-
administrative proceeding in the De- clear Regulatory Commission Regional
partment of Labor. The administrative Office listed in Appendix D to Part 20
proceeding must be initiated within 180 of this chapter, by calling (301) 415–7232,
days after an alleged violation occurs. via e-mail to FORMS.Resource@nrc.gov,
The employee may do this by filing a or by visiting the NRC’s Web site at
complaint alleging the violation with http://www.nrc.gov and selecting forms
the Department of Labor, Employment from the index found on the home page.
Standards Administration, Wage and (f) No agreement affecting the com-
Hour Division. The Department of pensation, terms, conditions, or privi-
Labor may order reinstatement, back leges of employment, including an
pay, and compensatory damages. agreement to settle a complaint filed
(c) A violation of paragraph (a), (e), by an employee with the Department
or (f) of this section by a Commission of Labor pursuant to section 211 of the
licensee, certificate holder, applicant Energy Reorganization Act of 1974, as
for a Commission license or a CoC, or a
amended, may contain any provision
contractor or subcontractor of any of
which would prohibit, restrict, or oth-
these may be grounds for:
participating in a protected activity as
of the license or the CoC;
tion including, but not limited to, pro-
the licensee, applicant, or a contractor
or subcontractor of the licensee or ap- viding information to the NRC or to

plicant; or
(3) Other enforcement action.
338
his or her employer on potential viola- § 71.13 Exemption of physicians.

tions or other matters within NRC’s
Any physician licensed by a State to
regulatory responsibilities. dispense drugs in the practice of medi-
[69 FR 3786, Jan. 26, 2004, as amended at 72 cine is exempt from § 71.5 with respect
FR 63975, Nov. 14, 2007; 73 FR 30459, May 28, to transport by the physician of li-
2008] censed material for use in the practice
of medicine. However, any physician
§ 71.10 Public inspection of applica- operating under this exemption must
tion. be licensed under 10 CFR part 35 or the
Applications for approval of a pack- equivalent Agreement State regula-
age design under this part, which are tions.
submitted to the Commission, may be
made available for public inspection, in § 71.14 Exemption for low-level mate-
rials.
accordance with provisions of parts 2
and 9 of this chapter. This includes an (a) A licensee is exempt from all the
application to amend or revise an ex- requirements of this part with respect
isting package design, any associated to shipment or carriage of the fol-
documents and drawings submitted lowing low-level materials:
with the application, and any responses (1) Natural material and ores con-
to NRC requests for additional infor- taining naturally occurring radio-
mation. nuclides that are not intended to be
processed for use of these radio-
§ 71.11 Protection of Safeguards Infor- nuclides, provided the activity con-
mation. centration of the material does not ex-
ceed 10 times the values specified in
Each licensee, certificate holder, or
Appendix A, Table A–2, of this part.
applicant for a Certificate of Compli-
(2) Materials for which the activity
ance for a transportation package for
concentration is not greater than the
transport of irradiated reactor fuel,
activity concentration values specified
strategic special nuclear material, a
in Appendix A, Table A–2 of this part,
critical mass of special nuclear mate-
or for which the consignment activity
rial, or byproduct material in quan- is not greater than the limit for an ex-
tities determined by the Commission empt consignment found in Appendix
through order or regulation to be sig- A, Table A–2, of this part.
nificant to the public health and safety (b) A licensee is exempt from all the
or the common defense and security, requirements of this part, other than
shall protect Safeguards Information §§ 71.5 and 71.88, with respect to ship-
against unauthorized disclosure in ac- ment or carriage of the following pack-
cordance with the requirements in ages, provided the packages do not con-
§ 73.21 and the requirements of § 73.22 or tain any fissile material, or the mate-
§ 73.23 of this chapter, as applicable. rial is exempt from classification as
[73 FR 63572, Oct. 24, 2008] fissile material under § 71.15:
(1) A package that contains no more
than a Type A quantity of radioactive
Subpart B—Exemptions material;
(2) A package transported within the
SOURCE: 69 FR 3786, Jan. 26, 2004, unless United States that contains no more
otherwise noted. than 0.74 TBq (20 Ci) of special form
plutonium-244; or
§ 71.12 Specific exemptions.
(3) The package contains only LSA or
On application of any interested per- SCO radioactive material, provided—
son or on its own initiative, the Com- (i) That the LSA or SCO material has
mission may grant any exemption from an external radiation dose of less than
the requirements of the regulations in or equal to 10 mSv/h (1 rem/h), at a dis-
this part that it determines is author- tance of 3 m from the unshielded mate-
ized by law and will not endanger life rial; or

or property nor the common defense (ii) That the package contains only
and security. LSA-I or SCO-I material.
339
§ 71.15 10 CFR Ch. I (1–1–11 Edition)
§ 71.15 Exemption from classification than 1000 grams, of which not more
as fissile material. than 20 percent by mass may consist of
Fissile material meeting the require- plutonium-239, plutonium-241, or any
ments of at least one of the paragraphs combination of these radionuclides.
(a) through (f) of this section are ex-
empt from classification as fissile ma- § 71.16 [Reserved]
terial and from the fissile material
package standards of §§ 71.55 and 71.59, Subpart C—General Licenses
but are subject to all other require-
ments of this part, except as noted. SOURCE: 69 FR 3786, Jan. 26, 2004, unless
(a) Individual package containing 2 otherwise noted.
grams or less fissile material.
(b) Individual or bulk packaging con- § 71.17 General license: NRC-approved
taining 15 grams or less of fissile mate- package.
rial provided the package has at least
(a) A general license is issued to any
200 grams of solid nonfissile material
licensee of the Commission to trans-
for every gram of fissile material.
port, or to deliver to a carrier for
Lead, beryllium, graphite, and hydrog-
enous material enriched in deuterium transport, licensed material in a pack-
may be present in the package but age for which a license, certificate of
must not be included in determining compliance (CoC), or other approval
the required mass for solid nonfissile has been issued by the NRC.
material. (b) This general license applies only
(c)(1) Low concentrations of solid to a licensee who has a quality assur-
fissile material commingled with solid ance program approved by the Commis-
nonfissile material, provided that: sion as satisfying the provisions of sub-
(i) There is at least 2000 grams of part H of this part.
solid nonfissile material for every (c) This general license applies only
gram of fissile material, and to a licensee who—
(ii) There is no more than 180 grams (1) Has a copy of the CoC, or other
of fissile material distributed within approval of the package, and has the
360 kg of contiguous nonfissile mate- drawings and other documents ref-
rial. erenced in the approval relating to the
(2) Lead, beryllium, graphite, and hy- use and maintenance of the packaging
drogenous material enriched in deute- and to the actions to be taken before
rium may be present in the package shipment;
but must not be included in deter- (2) Complies with the terms and con-
mining the required mass of solid ditions of the license, certificate, or
nonfissile material. other approval, as applicable, and the
(d) Uranium enriched in uranium-235 applicable requirements of subparts A,
to a maximum of 1 percent by weight, G, and H of this part; and
and with total plutonium and uranium-
(3) Before the licensee’s first use of
233 content of up to 1 percent of the
the package, submits in writing to:
mass of uranium-235, provided that the
mass of any beryllium, graphite, and ATTN: Document Control Desk, Direc-
hydrogenous material enriched in deu- tor, Division of Spent Fuel Storage and
terium constitutes less than 5 percent Transportation, Office of Nuclear Ma-
of the uranium mass. terial Safety and Safeguards, using an
(e) Liquid solutions of uranyl nitrate appropriate method listed in § 71.1(a),
enriched in uranium-235 to a maximum the licensee’s name and license number
of 2 percent by mass, with a total plu- and the package identification number
tonium and uranium-233 content not specified in the package approval.
exceeding 0.002 percent of the mass of (d) This general license applies only
uranium, and with a minimum nitro- when the package approval authorizes
gen to uranium atomic ratio (N/U) of 2. use of the package under this general
The material must be contained in at license.
least a DOT Type A package. (e) For a Type B or fissile material

(f) Packages containing, individually, package, the design of which was ap-
a total plutonium mass of not more proved by NRC before April 1, 1996, the
340
general license is subject to the addi- teristics, or safe performance of the

tional restrictions of § 71.19. containment system, when the package
is subjected to the tests specified in
[69 FR 3786, Jan. 26, 2004, as amended at 75
FR 73945, Nov. 30, 2010] §§ 71.71 and 71.73;
(2) The modifications of a fissile ma-
§ 71.18 [Reserved] terial package are not significant, with
respect to the prevention of criticality,
§ 71.19 Previously approved package. when the package is subjected to the
(a) [Reserved] tests specified in §§ 71.71 and 71.73; and
(b) A Type B(U) package, a Type (3) The modifications to the package
B(M) package, or a fissile material satisfy the requirements of this part.
package, previously approved by the (e) NRC will revise the package iden-
NRC but without the designation ‘‘-85’’ tification number to designate pre-
in the identification number of the viously approved package designs as B,
NRC CoC, may be used under the gen- BF, AF, B(U), B(M), B(U)F, B(M)F,
eral license of § 71.17 with the following B(U)-85, B(U)F–85, B(M)-85, B(M)F–85,
additional conditions: or AF–85 as appropriate, and with the
(1) Fabrication of the package is sat- identification number suffix ‘‘-96’’ after
isfactorily completed by April 1, 1999, receipt of an application dem-
as demonstrated by application of its onstrating that the design meets the
model number in accordance with requirements of this part.
§ 71.85(c); [69 FR 3786, Jan. 26, 2004; 69 FR 6139, Feb. 10,
(2) A package used for a shipment to 2004]
a location outside the United States is
subject to multilateral approval as de- § 71.21 General license: Use of foreign
fined in DOT regulations at 49 CFR approved package.
173.403; and (a) A general license is issued to any
(3) A serial number which uniquely licensee of the Commission to trans-
identifies each packaging which con- port, or to deliver to a carrier for
forms to the approved design is as- transport, licensed material in a pack-
signed to and legibly and durably age, the design of which has been ap-
marked on the outside of each pack- proved in a foreign national competent
aging. authority certificate, that has been re-
(c) A Type B(U) package, a Type B(M) validated by DOT as meeting the appli-
package, or a fissile material package cable requirements of 49 CFR 171.12.
previously approved by the NRC with (b) Except as otherwise provided in
the designation ‘‘-85’’ in the identifica- this section, the general license applies
tion number of the NRC CoC, may be only to a licensee who has a quality as-
used under the general license of § 71.17 surance program approved by the Com-
with the following additional condi- mission as satisfying the applicable
tions: provisions of subpart H of this part.
(1) Fabrication of the package must (c) This general license applies only
be satisfactorily completed by Decem- to shipments made to or from locations
ber 31, 2006, as demonstrated by appli- outside the United States.
cation of its model number in accord- (d) This general license applies only
ance with § 71.85(c); and to a licensee who—
(2) After December 31, 2003, a package (1) Has a copy of the applicable cer-
used for a shipment to a location out- tificate, the revalidation, and the
side the United States is subject to drawings and other documents ref-
multilateral approval as defined in erenced in the certificate, relating to
DOT regulations at 49 CFR 173.403. the use and maintenance of the pack-
(d) NRC will approve modifications aging and to the actions to be taken
to the design and authorized contents before shipment; and
of a Type B package, or a fissile mate- (2) Complies with the terms and con-
rial package, previously approved by ditions of the certificate and revalida-
NRC, provided— tion, and with the applicable require-
(1) The modifications of a Type B ments of subparts A, G, and H of this

package are not significant with re- part. With respect to the quality assur-
spect to the design, operating charac- ance provisions of subpart H of this
341
§ 71.22 10 CFR Ch. I (1–1–11 Edition)
part, the licensee is exempt from de- (c) The general license applies only
sign, construction, and fabrication con- when a package’s contents:
siderations. (1) Contain no more than a Type A
quantity of radioactive material; and
§ 71.22 General license: Fissile mate- (2) Contain less than 500 total grams
rial. of beryllium, graphite, or hydrogenous
(a) A general license is issued to any material enriched in deuterium.
licensee of the Commission to trans- (d) The general license applies only
port fissile material, or to deliver to packages containing fissile material
fissile material to a carrier for trans- that are labeled with a CSI which:
port, if the material is shipped in ac- (1) Has been determined in accord-
cordance with this section. The fissile ance with paragraph (e) of this section;
material need not be contained in a (2) Has a value less than or equal to
package which meets the standards of 10; and
subparts E and F of this part; however, (3) For a shipment of multiple pack-
the material must be contained in a ages containing fissile material, the
Type A package. The Type A package sum of the CSIs must be less than or
must also meet the DOT requirements equal to 50 (for shipment on a non-
of 49 CFR 173.417(a). exclusive use conveyance) and less
(b) The general license applies only than or equal to 100 (for shipment on
to a licensee who has a quality assur- an exclusive use conveyance).
ance program approved by the Commis- (e)(1) The value for the CSI must be
sion as satisfying the provisions of sub- greater than or equal to the number
part H of this part. calculated by the following equation:
⎡ grams of 235
U grams of 233
U grams of Pu ⎤
CSI = 10 ⎢ + + ⎥;
⎣ X Y Z ⎦
(2) The calculated CSI must be round- (i) Uranium-233 is present in the
ed up to the first decimal place; package;
(3) The values of X, Y, and Z used in (ii) The mass of plutonium exceeds 1
the CSI equation must be taken from percent of the mass of uranium-235;
Tables 71–1 or 71–2, as appropriate; (iii) The uranium is of unknown ura-
(4) If Table 71–2 is used to obtain the nium-235 enrichment or greater than 24
value of X, then the values for the weight percent enrichment; or
terms in the equation for uranium-233 (iv) Substances having a moderating
effectiveness (i.e., an average hydrogen
and plutonium must be assumed to be
density greater than H2O) (e.g., certain
zero; and
hydrocarbon oils or plastics) are
(5) Table 71–1 values for X, Y, and Z present in any form, except as poly-
must be used to determine the CSI if: ethylene used for packing or wrapping.
TABLE 71–1—MASS LIMITS FOR GENERAL LICENSE PACKAGES CONTAINING MIXED QUANTITIES OF
FISSILE MATERIAL OR URANIUM-235 OF UNKNOWN ENRICHMENT PER § 71.22(e)
Fissile material Fissile material
mass mixed with mass mixed with
moderating sub- moderating sub-
stances having an
Fissile material stances having an
average hydrogen average hydrogen
density less than density greater
or equal to H2O than H2Oa (grams)
(grams)
235 U (X) ............................................................................................................................. 60 38

233 U (Y) ............................................................................................................................. 43 27
239 Pu or 241 Pu (Z) ............................................................................................................ 37 24

a When mixtures of moderating substances are present, the lower mass limits shall be used if more than 15 percent of the
moderating substance has an average hydrogen density greater than H2O.
342
ER26JA04.012</MATH>
TABLE 71–2—MASS LIMITS FOR GENERAL LI- cordance with this section. This mate-
CENSE PACKAGES CONTAINING URANIUM-235 rial need not be contained in a package
OF KNOWN ENRICHMENT PER § 71.22(e) which meets the standards of subparts
E and F of this part; however, the ma-
Fissile ma-
Uranium enrichment in weight percent of 235 U terial mass terial must be contained in a Type A
not exceeding of 235 U (X) package. The Type A package must
(grams)
also meet the DOT requirements of 49
24 ....................................................................... 60 CFR 173.417(a).
20 ....................................................................... 63 (b) The general license applies only
15 ....................................................................... 67
11 ....................................................................... 72 to a licensee who has a quality assur-
10 ....................................................................... 76 ance program approved by the Commis-
9.5 ...................................................................... 78 sion as satisfying the provisions of sub-
9 ......................................................................... 81
8.5 ...................................................................... 82 part H of this part.
8 ......................................................................... 85 (c) The general license applies only
7.5 ...................................................................... 88 when a package’s contents:
7 ......................................................................... 90
6.5 ...................................................................... 93 (1) Contain no more than a Type A
6 ......................................................................... 97 quantity of radioactive material; and
5.5 ...................................................................... 102 (2) Contain less than 1000 g of pluto-
5 ......................................................................... 108
4.5 ...................................................................... 114 nium, provided that: plutonium-239,
4 ......................................................................... 120 plutonium-241, or any combination of
3.5 ...................................................................... 132 these radionuclides, constitutes less
3 ......................................................................... 150
2.5 ...................................................................... 180 than 240 g of the total quantity of plu-
2 ......................................................................... 246 tonium in the package.
1.5 ...................................................................... 408 (d) The general license applies only
1.35 .................................................................... 480
1 ......................................................................... 1,020 to packages labeled with a CSI which:
0.92 .................................................................... 1,800 (1) Has been determined in accord-
ance with paragraph (e) of this section;
[69 FR 3786, Jan. 26, 2004; 69 FR 58038, Sept. (2) Has a value less than or equal to
29, 2004] 100; and
(3) For a shipment of multiple pack-
§ 71.23 General license: Plutonium-be- ages containing Pu-Be sealed sources,
ryllium special form material. the sum of the CSIs must be less than
(a) A general license is issued to any or equal to 50 (for shipment on a non-
licensee of the Commission to trans- exclusive use conveyance) and less
port fissile material in the form of plu- than or equal to 100 (for shipment on
tonium-beryllium (Pu-Be) special form an exclusive use conveyance).
sealed sources, or to deliver Pu-Be (e)(1) The value for the CSI must be
sealed sources to a carrier for trans- greater than or equal to the number
port, if the material is shipped in ac- calculated by the following equation:
⎡ grams of 239
Pu + grams of 241
Pu ⎤
CSI = 10 ⎢ ⎥ ; and
⎣ 24 ⎦
(2) The calculated CSI must be round- §§ 71.24–71.25 [Reserved]

ed up to the first decimal place.
[69 FR 3786, Jan. 26, 2004; 69 FR 58038, Sept. Subpart D—Application for
29, 2004] Package Approval
§ 71.31 Contents of application.
(a) An application for an approval
under this part must include, for each
proposed packaging design, the fol-

lowing information:
343
ER26JA04.013</MATH>
§ 71.33 10 CFR Ch. I (1–1–11 Edition)
(1) A package description as required (1) Identification and maximum ra-

by § 71.33; dioactivity of radioactive constituents;
(2) A package evaluation as required (2) Identification and maximum
by § 71.35; and quantities of fissile constituents;
(3) A quality assurance program de- (3) Chemical and physical form;
scription, as required by § 71.37, or a (4) Extent of reflection, the amount
reference to a previously approved and identity of nonfissile materials
quality assurance program. used as neutron absorbers or modera-
(b) Except as provided in § 71.13, an tors, and the atomic ratio of moderator
application for modification of a pack- to fissile constituents;
age design, whether for modification of (5) Maximum normal operating pres-
the packaging or authorized contents, sure;
must include sufficient information to (6) Maximum weight;
demonstrate that the proposed design (7) Maximum amount of decay heat;
satisfies the package standards in ef- and
fect at the time the application is filed. (8) Identification and volumes of any
(c) The applicant shall identify any coolants.
established codes and standards pro-
posed for use in package design, fab- § 71.35 Package evaluation.
rication, assembly, testing, mainte- The application must include the fol-
nance, and use. In the absence of any lowing:
codes and standards, the applicant (a) A demonstration that the package
shall describe and justify the basis and satisfies the standards specified in sub-
rationale used to formulate the pack- parts E and F of this part;
age quality assurance program.
(b) For a fissile material package,
§ 71.33 Package description. the allowable number of packages that
may be transported in the same vehicle
The application must include a de- in accordance with § 71.59; and
scription of the proposed package in (c) For a fissile material shipment,
sufficient detail to identify the pack- any proposed special controls and pre-
age accurately and provide a sufficient cautions for transport, loading, unload-
basis for evaluation of the package. ing, and handling and any proposed
The description must include— special controls in case of an accident
(a) With respect to the packaging— or delay.
(1) Classification as Type B(U), Type
B(M), or fissile material packaging; § 71.37 Quality assurance.
(2) Gross weight; (a) The applicant shall describe the
(3) Model number; quality assurance program (see Sub-
(4) Identification of the containment part H of this part) for the design, fab-
system; rication, assembly, testing, mainte-
(5) Specific materials of construc- nance, repair, modification, and use of
tion, weights, dimensions, and fabrica- the proposed package.
tion methods of— (b) The applicant shall identify any
(i) Receptacles; specific provisions of the quality assur-
(ii) Materials specifically used as ance program that are applicable to
nonfissile neutron absorbers or mod- the particular package design under
erators; consideration, including a description
(iii) Internal and external structures of the leak testing procedures.
supporting or protecting receptacles;
(iv) Valves, sampling ports, lifting § 71.38 Renewal of a certificate of com-
devices, and tie-down devices; and pliance or quality assurance pro-
(v) Structural and mechanical means gram approval.
for the transfer and dissipation of heat; (a) Except as provided in paragraph
and (b) of this section, each Certificate of
(6) Identification and volumes of any Compliance or Quality Assurance Pro-
receptacles containing coolant. gram Approval expires at the end of

(b) With respect to the contents of the day, in the month and year stated
the package— in the approval.
344
(b) In any case in which a person, not (c) Environmental and test condi-
less than 30 days before the expiration tions different from those specified in
of an existing Certificate of Compli- §§ 71.71 and 71.73 may be approved by
ance or Quality Assurance Program the Commission if the controls pro-
Approval issued pursuant to the part, posed to be exercised by the shipper are
has filed an application in proper form demonstrated to be adequate to provide
for renewal of either of those approv- equivalent safety of the shipment.
als, the existing Certificate of Compli- (d) Packages for which compliance
ance or Quality Assurance Program with the other provisions of these regu-
Approval for which the renewal appli- lations is impracticable shall not be
cation was filed shall not be deemed to transported except under special pack-
have expired until final action on the age authorization. Provided the appli-
application for renewal has been taken cant demonstrates that compliance
by the Commission. with the other provisions of the regula-
(c) In applying for renewal of an ex- tions is impracticable and that the req-
isting Certificate of Compliance or uisite standards of safety established
Quality Assurance Program Approval, by these regulations have been dem-
an applicant may be required to submit onstrated through means alternative
a consolidated application that incor- to the other provisions, a special pack-
porates all changes to its program age authorization may be approved for
that, are incorporated by reference in one-time shipments. The applicant
the existing approval or certificate, shall demonstrate that the overall
into as few referenceable documents as level of safety in transport for these
reasonably achievable. shipments is at least equivalent to that
which would be provided if all the ap-
§ 71.39 Requirement for additional in- plicable requirements had been met.
formation.
The Commission may at any time re- [60 FR 50264, Sept. 28, 1995, as amended at 69
FR 3794, Jan. 26, 2004; 69 FR 58039, Sept. 29,
quire additional information in order
2004]
to enable it to determine whether a li-
cense, certificate of compliance, or § 71.43 General standards for all pack-
other approval should be granted, re- ages.
newed, denied, modified, suspended, or (a) The smallest overall dimension of
revoked. a package may not be less than 10 cm
(4 in).
Subpart E—Package Approval (b) The outside of a package must in-
Standards corporate a feature, such as a seal, that
is not readily breakable and that, while
§ 71.41 Demonstration of compliance. intact, would be evidence that the
(a) The effects on a package of the package has not been opened by unau-
tests specified in § 71.71 (‘‘Normal condi- thorized persons.
tions of transport’’), and the tests spec- (c) Each package must include a con-
ified in § 71.73 (‘‘Hypothetical accident tainment system securely closed by a
conditions’’), and § 71.61 (‘‘Special re- positive fastening device that cannot
quirements for Type B packages con- be opened unintentionally or by a pres-
taining more than 105 A2’’), must be sure that may arise within the pack-
evaluated by subjecting a specimen or age.
scale model to a specific test, or by an- (d) A package must be made of mate-
other method of demonstration accept- rials and construction that assure that
able to the Commission, as appropriate there will be no significant chemical,
for the particular feature being consid- galvanic, or other reaction among the
ered. packaging components, among package
(b) Taking into account the type of contents, or between the packaging
vehicle, the method of securing or at- components and the package contents,
taching the package, and the controls including possible reaction resulting
to be exercised by the shipper, the from inleakage of water, to the max-
Commission may permit the shipment imum credible extent. Account must be
to be evaluated together with the taken of the behavior of materials
transporting vehicle. under irradiation.
345
§ 71.45 10 CFR Ch. I (1–1–11 Edition)
(e) A package valve or other device, which the vehicle travels of 10 times
the failure of which would allow radio- the weight of the package with its con-
active contents to escape, must be pro- tents, and a horizontal component in
tected against unauthorized operation the transverse direction of 5 times the
and, except for a pressure relief device, weight of the package with its con-
must be provided with an enclosure to tents.
retain any leakage. (2) Any other structural part of the
(f) A package must be designed, con- package that could be used to tie down
structed, and prepared for shipment so the package must be capable of being
that under the tests specified in § 71.71 rendered inoperable for tying down the
(‘‘Normal conditions of transport’’) package during transport, or must be
there would be no loss or dispersal of designed with strength equivalent to
radioactive contents, no significant in- that required for tie-down devices.
crease in external surface radiation (3) Each tie-down device that is a
levels, and no substantial reduction in structural part of a package must be
the effectiveness of the packaging. designed so that failure of the device
(g) A package must be designed, con- under excessive load would not impair
structed, and prepared for transport so the ability of the package to meet
that in still air at 38 °C (100 °F) and in other requirements of this part.
the shade, no accessible surface of a
package would have a temperature ex- § 71.47 External radiation standards
ceeding 50 °C (122 °F) in a nonexclusive for all packages.
use shipment, or 85 °C (185 °F) in an ex- (a) Except as provided in paragraph
clusive use shipment. (b) of this section, each package of ra-
(h) A package may not incorporate a dioactive materials offered for trans-
feature intended to allow continuous portation must be designed and pre-
venting during transport. pared for shipment so that under condi-
tions normally incident to transpor-
§ 71.45 Lifting and tie-down standards tation the radiation level does not ex-
for all packages. ceed 2 mSv/h (200 mrem/h) at any point
(a) Any lifting attachment that is a on the external surface of the package,
structural part of a package must be and the transport index does not ex-
designed with a minimum safety factor ceed 10.
of three against yielding when used to (b) A package that exceeds the radi-
lift the package in the intended man- ation level limits specified in para-
ner, and it must be designed so that graph (a) of this section must be trans-
failure of any lifting device under exported by exclusive use shipment only,
cessive load would not impair the abil- and the radiation levels for such ship-
ity of the package to meet other re- ment must not exceed the following
quirements of this subpart. Any other during transportation:
structural part of the package that (1) 2 mSv/h (200 mrem/h) on the exter-
could be used to lift the package must nal surface of the package, unless the
be capable of being rendered inoperable following conditions are met, in which
for lifting the package during trans- case the limit is 10 mSv/h (1000 mrem/
port, or must be designed with strength h):
equivalent to that required for lifting (i) The shipment is made in a closed
attachments. transport vehicle;
(b) Tie-down devices: (ii) The package is secured within the
(1) If there is a system of tie-down de- vehicle so that its position remains
vices that is a structural part of the fixed during transportation; and
package, the system must be capable of (iii) There are no loading or unload-
withstanding, without generating ing operations between the beginning
stress in any material of the package and end of the transportation;
in excess of its yield strength, a static (2) 2 mSv/h (200 mrem/h) at any point
force applied to the center of gravity of on the outer surface of the vehicle, in-
the package having a vertical compo- cluding the top and underside of the ve-
nent of 2 times the weight of the pack- hicle; or in the case of a flat-bed style
age with its contents, a horizontal vehicle, at any point on the vertical
component along the direction in planes projected from the outer edges
346
of the vehicle, on the upper surface of dose rate exceeding 10 mSv/h (1 rem/h)
the load or enclosure, if used, and on at 1 m (40 in) from the external surface
the lower external surface of the vehi- of the package.
cle; and (b) Where mixtures of different radio-
(3) 0.1 mSv/h (10 mrem/h) at any point nuclides are present, the provisions of
2 meters (80 in) from the outer lateral appendix A, paragraph IV of this part
surfaces of the vehicle (excluding the shall apply, except that for Krypton-85,
top and underside of the vehicle); or in an effective A2 value equal to 10 A2
the case of a flat-bed style vehicle, at may be used.
any point 2 meters (6.6 feet) from the (c) Compliance with the permitted
vertical planes projected by the outer activity release limits of paragraph (a)
edges of the vehicle (excluding the top of this section may not depend on fil-
and underside of the vehicle); and ters or on a mechanical cooling sys-
(4) 0.02 mSv/h (2 mrem/h) in any nor- tem.
mally occupied space, except that this (d) For packages which contain ra-
provision does not apply to private car- dioactive contents with activity great-
riers, if exposed personnel under their er than 105 A2, the requirements of
control wear radiation dosimetry de- § 71.61 must be met.
vices in conformance with 10 CFR
20.1502. [60 FR 50264, Sept. 28, 1995, as amended at 69
(c) For shipments made under the FR 3794, Jan. 26, 2004; 69 FR 58039, Sept. 29,
2004]
provisions of paragraph (b) of this sec-
tion, the shipper shall provide specific
§ 71.53 [Reserved]
written instructions to the carrier for
maintenance of the exclusive use ship- § 71.55 General requirements for fissile
ment controls. The instructions must material packages.
be included with the shipping paper in-
formation. (a) A package used for the shipment
(d) The written instructions required of fissile material must be designed
for exclusive use shipments must be and constructed in accordance with
sufficient so that, when followed, they §§ 71.41 through 71.47. When required by
will cause the carrier to avoid actions the total amount of radioactive mate-
that will unnecessarily delay delivery rial, a package used for the shipment of
or unnecessarily result in increased ra- fissile material must also be designed
diation levels or radiation exposures to and constructed in accordance with
transport workers or members of the § 71.51.
general public. (b) Except as provided in paragraph
(c) or (g) of this section, a package used
§ 71.51 Additional requirements for for the shipment of fissile material
Type B packages. must be so designed and constructed
(a) A Type B package, in addition to and its contents so limited that it
satisfying the requirements of §§ 71.41 would be subcritical if water were to
through 71.47, must be designed, con- leak into the containment system, or
structed, and prepared for shipment so liquid contents were to leak out of the
that under the tests specified in: containment system so that, under the
(1) Section 71.71 (‘‘Normal conditions following conditions, maximum reac-
of transport’’), there would be no loss or tivity of the fissile material would be
dispersal of radioactive contents—as attained:
demonstrated to a sensitivity of 10¥6 (1) The most reactive credible con-
A2 per hour, no significant increase in figuration consistent with the chem-
external surface radiation levels, and ical and physical form of the material;
no substantial reduction in the effec- (2) Moderation by water to the most
tiveness of the packaging; and reactive credible extent; and
(2) Section 71.73 (‘‘Hypothetical acci- (3) Close full reflection of the con-
dent conditions’’), there would be no es- tainment system by water on all sides,
cape of krypton-85 exceeding 10 A2 in 1 or such greater reflection of the con-
week, no escape of other radioactive tainment system as may additionally

material exceeding a total amount A2 be provided by the surrounding mate-
in 1 week, and no external radiation rial of the packaging.
347
§ 71.55 10 CFR Ch. I (1–1–11 Edition)
(c) The Commission may approve ex- the package and the chemical and
ceptions to the requirements of para- physical form of the contents; and
graph (b) of this section if the package (3) There is full reflection by water
incorporates special design features on all sides, as close as is consistent
that ensure that no single packaging with the damaged condition of the
error would permit leakage, and if ap- package.
propriate measures are taken before (f) For fissile material package de-
each shipment to ensure that the con- signs to be transported by air:
tainment system does not leak. (1) The package must be designed and
(d) A package used for the shipment
constructed, and its contents limited
of fissile material must be so designed
so that it would be subcritical, assum-
and constructed and its contents so
ing reflection by 20 cm (7.9 in) of water
limited that under the tests specified
in § 71.71 (‘‘Normal conditions of trans- but no water inleakage, when subjected
port’’)— to sequential application of:
(1) The contents would be subcritical; (i) The free drop test in § 71.73(c)(1);
(2) The geometric form of the pack- (ii) The crush test in § 71.73(c)(2);
age contents would not be substan- (iii) A puncture test, for packages of
tially altered; 250 kg or more, consisting of a free
(3) There would be no leakage of drop of the specimen through a dis-
water into the containment system un- tance of 3 m (120 in) in a position for
less, in the evaluation of undamaged which maximum damage is expected at
packages under § 71.59(a)(1), it has been the conclusion of the test sequence,
assumed that moderation is present to onto the upper end of a solid, vertical,
such an extent as to cause maximum cylindrical, mild steel probe mounted
reactivity consistent with the chem- on an essentially unyielding, hori-
ical and physical form of the material; zontal surface. The probe must be 20
and cm (7.9 in) in diameter, with the strik-
(4) There will be no substantial re- ing end forming the frustum of a right
duction in the effectiveness of the circular cone with the dimensions of 30
packaging, including: cm height, 2.5 cm top diameter, and a
(i) No more than 5 percent reduction top edge rounded to a radius of not
in the total effective volume of the more than 6 mm (0.25 in). For packages
packaging on which nuclear safety is less than 250 kg, the puncture test
assessed; must be the same, except that a 250 kg
(ii) No more than 5 percent reduction probe must be dropped onto the speci-
in the effective spacing between the men which must be placed on the sur-
fissile contents and the outer surface of face; and
the packaging; and (iv) The thermal test in § 71.73(c)(4),
(iii) No occurrence of an aperture in
except that the duration of the test
the outer surface of the packaging
must be 60 minutes.
large enough to permit the entry of a
10 cm (4 in) cube. (2) The package must be designed and
(e) A package used for the shipment constructed, and its contents limited,
of fissile material must be so designed so that it would be subcritical, assum-
and constructed and its contents so ing reflection by 20 cm (7.9 in) of water
limited that under the tests specified but no water inleakage, when subjected
in § 71.73 (‘‘Hypothetical accident condi- to an impact on an unyielding surface
tions’’), the package would be subcrit- at a velocity of 90 m/s normal to the
ical. For this determination, it must be surface, at such orientation so as to re-
assumed that: sult in maximum damage. A separate,
(1) The fissile material is in the most undamaged specimen can be used for
reactive credible configuration con- this evaluation.
sistent with the damaged condition of (3) Allowance may not be made for
the package and the chemical and the special design features in para-
physical form of the contents; graph (c) of this section, unless water
(2) Water moderation occurs to the leakage into or out of void spaces is
most reactive credible extent con- prevented following application of the
sistent with the damaged condition of tests in paragraphs (f)(1) and (f)(2) of
348
this section, and subsequent applica- The value of the CSI may be zero pro-
tion of the immersion test in vided that an unlimited number of
§ 71.73(c)(5). packages are subcritical, such that the
(g) Packages containing uranium value of ‘‘N’’ is effectively equal to in-
hexafluoride only are excepted from finity under the procedures specified in
the requirements of paragraph (b) of paragraph (a) of this section. Any CSI
this section provided that: greater than zero must be rounded up
(1) Following the tests specified in to the first decimal place.
§ 71.73 (‘‘Hypothetical accident condi- (c) For a fissile material package
tions’’), there is no physical contact be- which is assigned a CSI value—
tween the valve body and any other (1) Less than or equal to 50, that
component of the packaging, other package may be shipped by a carrier in
than at its original point of attach- a nonexclusive use conveyance, pro-
ment, and the valve remains leak vided the sum of the CSIs is limited to
tight; less than or equal to 50.
(2) There is an adequate quality con- (2) Less than or equal to 50, that
trol in the manufacture, maintenance, package may be shipped by a carrier in
and repair of packagings; an exclusive use conveyance, provided
(3) Each package is tested to dem- the sum of the CSIs is limited to less
onstrate closure before each shipment; than or equal to 100.
and (3) Greater than 50, that package
(4) The uranium is enriched to not must be shipped by a carrier in an ex-
more than 5 weight percent uranium- clusive use conveyance, provided the
235. sum of the CSIs is limited to less than
or equal to 100.
[60 FR 50264, Sept. 28, 1995; 61 FR 28724, June
6, 1996, as amended at 69 FR 3794, Jan. 26, [60 FR 50264, Sept. 28, 1995, as amended at 69
2004] FR 3795, Jan. 26, 2004]
§ 71.57 [Reserved] § 71.61 Special requirements for Type

B packages containing more than
§ 71.59 Standards for arrays of fissile 105A2.
material packages.
A Type B package containing more
(a) A fissile material package must than 105A2 must be designed so that its
be controlled by either the shipper or undamaged containment system can
the carrier during transport to assure withstand an external water pressure
that an array of such packages remains of 2 MPa (290 psi) for a period of not
subcritical. To enable this control, the less than 1 hour without collapse,
designer of a fissile material package buckling, or inleakage of water.
shall derive a number ‘‘N’’ based on all
[69 FR 3795, Jan. 26, 2004]
the following conditions being satis-
fied, assuming packages are stacked § 71.63 Special requirement for pluto-
together in any arrangement and with nium shipments.
close full reflection on all sides of the
Shipments containing plutonium
stack by water:
must be made with the contents in
(1) Five times ‘‘N’’ undamaged pack-
solid form, if the contents contain
ages with nothing between the pack-
greater than 0.74 TBq (20 Ci) of pluto-
ages would be subcritical;
nium.
(2) Two times ‘‘N’’ damaged packages,
if each package were subjected to the [69 FR 3795, Jan. 26, 2004]
tests specified in § 71.73 (‘‘Hypothetical
accident conditions’’) would be subcrit- § 71.64 Special requirements for pluto-
ical with optimum interspersed hy- nium air shipments.
drogenous moderation; and (a) A package for the shipment of
(3) The value of ‘‘N’’ cannot be less plutonium by air subject to § 71.88(a)(4),
than 0.5. in addition to satisfying the require-
(b) The CSI must be determined by ments of §§ 71.41 through 71.63, as appli-
dividing the number 50 by the value of cable, must be designed, constructed,

‘‘N’’ derived using the procedures speci- and prepared for shipment so that
fied in paragraph (a) of this section. under the tests specified in—
349
§ 71.65 10 CFR Ch. I (1–1–11 Edition)
(1) Section 71.74 (‘‘Accident condi- Subpart F—Package, Special

tions for air transport of plutonium’’)— Form, and LSA-III Tests 2
(i) The containment vessel would not
be ruptured in its post-tested condi- § 71.71 Normal conditions of transport.
tion, and the package must provide a (a) Evaluation. Evaluation of each
sufficient degree of containment to repackage design under normal condi-
strict accumulated loss of plutonium tions of transport must include a deter-
contents to not more than an A2 quan- mination of the effect on that design of
tity in a period of 1 week; the conditions and tests specified in
(ii) The external radiation level this section. Separate specimens may
would not exceed 10 mSv/h (1 rem/h) at be used for the free drop test, the com-
a distance of 1 m (40 in) from the sur- pression test, and the penetration test,
face of the package in its post-tested if each specimen is subjected to the
condition in air; and water spray test before being subjected
(iii) A single package and an array of to any of the other tests.
packages are demonstrated to be sub- (b) Initial conditions. With respect to
critical in accordance with this part, the initial conditions for the tests in
except that the damaged condition of this section, the demonstration of com-
the package must be considered to be pliance with the requirements of this
that which results from the plutonium part must be based on the ambient
accident tests in § 71.74, rather than the temperature preceding and following
hypothetical accident tests in § 71.73; the tests remaining constant at that
and value between ¥29 °C (¥20 °F) and +38
(2) Section 71.74(c), there would be no °C (+100 °F) which is most unfavorable
detectable leakage of water into the for the feature under consideration.
containment vessel of the package. The initial internal pressure within the
(b) With respect to the package re- containment system must be consid-
quirements of paragraph (a), there ered to be the maximum normal oper-
must be a demonstration or analytical ating pressure, unless a lower internal
assessment showing that— pressure consistent with the ambient
(1) The results of the physical testing temperature considered to precede and
for package qualification would not be follow the tests is more unfavorable.
adversely affected to a significant ex- (c) Conditions and tests—(1) Heat. An
tent by— ambient temperature of 38 °C (100 °F) in
(i) The presence, during the tests, of still air, and insolation according to
the actual contents that will be trans- the following table:
ported in the package; and
(ii) Ambient water temperatures INSOLATION DATA
ranging from 0.6 °C (+33 °F) to 38°C
(+100°F) for those qualification tests in- Total insolation
for a 12-hour
volving water, and ambient atmos- Form and location of surface period
pheric temperatures ranging from ¥40 (g cal/cm2
°C (¥40 °F) to +54°C (+130°F) for the Flat surfaces transported horizontally:
other qualification tests. Base .................................................... None
(2) The ability of the package to meet Other surfaces ..................................... 800
Flat surfaces not transported horizontally .. 200
the acceptance standards prescribed for Curved surfaces ......................................... 400
the accident condition sequential tests
would not be adversely affected if one (2) Cold. An ambient temperature of
or more tests in the sequence were de- ¥40 °C (¥40 °F) in still air and shade.
leted. (3) Reduced external pressure. An ex-
ternal pressure of 25 kPa (3.5 lbf/in2) ab-
§ 71.65 Additional requirements. solute.
The Commission may, by rule, regu- (4) Increased external pressure. An ex-
lation, or order, impose requirements ternal pressure of 140 kPa (20 lbf/in2)
on any licensee, in addition to those es- absolute.
tablished in this part, as it deems nec-
essary or appropriate to protect public 2 The package standards related to the

health or to minimize danger to life or tests in this subpart are contained in subpart
property. E of this part.
350
(5) Vibration. Vibration normally in- § 71.73 Hypothetical accident condi-

cident to transport. tions.
(6) Water spray. A water spray that (a) Test procedures. Evaluation for hy-
simulates exposure to rainfall of ap-
pothetical accident conditions is to be
proximately 5 cm/h (2 in/h) for at least
based on sequential application of the
1 hour.
tests specified in this section, in the
(7) Free drop. Between 1.5 and 2.5
order indicated, to determine their cu-
hours after the conclusion of the water
mulative effect on a package or array
spray test, a free drop through the dis-
of packages. An undamaged specimen
tance specified below onto a flat, essen-
may be used for the water immersion
tially unyielding, horizontal surface,
tests specified in paragraph (c)(6) of
striking the surface in a position for
which maximum damage is expected. this section.
(b) Test conditions. With respect to
CRITERIA FOR FREE DROP TEST (WEIGHT/ the initial conditions for the tests, ex-
DISTANCE) cept for the water immersion tests, to
demonstrate compliance with the re-
Package weight Free drop dis-
tance quirements of this part during testing,
Kilograms (Pounds) the ambient air temperature before and
Meters (Feet)
after the tests must remain constant
Less than 5,000 ..... (Less than 11,000) 1.2 (4) at that value between ¥29 °C (¥20 °F)
5,000 to 10,000 ..... (11,000 to 22,000) 0.9 (3) and +38 °C (+100 °F) which is most unfa-
10,000 to 15,000 ... (22,000 to 33,100) 0.6 (2)
More than 15,000 .. (More than 33,100) 0.3 (1)
vorable for the feature under consider-
ation. The initial internal pressure
(8) Corner drop. A free drop onto each within the containment system must
corner of the package in succession, or be the maximum normal operating
in the case of a cylindrical package pressure, unless a lower internal pres-
onto each quarter of each rim, from a sure, consistent with the ambient tem-
height of 0.3 m (1 ft) onto a flat, essen- perature assumed to precede and follow
tially unyielding, horizontal surface. the tests, is more unfavorable.
This test applies only to fiberboard, (c) Tests. Tests for hypothetical acci-
wood, or fissile material rectangular dent conditions must be conducted as
packages not exceeding 50 kg (110 lbs) follows:
and fiberboard, wood, or fissile mate- (1) Free drop. A free drop of the speci-
rial cylindrical packages not exceeding men through a distance of 9 m (30 ft)
100 kg (220 lbs). onto a flat, essentially unyielding, hor-
(9) Compression. For packages weigh- izontal surface, striking the surface in
ing up to 5000 kg (11,000 lbs), the pack- a position for which maximum damage
age must be subjected, for a period of is expected.
24 hours, to a compressive load applied (2) Crush. Subjection of the specimen
uniformly to the top and bottom of the to a dynamic crush test by positioning
package in the position in which the the specimen on a flat, essentially
package would normally be trans- unyielding horizontal surface so as to
ported. The compressive load must be suffer maximum damage by the drop of
the greater of the following: a 500-kg (1100-lb) mass from 9 m (30 ft)
(i) The equivalent of 5 times the onto the specimen. The mass must con-
weight of the package; or sist of a solid mild steel plate 1 m (40
(ii) The equivalent of 13 kPa (2 lbf/ in) by 1 m (40 in) and must fall in a hor-
in2) multiplied by the vertically pro- izontal attitude. The crush test is re-
jected area of the package. quired only when the specimen has a
(10) Penetration. Impact of the hemi- mass not greater than 500 kg (1100 lb),
spherical end of a vertical steel cyl- an overall density not greater than 1000
inder of 3.2 cm (1.25 in) diameter and 6 kg/m 3 (62.4 lb/ft 3) based on external di-
kg (13 lbs) mass, dropped from a height mension, and radioactive contents
of 1 m (40 in) onto the exposed surface greater than 1000 A2 not as special form
of the package that is expected to be radioactive material. For packages
most vulnerable to puncture. The long containing fissile material, the radio-
axis of the cylinder must be perpen- active contents greater than 1000 A2
dicular to the package surface. criterion does not apply.
351
§ 71.74 10 CFR Ch. I (1–1–11 Edition)
(3) Puncture. A free drop of the speci- at least 15 m (50 ft). For test purposes,
men through a distance of 1 m (40 in) in an external pressure of water of 150
a position for which maximum damage kPa (21.7 lbf/in2) gauge is considered to
is expected, onto the upper end of a meet these conditions.
solid, vertical, cylindrical, mild steel [60 FR 50264, Sept. 28, 1995, as amended at 69
bar mounted on an essentially FR 3795, Jan. 26, 2004]
unyielding, horizontal surface. The bar
must be 15 cm (6 in) in diameter, with § 71.74 Accident conditions for air
the top horizontal and its edge rounded transport of plutonium.
to a radius of not more than 6 mm (0.25 (a) Test conditions—Sequence of tests.
in), and of a length as to cause max- A package must be physically tested to
imum damage to the package, but not the following conditions in the order
less than 20 cm (8 in) long. The long indicated to determine their cumu-
axis of the bar must be vertical. lative effect.
(4) Thermal. Exposure of the specimen (1) Impact at a velocity of not less
fully engulfed, except for a simple sup- than 129 m/sec (422 ft/sec) at a right
port system, in a hydrocarbon fuel/air angle onto a flat, essentially
fire of sufficient extent, and in suffi- unyielding, horizontal surface, in the
ciently quiescent ambient conditions, orientation (e.g., side, end, corner) ex-
to provide an average emissivity coeffi- pected to result in maximum damage
cient of at least 0.9, with an average at the conclusion of the test sequence.
flame temperature of at least 800 °C (2) A static compressive load of 31,800
(1475 °F) for a period of 30 minutes, or kg (70,000 lbs) applied in the orienta-
any other thermal test that provides tion expected to result in maximum
the equivalent total heat input to the damage at the conclusion of the test
package and which provides a time sequence. The force on the package
averaged environmental temperature must be developed between a flat steel
of 800 °C. The fuel source must extend surface and a 5 cm (2 in) wide, straight,
horizontally at least 1 m (40 in), but solid, steel bar. The length of the bar
may not extend more than 3 m (10 ft), must be at least as long as the diame-
beyond any external surface of the ter of the package, and the longitu-
specimen, and the specimen must be dinal axis of the bar must be parallel to
positioned 1 m (40 in) above the surface the plane of the flat surface. The load
of the fuel source. For purposes of cal- must be applied to the bar in a manner
culation, the surface absorptivity coef- that prevents any members or devices
ficient must be either that value which used to support the bar from con-
the package may be expected to possess tacting the package.
if exposed to the fire specified or 0.8, (3) Packages weighing less than 227
whichever is greater; and the convec- kg (500 lbs) must be placed on a flat, es-
tive coefficient must be that value sentially unyielding, horizontal sur-
which may be demonstrated to exist if face, and subjected to a weight of 227
the package were exposed to the fire kg (500 lbs) falling from a height of 3 m
specified. Artificial cooling may not be (10 ft) and striking in the position ex-
applied after cessation of external heat pected to result in maximum damage
input, and any combustion of materials at the conclusion of the test sequence.
of construction, must be allowed to The end of the weight contacting the
proceed until it terminates naturally. package must be a solid probe made of
(5) Immersion—fissile material. For mild steel. The probe must be the
fissile material subject to § 71.55, in shape of the frustum of a right circular
those cases where water inleakage has cone, 30 cm (12 in) long, 20 cm (8 in) in
not been assumed for criticality anal- diameter at the base, and 2.5 cm (1 in)
ysis, immersion under a head of water in diameter at the end. The longitu-
of at least 0.9 m (3 ft) in the attitude dinal axis of the probe must be perpen-
for which maximum leakage is ex- dicular to the horizontal surface. For
pected. packages weighing 227 kg (500 lbs) or
(6) Immersion—all packages. A sepa- more, the base of the probe must be
rate, undamaged specimen must be placed on a flat, essentially unyielding

subjected to water pressure equivalent horizontal surface, and the package
to immersion under a head of water of dropped from a height of 3 m (10 ft)
352
onto the probe, striking in the position (2) This test is not required if the cal-
expected to result in maximum damage culated terminal free-fall velocity of
at the conclusion of the test sequence. the package is less than 129 m/sec (422
(4) The package must be firmly re- ft/sec), or if a velocity not less than ei-
strained and supported such that its ther 129 m/sec (422 ft/sec) or the cal-
longitudinal axis is inclined approxi- culated terminal free-fall velocity of
mately 45° to the horizontal. The area the package is used in the sequential
of the package that made first contact test of paragraph (a)(1) of this section.
with the impact surface in paragraph (c) Individual deep submersion test. An
(a)(1) of this section must be in the undamaged package must be physically
lowermost position. The package must submerged and physically subjected to
be struck at approximately the center an external water pressure of at least 4
of its vertical projection by the end of MPa (600 lbs/in 2).
a structural steel angle section falling
from a height of at least 46 m (150 ft). § 71.75 Qualification of special form ra-
The angle section must be at least 1.8 dioactive material.
m (6 ft) in length with equal legs at (a) Special form radioactive mate-
least 13 cm (5 in) long and 1.3 cm (0.5 rials must meet the test requirements
in) thick. The angle section must be of paragraph (b) of this section. Each
guided in such a way as to fall end-on, solid radioactive material or capsule
without tumbling. The package must specimen to be tested must be manu-
be rotated approximately 90° about its factured or fabricated so that it is rep-
longitudinal axis and struck by the resentative of the actual solid material
steel angle section falling as before. or capsule that will be transported,
(5) The package must be exposed to with the proposed radioactive content
luminous flames from a pool fire of JP– duplicated as closely as practicable.
4 or JP–5 aviation fuel for a period of Any differences between the material
at least 60 minutes. The luminous to be transported and the test mate-
flames must extend an average of at rial, such as the use of non-radioactive
least 0.9 m (3 ft) and no more than 3 m contents, must be taken into account
(10 ft) beyond the package in all hori- in determining whether the test re-
zontal directions. The position and ori- quirements have been met. In addition:
entation of the package in relation to (1) A different specimen may be used
the fuel must be that which is expected for each of the tests;
to result in maximum damage at the (2) The specimen may not break or
conclusion of the test sequence. An al- shatter when subjected to the impact,
ternate method of thermal testing may percussion, or bending tests;
be substituted for this fire test, pro- (3) The specimen may not melt or
vided that the alternate test is not of disperse when subjected to the heat
shorter duration and would not result test;
in a lower heating rate to the package. (4) After each test, leaktightness or
At the conclusion of the thermal test, indispersibility of the specimen must
the package must be allowed to cool be determined by a method no less sen-
naturally or must be cooled by water sitive than the leaching assessment
sprinkling, whichever is expected to re- procedure prescribed in paragraph (c)
sult in maximum damage at the con- of this section. For a capsule resistant
clusion of the test sequence. to corrosion by water, and which has
(6) Immersion under at least 0.9 m (3 an internal void volume greater than
ft) of water. 0.1 milliliter, an alternative to the
(b) Individual free-fall impact test. (1) leaching assessment is a demonstration
An undamaged package must be phys- of leaktightness of ×10¥4 torr-liter/s
ically subjected to an impact at a ve- (1.3××10¥4 atm-cm3/s) based on air at 25
locity not less than the calculated ter- °C (77 °F) and one atmosphere differen-
minal free-fall velocity, at mean sea tial pressure for solid radioactive con-
level, at a right angle onto a flat, es- tent, or ×10¥6 torr-liter/s (1.3××10¥6
sentially unyielding, horizontal sur- atm¥cm3/s) for liquid or gaseous radio-
face, in the orientation (e.g., side, end, active content; and

corner) expected to result in maximum (5) A specimen that comprises or sim-
damage. ulates radioactive material contained
353
§ 71.75 10 CFR Ch. I (1–1–11 Edition)
in a sealed capsule need not be sub- vertical drop of 1.4 kg (3 lbs) through 1
jected to the leaktightness procedure m (40 in); and
specified in this section, provided it is (v) The flat face of the billet must be
alternatively subjected to any of the 25 mm (1 inch) in diameter with the
tests prescribed in ISO/TR4826–1979(E), edges rounded off to a radius of 3
‘‘Sealed radioactive sources leak test mm ± 0.3 mm (.12 in ± 0.012 in).
methods’’ which is available from the (4) Heat test. The specimen must be
American National Standards Insti- heated in air to a temperature of not
tute, 1430 Broadway, New York, N.Y. less than 800 °C (1475 °F), held at that
10018. temperature for a period of 10 minutes,
(b) Test methods—(1) Impact Test. The and then allowed to cool.
specimen must fall onto the target (c) Leaching assessment methods. (1)
from a height of 9 m (30 ft) or greater For indispersible solid material—
in the orientation expected to result in (i) The specimen must be immersed
maximum damage. The target must be for 7 days in water at ambient tem-
a flat, horizontal surface of such mass perature. The water must have a pH of
and rigidity that any increase in its re- 6–8 and a maximum conductivity of 10
sistance to displacement or deforma- micromho per centimeter at 20° (68 °F);
tion, on impact by the specimen, would
(ii) The water with specimen must
not significantly increase the damage
then be heated to a temperature of
to the specimen.
50°C ±5 °C (122 °F ±9 °F) and maintained
(2) Percussion Test. (i) The specimen
at this temperature for 4 hours.
must be placed on a sheet of lead that
is supported by a smooth solid surface, (iii) The activity of the water must
and struck by the flat face of a steel then be determined;
billet so as to produce an impact equiv- (iv) The specimen must then be
alent to that resulting from a free drop stored for at least 7 days in still air of
of 1.4 kg (3 lbs) through 1 m (40 in); relative humidity not less than 90 per-
(ii) The flat face of the billet must be cent at 30 °C (86 °F);
25 millimeters (mm) (1 inch) in diame- (v) The specimen must then be im-
ter with the edges rounded off to a ra- mersed in water under the same condi-
dius of 3 mm ± 0.3 mm(.12 in ± 0.012 in); tions as in paragraph (c)(1)(i) of this
(iii) The lead must be hardness num- section, and the water with specimen
ber 3.5 to 4.5 on the Vickers scale and must be heated to 50 °C ±5 °C (122 °F ±9
thickness 25 mm (1 in) or greater, and °F) and maintained at that tempera-
must cover an area greater than that ture for 4 hours;
covered by the specimen; (vi) The activity of the water must
(iv) A fresh surface of lead must be then be determined. The sum of the ac-
used for each impact; and tivities determined here and in para-
(v) The billet must strike the speci- graph (c)(1)(iii) of this section must not
men so as to cause maximum damage. exceed 2 kilobecquerels (kBq) (0.05
(3) Bending test. (i) This test applies microcurie (μCi)).
only to long, slender sources with a (2) For encapsulated material—
length of 10 cm (4 inches) or greater (i) The specimen must be immersed
and a length to width ratio of 10 or in water at ambient temperature. The
greater; water must have a pH of 6–8 and a max-
(ii) The specimen must be rigidly imum conductivity of 10 micromho per
clamped in a horizontal position so centimeter;
that one half of its length protrudes (ii) The water and specimen must be
from the face of the clamp; heated to a temperature of 50°C ± 5°C
(iii) The orientation of the specimen (122°F ± 9°F) and maintained at this
must be such that the specimen will temperature for 4 hours;
suffer maximum damage when its free (iii) The activity of the water must
end is struck by the flat face of a steel then be determined;
billet; (iv) The specimen must then be
(iv) The billet must strike the speci- stored for at least 7 days in still air at
men so as to produce an impact equiva- a temperature of 30 °C (86 °F) or great-
lent to that resulting from a free er;
354
(v) The process in paragraph (c)(2)(i), Subpart G—Operating Controls

(ii), and (iii) of this section must be re- and Procedures
peated; and
(vi) The activity of the water must § 71.81 Applicability of operating con-
then be determined. The sum of the ac- trols and procedures.
tivities determined here and in para- A licensee subject to this part, who,
graph (c)(2)(iii) of this section must not under a general or specific license,
exceed 2 kilobecquerels (kBq) (0.05 transports licensed material or delivers
microcurie (μCi)). licensed material to a carrier for trans-
(d) A specimen that comprises or port, shall comply with the require-
simulates radioactive material con- ments of this subpart G, with the qual-
tained in a sealed capsule need not be ity assurance requirements of subpart
subjected to— H of this part, and with the general
provisions of subpart A of this part.
(1) The impact test and the percus-
sion test of this section, provided that § 71.83 Assumptions as to unknown
the specimen is alternatively subjected properties.
to the Class 4 impact test prescribed in When the isotopic abundance, mass,
ISO 2919–1980(e), ‘‘Sealed Radioactive concentration, degree of irradiation,
Sources Classification’’ (see § 71.75(a)(5) degree of moderation, or other perti-
for statement of availability); and nent property of fissile material in any
(2) The heat test of this section, pro- package is not known, the licensee
vided the specimen is alternatively shall package the fissile material as if
subjected to the Class 6 temperature the unknown properties have credible
test specified in the International Or- values that will cause the maximum
ganization for Standardization docu- neutron multiplication.
ment ISO 2919–1980(e), ‘‘Sealed Radio-
§ 71.85 Preliminary determinations.
active Sources Classification.’’
Before the first use of any packaging
§ 71.77 Qualification of LSA-III Mate- for the shipment of licensed material—
rial. (a) The licensee shall ascertain that
there are no cracks, pinholes, uncon-
(a) LSA-III material must meet the
trolled voids, or other defects that
test requirements of paragraph (b) of could significantly reduce the effec-
this section. Any differences between tiveness of the packaging;
the specimen to be tested and the ma- (b) Where the maximum normal oper-
terial to be transported must be taken ating pressure will exceed 35 kPa (5 lbf/
into account in determining whether in2) gauge, the licensee shall test the
the test requirements have been met. containment system at an internal
(b) Leaching test. (1) The specimen, pressure at least 50 percent higher than
representing no less than the entire the maximum normal operating pres-
contents of the package, must be im- sure, to verify the capability of that
mersed for 7 days in water at ambient system to maintain its structural in-
temperature; tegrity at that pressure; and
(2) The volume of water to be used in (c) The licensee shall conspicuously
the test must be sufficient to ensure and durably mark the packaging with
that at the end of the test period the its model number, serial number, gross
free volume of the unabsorbed and weight, and a package identification
unreacted water remaining will be at number assigned by NRC. Before apply-
ing the model number, the licensee
least 10% of the volume of the speci-
shall determine that the packaging has
men itself;
been fabricated in accordance with the
(3) The water must have an initial pH design approved by the Commission.
of 6–8 and a maximum conductivity 10
micromho/cm at 20 °C (68 °F); and § 71.87 Routine determinations.
(4) The total activity of the free vol- Before each shipment of licensed ma-
ume of water must be measured fol- terial, the licensee shall ensure that
lowing the 7 day immersion test and the package with its contents satisfies
must not exceed 0.1 A2. the applicable requirements of this
355
§ 71.88 10 CFR Ch. I (1–1–11 Edition)
part and of the license. The licensee (1) The plutonium is contained in a
shall determine that— medical device designed for individual
(a) The package is proper for the con- human application; or
tents to be shipped; (2) The plutonium is contained in a
(b) The package is in unimpaired material in which the specific activity
physical condition except for super- is less than or equal to the activity
ficial defects such as marks or dents; concentration values for plutonium
(c) Each closure device of the pack- specified in Appendix A, Table A–2, of
aging, including any required gasket, is this part, and in which the radioac-
properly installed and secured and free tivity is essentially uniformly distrib-
of defects; uted; or
(d) Any system for containing liquid (3) The plutonium is shipped in a sin-
is adequately sealed and has adequate gle package containing no more than
space or other specified provision for an A2 quantity of plutonium in any iso-
expansion of the liquid; tope or form, and is shipped in accord-
(e) Any pressure relief device is oper- ance with § 71.5; or
able and set in accordance with written (4) The plutonium is shipped in a
procedures; package specifically authorized for the
(f) The package has been loaded and shipment of plutonium by air in the
closed in accordance with written pro- Certificate of Compliance for that
cedures; package issued by the Commission.
(g) For fissile material, any moder- (b) Nothing in paragraph (a) of this
ator or neutron absorber, if required, is section is to be interpreted as remov-
present and in proper condition; ing or diminishing the requirements of
(h) Any structural part of the pack- § 73.24 of this chapter.
age that could be used to lift or tie (c) For a shipment of plutonium by
down the package during transport is air which is subject to paragraph (a)(4)
rendered inoperable for that purpose, of this section, the licensee shall,
unless it satisfies the design require- through special arrangement with the
ments of § 71.45; carrier, require compliance with 49
(i) The level of non-fixed (removable) CFR 175.704, U.S. Department of Trans-
radioactive contamination on the ex- portation regulations applicable to the
ternal surfaces of each package offered air transport of plutonium.
for shipment is as low as reasonably [60 FR 50264, Sept. 28, 1995, as amended at 69
achievable, and within the limits speci- FR 3795, Jan. 26, 2004]
fied in DOT regulations in 49 CFR
173.443; § 71.89 Opening instructions.
(j) External radiation levels around Before delivery of a package to a car-
the package and around the vehicle, if rier for transport, the licensee shall en-
applicable, will not exceed the limits sure that any special instructions
specified in § 71.47 at any time during needed to safely open the package have
transportation; and been sent to, or otherwise made avail-
(k) Accessible package surface tem- able to, the consignee for the con-
peratures will not exceed the limits signee’s use in accordance with 10 CFR
specified in § 71.43(g) at any time during 20.1906(e).
transportation.
§ 71.91 Records.
§ 71.88 Air transport of plutonium. (a) Each licensee shall maintain, for
(a) Notwithstanding the provisions of a period of 3 years after shipment, a
any general licenses and notwith- record of each shipment of licensed ma-
standing any exemptions stated di- terial not exempt under § 71.10, showing
rectly in this part or included indi- where applicable—
rectly by citation of 49 CFR chapter I, (1) Identification of the packaging by
as may be applicable, the licensee shall model number and serial number;
assure that plutonium in any form, (2) Verification that there are no sig-
whether for import, export, or domes- nificant defects in the packaging, as
tic shipment, is not transported by air shipped;

or delivered to a carrier for air trans- (3) Volume and identification of cool-
port unless: ant;
356
(4) Type and quantity of licensed ma- years after the life of the packaging to
terial in each package, and the total which they apply.
quantity of each shipment; [60 FR 50264, Sept. 28, 1995, as amended at 69
(5) For each item of irradiated fissile FR 3795, Jan. 26, 2004]
material—
(i) Identification by model number § 71.93 Inspection and tests.
and serial number; (a) The licensee, certificate holder,
(ii) Irradiation and decay history to and applicant for a CoC shall permit
the extent appropriate to demonstrate the Commission, at all reasonable
that its nuclear and thermal character- times, to inspect the licensed material,
istics comply with license conditions; packaging, premises, and facilities in
and which the licensed material or pack-
(iii) Any abnormal or unusual condi- aging is used, provided, constructed,
tion relevant to radiation safety; fabricated, tested, stored, or shipped.
(6) Date of the shipment; (b) The licensee, certificate holder,
(7) For fissile packages and for Type and applicant for a CoC shall perform,
B packages, any special controls exer- and permit the Commission to perform,
cised; any tests the Commission deems nec-
(8) Name and address of the trans- essary or appropriate for the adminis-
feree; tration of the regulations in this chap-
(9) Address to which the shipment ter.
was made; and (c) The certificate holder and appli-
(10) Results of the determinations re- cant for a CoC shall notify the NRC, in
quired by § 71.87 and by the conditions accordance with § 71.1, 45 days in ad-
of the package approval. vance of starting fabrication of the
(b) Each certificate holder shall first packaging under a CoC. This para-
maintain, for a period of 3 years after graph applies to any packaging used
the life of the packaging to which they for the shipment of licensed material
apply, records identifying the pack- which has either—
aging by model number, serial number, (1) A decay heat load in excess of 5
and date of manufacture. kW; or
(2) A maximum normal operating
(c) The licensee, certificate holder,
pressure in excess of 103 kPa (15 lbf/in 2)
and an applicant for a CoC, shall make
gauge.
available to the Commission for inspec-
tion, upon reasonable notice, all [69 FR 3796, Jan. 26, 2004]
records required by this part. Records
are only valid if stamped, initialed, or § 71.95 Reports.
signed and dated by authorized per- (a) The licensee, after requesting the
sonnel, or otherwise authenticated. certificate holder’s input, shall submit
(d) The licensee, certificate holder, a written report to the Commission
and an applicant for a CoC shall main- of—
tain sufficient written records to fur- (1) Instances in which there is a sig-
nish evidence of the quality of pack- nificant reduction in the effectiveness
aging. The records to be maintained in- of any NRC-approved Type B or Type
clude results of the determinations re- AF packaging during use; or
quired by § 71.85; design, fabrication, (2) Details of any defects with safety
and assembly records; results of re- significance in any NRC-approved Type
views, inspections, tests, and audits; B or fissile material packaging, after
results of monitoring work perform- first use.
ance and materials analyses; and re- (3) Instances in which the conditions
sults of maintenance, modification, of approval in the Certificate of Com-
and repair activities. Inspection, test, pliance were not observed in making a
and audit records must identify the in- shipment.
spector or data recorder, the type of (b) The licensee shall submit a writ-
observation, the results, the accept- ten report to the Commission of in-
ability, and the action taken in con- stances in which the conditions in the
nection with any deficiencies noted. certificate of compliance were not fol-
These records must be retained for 3 lowed during a shipment.
357
§ 71.97 10 CFR Ch. I (1–1–11 Edition)
(c) Each licensee shall submit, in ac- (viii) The manufacturer and model
cordance with § 71.1, a written report number (or other identification) of
required by paragraph (a) or (b) of this each component that failed during the
section within 60 days of the event or event; and
discovery of the event. The licensee (ix) For events occurring during use
shall also provide a copy of each report of a packaging, the quantities and
submitted to the NRC to the applicable chemical and physical form(s) of the
certificate holder. Written reports pre- package contents.
pared under other regulations may be (3) An assessment of the safety con-
submitted to fulfill this requirement if sequences and implications of the
the reports contain all the necessary event. This assessment must include
information, and the appropriate dis- the availability of other systems or
tribution is made. Using an appropriate components that could have performed
method listed in § 71.1(a), the licensee the same function as the components
shall report to: ATTN: Document Con- and systems that failed during the
trol Desk, Director, Division of Spent event.
Fuel Storage and Transportation, Of- (4) A description of any corrective ac-
fice of Nuclear Material Safety and tions planned as a result of the event,
Safeguards. These written reports must including the means employed to re-
include the following: pair any defects, and actions taken to
(1) A brief abstract describing the reduce the probability of similar
major occurrences during the event, in- events occurring in the future.
cluding all component or system fail-
(5) Reference to any previous similar
ures that contributed to the event and
events involving the same packaging
significant corrective action taken or
that are known to the licensee or cer-
planned to prevent recurrence.
tificate holder.
(2) A clear, specific, narrative de-
(6) The name and telephone number
scription of the event that occurred so
of a person within the licensee’s orga-
that knowledgeable readers conversant
with the requirements of part 71, but nization who is knowledgeable about
not familiar with the design of the the event and can provide additional
packaging, can understand the com- information.
plete event. The narrative description (7) The extent of exposure of individ-
must include the following specific in- uals to radiation or to radioactive ma-
formation as appropriate for the par- terials without identification of indi-
ticular event. viduals by name.
(i) Status of components or systems (d) Report legibility. The reports sub-
that were inoperable at the start of the mitted by licensees and/or certificate
event and that contributed to the holders under this section must be of
event; sufficient quality to permit reproduc-
(ii) Dates and approximate times of tion and micrographic processing.
occurrences; [69 FR 3796, Jan. 26, 2004, as amended at 75
(iii) The cause of each component or FR 73945, Nov. 30, 2010]
system failure or personnel error, if
known; § 71.97 Advance notification of ship-
(iv) The failure mode, mechanism, ment of irradiated reactor fuel and
and effect of each failed component, if nuclear waste.
known; (a) As specified in paragraphs (b), (c)
(v) A list of systems or secondary and (d) of this section, each licensee
functions that were also affected for shall provide advance notification to
failures of components with multiple the governor of a State, or the gov-
functions; ernor’s designee, of the shipment of li-
(vi) The method of discovery of each censed material, through, or across the
component or system failure or proce- boundary of the State, before the
dural error; transport, or delivery to a carrier, for
(vii) For each human performance-re- transport, of licensed material outside

lated root cause, a discussion of the the confines of the licensee’s plant or
cause(s) and circumstances; other place of use or storage.
358
(b) Advance notification is required (iii) A list of the names and mailing
under this section for shipments of ir- addresses of the governors’ designees is
radiated reactor fuel in quantities less available on request from the Director,
than that subject to advance notifica- Office of Federal and State Materials
tion requirements of § 73.37(f) of this and Environmental Management Pro-
chapter. Advance notification is also grams, U.S. Nuclear Regulatory Com-
required under this section for ship- mission, Washington, DC 20555–0001.
ment of licensed material, other than (4) The licensee shall retain a copy of
irradiated fuel, meeting the following the notification as a record for 3 years.
three conditions: (d) Information to be furnished in ad-
(1) The licensed material is required vance notification of shipment. Each ad-
by this part to be in Type B packaging vance notification of shipment of irra-
for transportation; diated reactor fuel or nuclear waste
(2) The licensed material is being must contain the following informa-
transported to or across a State bound- tion:
ary en route to a disposal facility or to (1) The name, address, and telephone
a collection point for transport to a number of the shipper, carrier, and re-
disposal facility; and ceiver of the irradiated reactor fuel or
(3) The quantity of licensed material nuclear waste shipment;
in a single package exceeds the least of (2) A description of the irradiated re-
the following: actor fuel or nuclear waste contained
(i) 3000 times the A1 value of the in the shipment, as specified in the reg-
radionuclides as specified in appendix ulations of DOT in 49 CFR 172.202 and
A, Table A–1 for special form radio- 172.203(d);
active material; (3) The point of origin of the ship-
(ii) 3000 times the A2 value of the ment and the 7-day period during
radionuclides as specified in appendix which departure of the shipment is es-
A, Table A–1 for normal form radio- timated to occur;
active material; or (4) The 7-day period during which ar-
(iii) 1000 TBq (27,000 Ci). rival of the shipment at State bound-
(c) Procedures for submitting advance aries is estimated to occur;
notification. (1) The notification must (5) The destination of the shipment,
be made in writing to the office of each and the 7-day period during which ar-
appropriate governor or governor’s des- rival of the shipment is estimated to
ignee and to the Director, Division of occur; and
Security Policy, Office of Nuclear Se- (6) A point of contact, with a tele-
curity and Incident Response. phone number, for current shipment in-
(2) A notification delivered by mail formation.
must be postmarked at least 7 days be- (e) Revision notice. A licensee who
fore the beginning of the 7-day period finds that schedule information pre-
during which departure of the ship- viously furnished to a governor or gov-
ment is estimated to occur. ernor’s designee, in accordance with
(3) A notification delivered by any this section, will not be met, shall tele-
other means than mail must reach the phone a responsible individual in the
office of the governor or of the gov- office of the governor of the State or of
ernor’s designee at least 4 days before the governor’s designee and inform
the beginning of the 7-day period dur- that individual of the extent of the
ing which departure of the shipment is delay beyond the schedule originally
estimated to occur. reported. The licensee shall maintain a
(i) A list of the names and mailing record of the name of the individual
addresses of the governors’ designees contacted for 3 years.
receiving advance notification of trans- (f) Cancellation notice. (1) Each li-
portation of nuclear waste was pub- censee who cancels an irradiated reac-
lished in the FEDERAL REGISTER on tor fuel or nuclear waste shipment for
June 30, 1995 (60 FR 34306). which advance notification has been
(ii) The list will be published annu- sent shall send a cancellation notice to
ally in the FEDERAL REGISTER on or the governor of each State or to the

about June 30 to reflect any changes in governor’s designee previously noti-
information. fied, and to the Director, Division of
359
§ 71.99 10 CFR Ch. I (1–1–11 Edition)
Security Policy, Office of Nuclear Se- (b) The regulations in part 71 that
curity and Incident Response. are not issued under sections 161b, 161i,
(2) The licensee shall state in the no- or 161o for the purposes of section 223
tice that it is a cancellation and iden- are as follows: §§ 71.0, 71.2, 71.4, 71.6,
tify the advance notification that is 71.7, 71.10, 71.31, 71.33, 71.35, 71.37, 71.38,
being canceled. The licensee shall re- 71.39, 71.40, 71.41, 71.43, 71.45, 71.47, 71.51,
tain a copy of the notice as a record for 71.55, 71.59, 71.65, 71.71, 71.73, 71.74, 71.75,
3 years. 71.77, 71.99, and 71.100.
[60 FR 50264, Sept. 28, 1995, as amended at 67 [60 FR 50264, Sept. 28, 1995, as amended at 69
FR 3586, Jan. 25, 2002; 68 FR 14529, Mar. 26, FR 3796, Jan. 26, 2004]
2003; 68 FR 23575, May 5, 2003; 68 FR 58818,
Oct. 10, 2003; 74 FR 62683, Dec. 1, 2009; 75 FR
73945, Nov. 30, 2010] Subpart H—Quality Assurance
§ 71.99 Violations. SOURCE: 69 FR 3796, Jan. 26, 2004, unless
(a) The Commission may obtain an otherwise noted.
vent a violation of the provisions of— § 71.101 Quality assurance require-
ments.
amended; (a) Purpose. This subpart describes
(2) Title II of the Energy Reorganiza- quality assurance requirements apply-
tion Act of 1974, as amended; or (3) A ing to design, purchase, fabrication,
regulation or order issued pursuant to handling, shipping, storing, cleaning,
those Acts. assembly, inspection, testing, oper-
(b) The Commission may obtain a ation, maintenance, repair, and modi-
court order for the payment of a civil fication of components of packaging
penalty imposed under section 234 of that are important to safety. As used
the Atomic Energy Act: in this subpart, ‘‘quality assurance’’
(1) For violations of— comprises all those planned and sys-
(i) Sections 53, 57, 62, 63, 81, 82, 101, tematic actions necessary to provide
103, 104, 107, or 109 of the Atomic En- adequate confidence that a system or
ergy Act of 1954, as amended; component will perform satisfactorily
(ii) Section 206 of the Energy Reorga- in service. Quality assurance includes
nization Act; quality control, which comprises those
(iii) Any rule, regulation, or order quality assurance actions related to
issued pursuant to the sections speci- control of the physical characteristics
fied in paragraph (b)(1)(i) of this sec- and quality of the material or compo-
tion; or nent to predetermined requirements.
(iv) Any term , condition, or limita- The licensee, certificate holder, and ap-
tion of any license issued under the plicant for a CoC are responsible for
sections specified in paragraph (b)(1)(i) the quality assurance requirements as
of this section. they apply to design, fabrication, test-
(2) For any violation for which a li- ing, and modification of packaging.
cense may be revoked under section 186 Each licensee is responsible for the
of the Atomic Energy Act of 1954, as quality assurance provision which ap-
amended. plies to its use of a packaging for the
shipment of licensed material subject
§ 71.100 Criminal penalties. to this subpart.
(a) Section 223 of the Atomic Energy (b) Establishment of program. Each li-
Act of 1954, as amended, provides for censee, certificate holder, and appli-
criminal sanctions for willful violation cant for a CoC shall establish, main-
of, attempted violation of, or contain, and execute a quality assurance
spiracy to violate, any regulation program satisfying each of the applica-
issued under sections 161b, 161i, or 161o ble criteria of §§ 71.101 through 71.137
of the Act. For purposes of section 223, and satisfying any specific provisions
all the regulations in part 71 are issued that are applicable to the licensee’s ac-
under one or more of sections 161b, 161i, tivities including procurement of pack-
or 161o, except for the sections listed in aging. The licensee, certificate holder,
paragraph (b) of this section. and applicant for a CoC shall execute
360
the applicable criteria in a graded ap- assembled in accordance with a quality

proach to an extent that is commensu- assurance program that satisfies the
rate with the quality assurance re- provisions of paragraph (b) of this sec-
quirement’s importance to safety. tion.
(c) Approval of program. (1) Before the (f) Previously approved programs. A
use of any package for the shipment of Commission-approved quality assur-
licensed material subject to this sub- ance program that satisfies the appli-
part, each licensee shall obtain Com- cable criteria of subpart H of this part,
mission approval of its quality assur- Appendix B of part 50 of this chapter,
ance program. Using an appropriate or subpart G of part 72 of this chapter,
method listed in § 71.1(a), each licensee and that is established, maintained,
shall file a description of its quality as- and executed regarding transport pack-
surance program, including a discus-
ages, will be accepted as satisfying the
sion of which requirements of this sub-
requirements of paragraph (b) of this
part are applicable and how they will
section. Before first use, the licensee,
be satisfied, by submitting the descrip-
tion to: ATTN: Document Control certificate holder, and applicant for a
Desk, Director, Division of Spent Fuel CoC shall notify the NRC, in accord-
Storage and Transportation, Office of ance with § 71.1, of its intent to apply
Nuclear Material Safety and Safe- its previously approved subpart H, Ap-
guards. pendix B, or subpart G quality assur-
(2) Before the fabrication, testing, or ance program to transportation activi-
modification of any package for the ties. The licensee, certificate holder,
shipment of licensed material subject and applicant for a CoC shall identify
to this subpart, each licensee, certifi- the program by date of submittal to
cate holder, or applicant for a CoC the Commission, Docket Number, and
shall obtain Commission approval of date of Commission approval.
its quality assurance program. Each (g) Radiography containers. A program
certificate holder or applicant for a for transport container inspection and
CoC shall, in accordance with § 71.1, file maintenance limited to radiographic
a description of its quality assurance exposure devices, source changers, or
program, including a discussion of packages transporting these devices
which requirements of this subpart are and meeting the requirements of
applicable and how they will be satis- § 34.31(b) of this chapter or equivalent
fied. Agreement State requirement, is
(d) Existing package designs. The pro- deemed to satisfy the requirements of
visions of this paragraph deal with §§ 71.17(b) and 71.101(b).
packages that have been approved for
use in accordance with this part before [69 FR 3796, Jan. 26, 2004, as amended at 75
January 1, 1979, and which have been FR 73945, Nov. 30, 2010]
designed in accordance with the provi-
sions of this part in effect at the time § 71.103 Quality assurance organiza-
tion.
of application for package approval.
Those packages will be accepted as (a) The licensee, 2 certificate holder,
having been designed in accordance and applicant for a CoC shall be respon-
with a quality assurance program that sible for the establishment and execu-
satisfies the provisions of paragraph (b) tion of the quality assurance program.
of this section. The licensee, certificate holder, and ap-
(e) Existing packages. The provisions plicant for a CoC may delegate to oth-
of this paragraph deal with packages ers, such as contractors, agents, or
that have been approved for use in ac- consultants, the work of establishing
cordance with this part before January and executing the quality assurance
1, 1979, have been at least partially fab-
ricated before that date, and for which 2 While the term ‘‘licensee’’ is used in these
the fabrication is in accordance with criteria, the requirements are applicable to
the provisions of this part in effect at
whatever design, fabrication, assembly, and

the time of application for approval of testing of the package is accomplished with
package design. These packages will be respect to a package before the time a pack-
accepted as having been fabricated and age approval is issued.
361
§ 71.105 10 CFR Ch. I (1–1–11 Edition)
program, or any part of the quality as- at the earliest practicable time con-
surance program, but shall retain re- sistent with the schedule for accom-
sponsibility for the program. These ac- plishing the activities, a quality assur-
tivities include performing the func- ance program that complies with the
tions associated with attaining quality requirements of §§ 71.101 through 71.137.
objectives and the quality assurance The licensee, certificate holder, and ap-
functions. plicant for a CoC shall document the
(b) The quality assurance functions quality assurance program by written
are— procedures or instructions and shall
(1) Assuring that an appropriate carry out the program in accordance
quality assurance program is estab- with those procedures throughout the
lished and effectively executed; and period during which the packaging is
(2) Verifying, by procedures such as used. The licensee, certificate holder,
checking, auditing, and inspection, and applicant for a CoC shall identify
that activities affecting the functions the material and components to be cov-
that are important to safety have been ered by the quality assurance program,
correctly performed. the major organizations participating
(c) The persons and organizations in the program, and the designated
performing quality assurance functions functions of these organizations.
must have sufficient authority and or- (b) The licensee, certificate holder,
ganizational freedom to— and applicant for a CoC, through its
(1) Identify quality problems; quality assurance program, shall pro-
(2) Initiate, recommend, or provide vide control over activities affecting
solutions; and
the quality of the identified materials
(3) Verify implementation of solu-
and components to an extent con-
tions.
sistent with their importance to safe-
(d) The persons and organizations
ty, and as necessary to assure conform-
performing quality assurance functions
ance to the approved design of each in-
shall report to a management level
dividual package used for the shipment
that assures that the required author-
of radioactive material. The licensee,
ity and organizational freedom, includ-
certificate holder, and applicant for a
ing sufficient independence from cost
and schedule, when opposed to safety CoC shall assure that activities affect-
considerations, are provided. ing quality are accomplished under
(e) Because of the many variables in- suitably controlled conditions. Con-
volved, such as the number of per- trolled conditions include the use of
sonnel, the type of activity being per- appropriate equipment; suitable envi-
formed, and the location or locations ronmental conditions for accom-
where activities are performed, the or- plishing the activity, such as adequate
ganizational structure for executing cleanliness; and assurance that all pre-
the quality assurance program may requisites for the given activity have
take various forms, provided that the been satisfied. The licensee, certificate
persons and organizations assigned the holder, and applicant for a CoC shall
quality assurance functions have the take into account the need for special
required authority and organizational controls, processes, test equipment,
freedom. tools, and skills to attain the required
(f) Irrespective of the organizational quality, and the need for verification of
structure, the individual(s) assigned quality by inspection and test.
the responsibility for assuring effective (c) The licensee, certificate holder,
execution of any portion of the quality and applicant for a CoC shall base the
assurance program, at any location requirements and procedures of its
where activities subject to this section quality assurance program on the fol-
are being performed, must have direct lowing considerations concerning the
access to the levels of management complexity and proposed use of the
necessary to perform this function. package and its components:
(1) The impact of malfunction or fail-
§ 71.105 Quality assurance program. ure of the item to safety;

(a) The licensee, certificate holder, (2) The design and fabrication com-
and applicant for a CoC shall establish, plexity or uniqueness of the item;
362
(3) The need for special controls and The design control measures must pro-
surveillance over processes and equip- vide for verifying or checking the ade-
ment; quacy of design, by methods such as de-
(4) The degree to which functional sign reviews, alternate or simplified
compliance can be demonstrated by in- calculational methods, or by a suitable
spection or test; and testing program. For the verifying or
(5) The quality history and degree of checking process, the licensee shall
standardization of the item. designate individuals or groups other
(d) The licensee, certificate holder, than those who were responsible for
and applicant for a CoC shall provide the original design, but who may be
for indoctrination and training of per- from the same organization. Where a
sonnel performing activities affecting test program is used to verify the ade-
quality, as necessary to assure that quacy of a specific design feature in
suitable proficiency is achieved and lieu of other verifying or checking
maintained. The licensee, certificate processes, the licensee, certificate
holder, and applicant for a CoC shall holder, and applicant for a CoC shall
review the status and adequacy of the include suitable qualification testing
quality assurance program at estab- of a prototype or sample unit under the
lished intervals. Management of other most adverse design conditions. The li-
organizations participating in the qual- censee, certificate holder, and appli-
ity assurance program shall review reg- cant for a CoC shall apply design con-
ularly the status and adequacy of that trol measures to the following:
part of the quality assurance program (1) Criticality physics, radiation
they are executing. shielding, stress, thermal, hydraulic,
§ 71.107 Package design control. and accident analyses;
(2) Compatibility of materials;
(a) The licensee, certificate holder,
(3) Accessibility for inservice inspec-
and applicant for a CoC shall establish
tion, maintenance, and repair;
measures to assure that applicable reg-
ulatory requirements and the package (4) Features to facilitate decon-
design, as specified in the license or tamination; and
CoC for those materials and compo- (5) Delineation of acceptance criteria
nents to which this section applies, are for inspections and tests.
correctly translated into specifica- (c) The licensee, certificate holder,
tions, drawings, procedures, and in- and applicant for a CoC shall subject
structions. These measures must in- design changes, including field
clude provisions to assure that appro- changes, to design control measures
priate quality standards are specified commensurate with those applied to
and included in design documents and the original design. Changes in the con-
that deviations from standards are conditions specified in the CoC require
trolled. Measures must be established prior NRC approval.
for the selection and review for suit-
ability of application of materials, § 71.109 Procurement document con-
parts, equipment, and processes that trol.
are essential to the functions of the The licensee, certificate holder, and
materials, parts, and components of applicant for a CoC shall establish
the packaging that are important to measures to assure that adequate qual-
safety. ity is required in the documents for
(b) The licensee, certificate holder, procurement of material, equipment,
and applicant for a CoC shall establish and services, whether purchased by the
measures for the identification and licensee, certificate holder, and appli-
control of design interfaces and for co- cant for a CoC or by its contractors or
ordination among participating design subcontractors. To the extent nec-
organizations. These measures must in- essary, the licensee, certificate holder,
clude the establishment of written pro- and applicant for a CoC shall require
cedures, among participating design or- contractors or subcontractors to pro-
ganizations, for the review, approval, vide a quality assurance program con-
release, distribution, and revision of sistent with the applicable provisions
documents involving design interfaces. of this part.
363
§ 71.111 10 CFR Ch. I (1–1–11 Edition)
§ 71.111 Instructions, procedures, and evidence is sufficient to identify the

drawings. specific requirements met by the pur-
The licensee, certificate holder, and chased material and equipment.
applicant for a CoC shall prescribe ac- (c) The licensee, certificate holder,
tivities affecting quality by docu- and applicant for a CoC shall assess the
mented instructions, procedures, or effectiveness of the control of quality
drawings of a type appropriate to the by contractors and subcontractors at
circumstances and shall require that intervals consistent with the impor-
these instructions, procedures, and tance, complexity, and quantity of the
drawings be followed. The instructions, product or services.
procedures, and drawings must include
§ 71.117 Identification and control of
appropriate quantitative or qualitative materials, parts, and components.
acceptance criteria for determining
that important activities have been The licensee, certificate holder, and
satisfactorily accomplished. applicant for a CoC shall establish
measures for the identification and
§ 71.113 Document control. control of materials, parts, and compo-
The licensee, certificate holder, and nents. These measures must assure
applicant for a CoC shall establish that identification of the item is main-
measures to control the issuance of tained by heat number, part number,
documents such as instructions, proce- or other appropriate means, either on
dures, and drawings, including changes, the item or on records traceable to the
that prescribe all activities affecting item, as required throughout fabrica-
quality. These measures must assure tion, installation, and use of the item.
that documents, including changes, are These identification and control meas-
reviewed for adequacy, approved for re- ures must be designed to prevent the
lease by authorized personnel, and dis- use of incorrect or defective materials,
tributed and used at the location where parts, and components.
the prescribed activity is performed.
§ 71.119 Control of special processes.
§ 71.115 Control of purchased material, The licensee, certificate holder, and
equipment, and services. applicant for a CoC shall establish
(a) The licensee, certificate holder, measures to assure that special proc-
and applicant for a CoC shall establish esses, including welding, heat treating,
measures to assure that purchased ma- and nondestructive testing are con-
terial, equipment, and services, wheth- trolled and accomplished by qualified
er purchased directly or through con- personnel using qualified procedures in
tractors and subcontractors, conform accordance with applicable codes,
to the procurement documents. These standards, specifications, criteria, and
measures must include provisions, as other special requirements.
appropriate, for source evaluation and
selection, objective evidence of quality § 71.121 Internal inspection.
furnished by the contractor or subcon- The licensee, certificate holder, and
tractor, inspection at the contractor or applicant for a CoC shall establish and
subcontractor source, and examination execute a program for inspection of ac-
of products on delivery. tivities affecting quality by or for the
(b) The licensee, certificate holder, organization performing the activity,
and applicant for a CoC shall have to verify conformance with the docu-
available documentary evidence that mented instructions, procedures, and
material and equipment conform to the drawings for accomplishing the activ-
procurement specifications before in- ity. The inspection must be performed
stallation or use of the material and by individuals other than those who
equipment. The licensee, certificate performed the activity being inspected.
holder, and applicant for a CoC shall Examination, measurements, or tests
retain, or have available, this docu- of material or products processed must
mentary evidence for the life of the be performed for each work operation
package to which it applies. The li- where necessary to assure quality. If

censee, certificate holder, and appli- direct inspection of processed material
cant for a CoC shall assure that the or products is not carried out, indirect
364
control by monitoring processing used in packaging to prevent damage

methods, equipment, and personnel or deterioration. When necessary for
must be provided. Both inspection and particular products, special protective
process monitoring must be provided environments, such as inert gas atmos-
when quality control is inadequate phere, and specific moisture content
without both. If mandatory inspection and temperature levels must be speci-
hold points, which require witnessing fied and provided.
or inspecting by the licensee’s des-
ignated representative and beyond § 71.129 Inspection, test, and operating
which work should not proceed without status.
the consent of its designated represent- (a) The licensee, certificate holder,
ative, are required, the specific hold and applicant for a CoC shall establish
points must be indicated in appropriate measures to indicate, by the use of
documents. markings such as stamps, tags, labels,
routing cards, or other suitable means,
§ 71.123 Test control.
the status of inspections and tests per-
The licensee, certificate holder, and formed upon individual items of the
applicant for a CoC shall establish a packaging. These measures must pro-
test program to assure that all testing vide for the identification of items that
required to demonstrate that the pack- have satisfactorily passed required in-
aging components will perform satis- spections and tests, where necessary to
factorily in service is identified and preclude inadvertent bypassing of the
performed in accordance with written inspections and tests.
test procedures that incorporate the (b) The licensee shall establish meas-
requirements of this part and the re- ures to identify the operating status of
quirements and acceptance limits con- components of the packaging, such as
tained in the package approval. The tagging valves and switches, to prevent
test procedures must include provi-
inadvertent operation.
sions for assuring that all prerequisites
for the given test are met, that ade- § 71.131 Nonconforming materials,
quate test instrumentation is available parts, or components.
and used, and that the test is per-
formed under suitable environmental The licensee, certificate holder, and
conditions. The licensee, certificate applicant for a CoC shall establish
holder, and applicant for a CoC shall measures to control materials, parts,
document and evaluate the test results or components that do not conform to
to assure that test requirements have the licensee’s requirements to prevent
been satisfied. their inadvertent use or installation.
These measures must include, as appro-
§ 71.125 Control of measuring and test priate, procedures for identification,
equipment. documentation, segregation, disposi-
The licensee, certificate holder, and tion, and notification to affected orga-
applicant for a CoC shall establish nizations. Nonconforming items must
measures to assure that tools, gauges, be reviewed and accepted, rejected, re-
instruments, and other measuring and paired, or reworked in accordance with
testing devices used in activities af- documented procedures.
fecting quality are properly controlled,
§ 71.133 Corrective action.
calibrated, and adjusted at specified
times to maintain accuracy within nec- The licensee, certificate holder, and
essary limits. applicant for a CoC shall establish
measures to assure that conditions ad-
§ 71.127 Handling, storage, and ship- verse to quality, such as deficiencies,
ping control. deviations, defective material and
The licensee, certificate holder, and equipment, and nonconformances, are
applicant for a CoC shall establish promptly identified and corrected. In
measures to control, in accordance the case of a significant condition ad-
with instructions, the handling, stor- verse to quality, the measures must as-
age, shipping, cleaning, and preserva- sure that the cause of the condition is
tion of materials and equipment to be determined and corrective action
365
§ 71.135 10 CFR Ch. I (1–1–11 Edition)
taken to preclude repetition. The iden- APPENDIX A TO PART 71—

tification of the significant condition DETERMINATION OF A1 AND A2
adverse to quality, the cause of the
I. Values of A1 and A2 for individual radio-
condition, and the corrective action
nuclides, which are the bases for many activ-
taken must be documented and re- ity limits elsewhere in these regulations, are
ported to appropriate levels of manage- given in Table A–1. The curie (Ci) values
ment. specified are obtained by converting from
the Terabecquerel (TBq) value. The
§ 71.135 Quality assurance records. Terabecquerel values are the regulatory
standard. The curie values are for informa-
The licensee, certificate holder, and tion only and are not intended to be the reg-
applicant for a CoC shall maintain suf- ulatory standard. Where values of A1 and A2
ficient written records to describe the are unlimited, it is for radiation control pur-
activities affecting quality. The poses only. For nuclear criticality safety,
records must include the instructions, some materials are subject to controls
procedures, and drawings required by placed on fissile material.
§ 71.111 to prescribe quality assurance II. a. For individual radionuclides whose
identities are known, but which are not list-
activities and must include closely re- ed in Table A–1, the A1 and A2 values con-
lated specifications such as required tained in Table A–3 may be used. Otherwise,
qualifications of personnel, procedures, the licensee shall obtain prior Commission
and equipment. The records must in- approval of the A1 and A2 values for radio-
clude the instructions or procedures nuclides not listed in Table A–1, before ship-
which establish a records retention ping the material.
program that is consistent with appli- b. For individual radionuclides whose iden-
tities are known, but which are not listed in
cable regulations and designates fac-
Table A–2, the exempt material activity con-
tors such as duration, location, and as- centration and exempt consignment activity
signed responsibility. The licensee, cer- values contained in Table A–3 may be used.
tificate holder, and applicant for a CoC Otherwise, the licensee shall obtain prior
shall retain these records for 3 years Commission approval of the exempt material
beyond the date when the licensee, cer- activity concentration and exempt consign-
tificate holder, and applicant for a CoC ment activity values for radionuclides not
listed in Table A–2, before shipping the mate-
last engage in the activity for which rial.
the quality assurance program was de- c. The licensee shall submit requests for
veloped. If any portion of the written prior approval, described under paragraphs
procedures or instructions is super- II.a. and II.b. of this Appendix, to the Com-
seded, the licensee, certificate holder, mission, in accordance with § 71.1 of this
and applicant for a CoC shall retain the part.
superseded material for 3 years after it III. In the calculations of A1 and A2 for a
is superseded. radionuclide not in Table A–1, a single radio-
active decay chain, in which radionuclides
§ 71.137 Audits. are present in their naturally occurring pro-
portions, and in which no daughter radio-
The licensee, certificate holder, and nuclide has a half-life either longer than 10
applicant for a CoC shall carry out a days, or longer than that of the parent radio-
comprehensive system of planned and nuclide, shall be considered as a single radio-
periodic audits to verify compliance nuclide, and the activity to be taken into ac-
count, and the A1 and A2 value to be applied,
with all aspects of the quality assur- shall be those corresponding to the parent
ance program and to determine the ef- radionuclide of that chain. In the case of ra-
fectiveness of the program. The audits dioactive decay chains in which any daugh-
must be performed in accordance with ter radionuclide has a half-life either longer
written procedures or checklists by ap- than 10 days, or greater than that of the par-
propriately trained personnel not hav- ent radionuclide, the parent and those
ing direct responsibilities in the areas daughter radionuclides shall be considered as
mixtures of different radionuclides.
being audited. Audited results must be
IV. For mixtures of radionuclides whose
documented and reviewed by manage- identities and respective activities are
ment having responsibility in the area
known, the following conditions apply:

audited. Followup action, including a. For special form radioactive material,
reaudit of deficient areas, must be the maximum quantity transported in a
taken where indicated. Type A package is as follows:
366
where f(i) is the fraction of activity for
B(i)
∑ A (i) ≤ 1 radionuclide I in the mixture, and A1(i) is the
appropriate A1 value for radionuclide I.
l 1 d. Alternatively, the A2 value for mixtures
where B(i) is the activity of radionuclide I, of normal form material may be determined
and A1(i) is the A1 value for radionuclide I. as follows:
b. For normal form radioactive material,
the maximum quantity transported in a 1
Type A package is as follows: A 2 for mixture =
f(i)
SB(i)/A2 (i) ≤ 1
where B(i) is the activity of radionuclide i,
∑ A (i)
l 2
and A2(i) is the A2 value for radionuclide i.
where f(i) is the fraction of activity for
c. Alternatively, the A1 value for mixtures
of special form material may be determined radionuclide I in the mixture, and A2(i) is the
as follows: appropriate A2 value for radionuclide I.
e. The exempt activity concentration for
1 mixtures of nuclides may be determined as
A1 for mixture = follows:
f(i)
∑ A (i)
l 1
1
Exempt activity concentration for mixture =
f(i)
∑ [A](i)
l
where f(i) is the fraction of activity con- f. The activity limit for an exempt con-
centration of radionuclide I in the mixture, signment for mixtures of radionuclides may
and [A] is the activity concentration for ex- be determined as follows:
empt material containing radionuclide I.
1
Exempt consignment activity limit for mixture =
f(i)
∑ A(i)
l
where f(i) is the fraction of activity of radio- est A1 or A2 value, as appropriate, for the
ER26JA04.019</MATH>
nuclide I in the mixture, and A is the activ- radionuclides in each group may be used in
ity limit for exempt consignments for radio- applying the formulas in paragraph IV.
nuclide I. Groups may be based on the total alpha ac-
V. When the identity of each radionuclide tivity and the total beta/gamma activity
is known, but the individual activities of when these are known, using the lowest A1 or
some of the radionuclides are not known, the A2 values for the alpha emitters and beta/
ER26JA04.018</MATH>
radionuclides may be grouped, and the low- gamma emitters.
TABLE A–1—A1 AND A2 VALUES FOR RADIONUCLIDES
Specific activity
Symbol of Element and A1 (TBq) A1 (Ci)b A2 (TBq) A2 (Ci)b
radionuclide atomic number (TBq/g) (Ci/g)
ER26JA04.017</MATH>
Ac-225 (a) ...................... Actinium (89) ......... 8.0×10¥1 2.2×101 6.0×10¥3 1.6×10¥1 2.1×103 5.8×104
Ac-227 (a) ...................... ............................... 9.0×10¥1 2.4×101 9.0×10¥5 2.4×10¥3 2.7 7.2×101
Ac-228 ........................... ............................... 6.0×10¥1 1.6×101 5.0×10¥1 1.4×101 8.4×104 2.2×106
Ag-105 ........................... Silver (47) .............. 2.0 5.4×101 2.0 5.4×101 1.1×103 3.0×104
Ag-108m (a) .................. ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 9.7×10¥1 2.6×101
Ag-110m (a) .................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 1.8×102 4.7×103
ER26JA04.016</MATH>
Ag-111 ........................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 5.8×103 1.6×105

Al-26 .............................. Aluminum (13) ....... 1.0×10¥1 2.7 1.0×10¥1 2.7 7.0×10¥4 1.9×10¥2
Am-241 .......................... Americium (95) ...... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 1.3×10¥1 3.4
367
ER26JA04.014</MATH>
TABLE A–1—A1 AND A2 VALUES FOR RADIONUCLIDES—Continued

Specific activity
Am-242m (a) ................. ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 3.6×10¥1 1.0×101
Am-243 (a) .................... ............................... 5.0 1.4×102 1.0×10¥3 2.7×10¥2 7.4×10¥3 2.0×10¥1
Ar-37 .............................. Argon (18) ............. 4.0×101 1.1×103 4.0×101 1.1×103 3.7×103 9.9×104
Ar-39 .............................. ............................... 4.0×101 1.1×103 2.0×101 5.4×102 1.3 3.4×101
Ar-41 .............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.5×106 4.2×107
As-72 ............................. Arsenic (33) ........... 3.0×10¥1 8.1 3.0×10¥1 8.1 6.2×104 1.7×106
As-73 ............................. ............................... 4.0×101 1.1×103 4.0×101 1.1×103 8.2×102 2.2×104
As-74 ............................. ............................... 1.0 2.7×101 9.0×10¥1 2.4×101 3.7×103 9.9×104
As-76 ............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 5.8×104 1.6×106
As-77 ............................. ............................... 2.0×101 5.4×102 7.0×10¥1 1.9×101 3.9×104 1.0×106
At-211 (a) ...................... Astatine (85) .......... 2.0×101 5.4×102 5.0×10¥1 1.4×101 7.6×104 2.1×106
Au-193 ........................... Gold (79) ............... 7.0 1.9×102 2.0 5.4×101 3.4×104 9.2×105
Au-194 ........................... ............................... 1.0 2.7×101 1.0 2.7×101 1.5×104 4.1×105
Au-195 ........................... ............................... 1.0×101 2.7×102 6.0 1.6×102 1.4×102 3.7×103
Au-198 ........................... ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 9.0×103 2.4×105
Au-199 ........................... ............................... 1.0×101 2.7×102 6.0×10¥1 1.6×101 7.7×103 2.1×105
Ba-131 (a) ..................... Barium (56) ........... 2.0 5.4×101 2.0 5.4×101 3.1×103 8.4×104
Ba-133 ........................... ............................... 3.0 8.1×101 3.0 8.1×101 9.4 2.6×102
Ba-133m ........................ ............................... 2.0×101 5.4×102 6.0×10¥1 1.6×101 2.2×104 6.1×105
Ba-140 (a) ..................... ............................... 5.0×10¥1 1.4×101 3.0×10¥1 8.1 2.7×103 7.3×104
Be-7 ............................... Beryllium (4) .......... 2.0×101 5.4×102 2.0×101 5.4×102 1.3×104 3.5×105
Be-10 ............................. ............................... 4.0×101 1.1×103 6.0×10¥1 1.6×101 8.3×10¥4 2.2×10¥2
Bi-205 ............................ Bismuth (83) .......... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 1.5×10¥3 4.2×104
Bi-206 ............................ ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 3.8×103 1.0×105
Bi-207 ............................ ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 1.9 5.2×101
Bi-210 ............................ ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 4.6×103 1.2×105
Bi-210m (a) .................... ............................... 6.0×10¥1 1.6×101 2.0×10¥2 5.4×10¥1 2.1×10¥5 5.7×10¥4
Bi-212 (a) ....................... ............................... 7.0×10¥1 1.9×101 6.0×10¥1 1.6×101 5.4×105 1.5×107
Bk-247 ........................... Berkelium (97) ....... 8.0 2.2×102 8.0×10¥4 2.2×10¥2 3.8×10¥2 1.0
Bk-249 (a) ...................... ............................... 4.0×101 1.1×103 3.0×10¥1 8.1 6.1×101 1.6×103
Br-76 .............................. Bromine (35) ......... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 9.4×104 2.5×106
Br-77 .............................. ............................... 3.0 8.1×101 3.0 8.1×101 2.6×104 7.1×105
Br-82 .............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 4.0×104 1.1×106
C-11 ............................... Carbon (6) ............. 1.0 2.7×101 6.0×10¥1 1.6×101 3.1×107 8.4×108
C-14 ............................... ............................... 4.0×101 1.1×103 3.0 8.1×101 1.6×10¥1 4.5
Ca-41 ............................. Calcium (20) .......... Unlimited Unlimited Unlimited Unlimited 3.1×10¥3 8.5×10¥2
Ca-45 ............................. ............................... 4.0×101 1.1×103 1.0 2.7×101 6.6×102 1.8×104
Ca-47 (a) ....................... ............................... 3.0 8.1×101 3.0×10¥1 8.1 2.3×104 6.1×105
Cd-109 ........................... Cadmium (48) ....... 3.0×101 8.1×102 2.0 5.4×101 9.6×101 2.6×103
Cd-113m ........................ ............................... 4.0×101 1.1×103 5.0×10¥1 1.4×101 8.3 2.2×102
Cd-115 (a) ..................... ............................... 3.0 8.1×101 4.0×10¥1 1.1×101 1.9×104 5.1×105
Cd-115m ........................ ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 9.4×102 2.5×104
Ce-139 ........................... Cerium (58) ........... 7.0 1.9×102 2.0 5.4×101 2.5×102 6.8×103
Ce-141 ........................... ............................... 2.0×101 5.4×102 6.0×10¥1 1.6×101 1.1×103 2.8×104
Ce-143 ........................... ............................... 9.0×10¥1 2.4×101 6.0×10¥1 1.6×101 2.5×104 6.6×105
Ce-144 (a) ..................... ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 1.2×102 3.2×103
Cf-248 ............................ Californium (98) .... 4.0×101 1.1×103 6.0×10¥3 1.6×10¥1 5.8×101 1.6×103
Cf-249 ............................ ............................... 3.0 8.1×101 8.0×10¥4 2.2×10¥2 1.5×10¥1 4.1
Cf-250 ............................ ............................... 2.0×101 5.4×102 2.0×10¥3 5.4×10¥2 4.0 1.1×102
Cf-251 ............................ ............................... 7.0 1.9×102 7.0×10¥4 1.9×10¥2 5.9×10¥2 1.6
Cf-252 (h) ...................... ............................... 5.0×10¥2 1.4 3.0×10¥3 8.1×10¥2 2.0×101 5.4×102
Cf-253 (a) ...................... ............................... 4.0×101 1.1×103 4.0×10¥2 1.1 1.1×103 2.9×104
Cf-254 ............................ ............................... 1.0×10¥3 2.7×10¥2 1.0×10¥3 2.7×10¥2 3.1×102 8.5×103
Cl-36 .............................. Chlorine (17) ......... 1.0×101 2.7×102 6.0×10¥1 1.6×101 1.2×10¥3 3.3×10¥2
Cl-38 .............................. ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 4.9×106 1.3×108
Cm-240 .......................... Curium (96) ........... 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 7.5×102 2.0×104
Cm-241 .......................... ............................... 2.0 5.4×101 1.0 2.7×101 6.1×102 1.7×104
Cm-242 .......................... ............................... 4.0×101 1.1×103 1.0×10¥2 2.7×10¥1 1.2×102 3.3×103
Cm-243 .......................... ............................... 9.0 2.4×102 1.0×10¥3 2.7×10¥2 1.9×10¥3 5.2×101
Cm-244 .......................... ............................... 2.0×101 5.4×102 2.0×10¥3 5.4×10¥2 3.0 8.1×101
Cm-245 .......................... ............................... 9.0 2.4×102 9.0×10¥4 2.4×10¥2 6.4×10¥3 1.7×10¥1
Cm-246 .......................... ............................... 9.0 2.4×102 9.0×10¥4 2.4×10¥2 1.1×10¥2 3.1×10¥1
Cm-247 (a) .................... ............................... 3.0 8.1×101 1.0×10¥3 2.7×10¥2 3.4×10¥6 9.3×10¥5
Cm-248 .......................... ............................... 2.0×10¥2 5.4×10¥1 3.0×10¥4 8.1×10¥3 1.6×10¥5 4.2×10¥3
Co-55 ............................. Cobalt (27) ............ 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 1.1×105 3.1×106
Co-56 ............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.1×103 3.0×104
Co-57 ............................. ............................... 1.0×101 2.7×102 1.0×101 2.7×102 3.1×102 8.4×103

Co-58 ............................. ............................... 1.0 2.7×101 1.0 2.7×101 1.2×103 3.2×104
Co-58m .......................... ............................... 4.0×101 1.1×103 4.0×101 1.1×103 2.2×105 5.9×106
Co-60 ............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 4.2×101 1.1×103
368

Specific activity
Cr-51 .............................. Chromium (24) ...... 3.0×101 8.1×102 3.0×101 8.1×102 3.4×103 9.2×104
Cs-129 ........................... Cesium (55) .......... 4.0 1.1×102 4.0 1.1×102 2.8×104 7.6×105
Cs-131 ........................... ............................... 3.0×101 8.1×102 3.0×101 8.1×102 3.8×103 1.0×105
Cs-132 ........................... ............................... 1.0 2.7×101 1.0 2.7×101 5.7×103 1.5×105
Cs-134 ........................... ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 4.8×101 1.3×103
Cs-134m ........................ ............................... 4.0×101 1.1×103 6.0×10¥1 1.6×101 3.0×105 8.0×106
Cs-135 ........................... ............................... 4.0×101 1.1×103 1.0 2.7×101 4.3×10¥5 1.2×10¥3
Cs-136 ........................... ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 2.7×103 7.3×104
Cs-137 (a) ..................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 3.2 8.7×101
Cu-64 ............................. Copper (29) ........... 6.0 1.6×102 1.0 2.7×101 1.4×105 3.9×106
Cu-67 ............................. ............................... 1.0×101 2.7×102 7.0×10¥1 1.9×101 2.8×104 7.6×105
Dy-159 ........................... Dysprosium (66) .... 2.0×101 5.4×102 2.0×101 5.4×102 2.1×102 5.7×103
Dy-165 ........................... ............................... 9.0×10¥1 2.4×101 6.0×10¥1 1.6×101 3.0×105 8.2×106
Dy-166 (a) ..................... ............................... 9.0×10¥1 2.4×101 3.0×10¥1 8.1 8.6×103 2.3×105
Er-169 ............................ Erbium (68) ........... 4.0×101 1.1×103 1.0 2.7×101 3.1×103 8.3×104
Er-171 ............................ ............................... 8.0×10¥1 2.2×101 5.0×10¥1 1.4×101 9.0×104 2.4×106
Eu-147 ........................... Europium (63) ....... 2.0 5.4×101 2.0 5.4×101 1.4×103 3.7×104
Eu-148 ........................... ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 6.0×102 1.6×104
Eu-149 ........................... ............................... 2.0×101 5.4×102 2.0×101 5.4×102 3.5×102 9.4×103
Eu-150 (short lived) ....... ............................... 2.0 5.4×101 7.0×10¥1 1.9×101 6.1×104 1.6×106
Eu-150 (long lived) ........ ............................... 7×10¥1 1.9×101 7.0×10¥1 1.9×101 6.1×104 1.6×106
Eu-152 ........................... ............................... 1.0 2.7×101 1.0 2.7×101 6.5 1.8×102
Eu-152m ........................ ............................... 8.0×10¥1 2.2×101 8.0×10¥1 2.2×101 8.2×104 2.2×106
Eu-154 ........................... ............................... 9.0×10¥1 2.4×101 6.0×10¥1 1.6×101 9.8 2.6×102
Eu-155 ........................... ............................... 2.0×101 5.4×102 3.0 8.1×101 1.8×101 4.9×102
Eu-156 ........................... ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 2.0×103 5.5×104
F-18 ............................... Fluorine (9) ............ 1.0 2.7×101 6.0×10¥1 1.6×101 3.5×106 9.5×107
Fe-52 (a) ........................ Iron (26) ................ 3.0×10¥1 8.1 3.0×10¥1 8.1 2.7×105 7.3×106
Fe-55 ............................. ............................... 4.0×101 1.1×103 4.0×101 1.1×103 8.8×101 2.4×103
Fe-59 ............................. ............................... 9.0×10¥1 2.4×101 9.0×10¥1 2.4×101 1.8×103 5.0×104
Fe-60 (a) ........................ ............................... 4.0×101 1.1×103 2.0×10¥1 5.4 7.4×10¥4 2.0×10¥2
Ga-67 ............................. Gallium (31) .......... 7.0 1.9×102 3.0 8.1×101 2.2×104 6.0×105
Ga-68 ............................. ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 1.5×106 4.1×107
Ga-72 ............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 1.1×105 3.1×106
Gd-146 (a) ..................... Gadolinium (64) .... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 6.9×102 1.9×104
Gd-148 ........................... ............................... 2.0×101 5.4×102 2.0×10¥3 5.4×10¥2 1.2 3.2×101
Gd-153 ........................... ............................... 1.0×101 2.7×102 9.0 2.4×102 1.3×102 3.5×103
Gd-159 ........................... ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 3.9×104 1.1×106
Ge-68 (a) ....................... Germanium (32) .... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 2.6×102 7.1×103
Ge-71 ............................. ............................... 4.0×101 1.1×103 4.0×101 1.1×103 5.8×103 1.6×105
Ge-77 ............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.3×105 3.6×106
Hf-172 (a) ...................... Hafnium (72) ......... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 4.1×101 1.1×103
Hf-175 ............................ ............................... 3.0 8.1×101 3.0 8.1×101 3.9×102 1.1×104
Hf-181 ............................ ............................... 2.0 5.4×101 5.0×10¥1 1.4×101 6.3×102 1.7×104
Hf-182 ............................ ............................... Unlimited Unlimited Unlimited Unlimited 8.1×10¥6 2.2×10¥4
Hg-194 (a) ..................... Mercury (80) .......... 1.0 2.7×101 1.0 2.7×101 1.3×10¥1 3.5
Hg-195m (a) .................. ............................... 3.0 8.1×101 7.0×10¥1 1.9×101 1.5×104 4.0×105
Hg-197 ........................... ............................... 2.0×101 5.4×102 1.0×101 2.7×102 9.2×103 2.5×105
Hg-197m ........................ ............................... 1.0×101 2.7×102 4.0×10¥1 1.1×101 2.5×104 6.7×105
Hg-203 ........................... ............................... 5.0 1.4×102 1.0 2.7×101 5.1×102 1.4×104
Ho-166 ........................... Holmium (67) ........ 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 2.6×104 7.0×105
Ho-166m ........................ ............................... 6.0×10¥1 1.6×101 5.0×10¥1 1.4×101 6.6×10¥2 1.8
I-123 .............................. Iodine (53) ............. 6.0 1.6×102 3.0 8.1×101 7.1×104 1.9×106
I-124 .............................. ............................... 1.0 2.7×101 1.0 2.7×101 9.3×103 2.5×105
I-125 .............................. ............................... 2.0×101 5.4×102 3.0 8.1×101 6.4×102 1.7×104
I-126 .............................. ............................... 2.0 5.4×101 1.0 2.7×101 2.9×103 8.0×104
I-129 .............................. ............................... Unlimited Unlimited Unlimited Unlimited 6.5×10¥6 1.8×10¥4
I-131 .............................. ............................... 3.0 8.1×101 7.0×10¥1 1.9×101 4.6×103 1.2×105
I-132 .............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 3.8×105 1.0×107
I-133 .............................. ............................... 7.0×10¥1 1.9×101 6.0×10¥1 1.6×101 4.2×104 1.1×106
I-134 .............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 9.9×105 2.7×107
I-135 (a) ......................... ............................... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 1.3×105 3.5×106
In-111 ............................ Indium (49) ............ 3.0 8.1×101 3.0 8.1×101 1.5×104 4.2×105
In-113m ......................... ............................... 4.0 1.1×102 2.0 5.4×101 6.2×105 1.7×107
In-114m (a) .................... ............................... 1.0×101 2.7×102 5.0×10¥1 1.4×101 8.6×102 2.3×104
In-115m ......................... ............................... 7.0 1.9×102 1.0 2.7×101 2.2×105 6.1×106
Ir-189 (a) ........................ Iridium (77) ............ 1.0×101 2.7×102 1.0×101 2.7×102 1.9×103 5.2×104
Ir-190 ............................. ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 2.3×103 6.2×104
Ir-192 (c) ........................ ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 3.4×102 9.2×103
Ir-194 ............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 3.1×104 8.4×105
369

Specific activity
K-40 ............................... Potassium (19) ...... 9.0×10¥1 2.4×101 9.0×10¥1 2.4×101 2.4×10¥7 6.4×10¥6
K-42 ............................... ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 2.2×105 6.0×106
K-43 ............................... ............................... 7.0×10¥1 1.9×101 6.0×10¥1 1.6×101 1.2×105 3.3×106
Kr-81 .............................. Krypton (36) .......... 4.0×101 1.1×103 4.0×101 1.1×103 7.8×10¥4 2.1×10¥2
Kr-85 .............................. ............................... 1.0×101 2.7×102 1.0×101 2.7×102 1.5×101 3.9×102
Kr-85m ........................... ............................... 8.0 2.2×102 3.0 8.1×101 3.0×105 8.2×106
Kr-87 .............................. ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 1.0×106 2.8×107
La-137 ........................... Lanthanum (57) ..... 3.0×101 8.1×102 6.0 1.6×102 1.6×10¥3 4.4×10¥2
La-140 ........................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 2.1×104 5.6×105
Lu-172 ........................... Lutetium (71) ......... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 4.2×103 1.1×105
Lu-173 ........................... ............................... 8.0 2.2×102 8.0 2.2×102 5.6×101 1.5×103
Lu-174 ........................... ............................... 9.0 2.4×102 9.0 2.4×102 2.3×101 6.2×102
Lu-174m ........................ ............................... 2.0×101 5.4×102 1.0×101 2.7×102 2.0×102 5.3×103
Lu-177 ........................... ............................... 3.0×101 8.1×102 7.0×10¥1 1.9×101 4.1×103 1.1×105
Mg-28 (a) ....................... Magnesium (12) .... 3.0×10¥1 8.1 3.0×10¥1 8.1 2.0×105 5.4×106
Mn-52 ............................ Manganese (25) .... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.6×104 4.4×105
Mn-53 ............................ ............................... Unlimited Unlimited Unlimited Unlimited 6.8×10¥5 1.8×10¥3
Mn-54 ............................ ............................... 1.0 2.7×101 1.0 2.7×101 2.9×102 7.7×103
Mn-56 ............................ ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 8.0×105 2.2×107
Mo-93 ............................ Molybdenum (42) .. 4.0×101 1.1×103 2.0×101 5.4×102 4.1×10¥2 1.1
Mo-99 (a) (i) .................. ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 1.8×104 4.8×105
N-13 ............................... Nitrogen (7) ........... 9.0×10¥1 2.4×101 6.0×10¥1 1.6×101 5.4×107 1.5×109
Na-22 ............................. Sodium (11) .......... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 2.3×102 6.3×103
Na-24 ............................. ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 3.2×105 8.7×106
Nb-93m .......................... Niobium (41) ......... 4.0×101 1.1×103 3.0×101 8.1×102 8.8 2.4×102
Nb-94 ............................. ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 6.9×10¥3 1.9×10¥1
Nb-95 ............................. ............................... 1.0 2.7×101 1.0 2.7×101 1.5×103 3.9×104
Nb-97 ............................. ............................... 9.0×10¥1 2.4×101 6.0×10¥1 1.6×101 9.9×105 2.7×107
Nd-147 ........................... Neodymium (60) ... 6.0 1.6×102 6.0×10¥1 1.6×101 3.0×103 8.1×104
Nd-149 ........................... ............................... 6.0×10¥1 1.6×101 5.0×10¥1 1.4×101 4.5×105 1.2×107
Ni-59 .............................. Nickel (28) ............. Unlimited Unlimited Unlimited Unlimited 3.0×10¥3 8.0×10¥2
Ni-63 .............................. ............................... 4.0×101 1.1×103 3.0×101 8.1×102 2.1 5.7×101
Ni-65 .............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 7.1×105 1.9×107
Np-235 ........................... Neptunium (93) ..... 4.0×101 1.1×103 4.0×101 1.1×103 5.2×101 1.4×103
Np-236 (short-lived) ....... ............................... 2.0×101 5.4×102 2.0 5.4×101 4.7×10¥4 1.3×10¥2
Np-236 (long-lived) ........ ............................... 9.0×100 2.4×102 2.0×10¥2 5.4×10¥1 4.7×10¥4 1.3×10¥2
Np-237 ........................... ............................... 2.0×101 5.4×102 2.0×10¥3 5.4×10¥2 2.6×10¥5 7.1×10¥4
Np-239 ........................... ............................... 7.0 1.9×102 4.0×10¥1 1.1×101 8.6×103 2.3×105
Os-185 ........................... Osmium (76) ......... 1.0 2.7×101 1.0 2.7×101 2.8×102 7.5×103
Os-191 ........................... ............................... 1.0×101 2.7×102 2.0 5.4×101 1.6×103 4.4×104
Os-191m ........................ ............................... 4.0×101 1.1×103 3.0×101 8.1×102 4.6×104 1.3×106
Os-193 ........................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 2.0×104 5.3×105
Os-194 (a) ..................... ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.1×101 3.1×102
P-32 ............................... Phosphorus (15) ... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 1.1×104 2.9×105
P-33 ............................... ............................... 4.0×101 1.1×103 1.0 2.7×101 5.8×103 1.6×105
Pa-230 (a) ..................... Protactinium (91) ... 2.0 5.4×101 7.0×10¥2 1.9 1.2×103 3.3×104
Pa-231 ........................... ............................... 4.0 1.1×102 4.0×10¥4 1.1×10¥2 1.7×10¥3 4.7×10¥2
Pa-233 ........................... ............................... 5.0 1.4×102 7.0×10¥1 1.9×101 7.7×102 2.1×104
Pb-201 ........................... Lead (82) ............... 1.0 2.7×101 1.0 2.7×101 6.2×104 1.7×106
Pb-202 ........................... ............................... 4.0×101 1.1×103 2.0×101 5.4×102 1.2×10¥4 3.4×10¥3
Pb-203 ........................... ............................... 4.0 1.1×102 3.0 8.1×101 1.1×104 3.0×105
Pb-205 ........................... ............................... Unlimited Unlimited Unlimited Unlimited 4.5×10¥6 1.2×10¥4
Pb-210 (a) ..................... ............................... 1.0 2.7×101 5.0×10¥2 1.4 2.8 7.6×101
Pb-212 (a) ..................... ............................... 7.0×10¥1 1.9×101 2.0×10¥1 5.4 5.1×104 1.4×106
Pd-103 (a) ..................... Palladium (46) ....... 4.0×101 1.1×103 4.0×101 1.1×103 2.8×103 7.5×104
Pd-107 ........................... ............................... Unlimited Unlimited Unlimited Unlimited 1.9×10¥5 5.1×10¥4
Pd-109 ........................... ............................... 2.0 5.4×101 5.0×10¥1 1.4×101 7.9×104 2.1×106
Pm-143 .......................... Promethium (61) ... 3.0 8.1×101 3.0 8.1×101 1.3×102 3.4×103
Pm-144 .......................... ............................... 7.0×10¥1 1.9×101 7.0×10¥1 1.9×101 9.2×101 2.5×103
Pm-145 .......................... ............................... 3.0×101 8.1×102 1.0×101 2.7×102 5.2 1.4×102
Pm-147 .......................... ............................... 4.0×101 1.1×103 2.0 5.4×101 3.4×101 9.3×102
Pm-148m (a) ................. ............................... 8.0×10¥1 2.2×101 7.0×10¥1 1.9×101 7.9×102 2.1×104
Pm-149 .......................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 1.5×104 4.0×105
Pm-151 .......................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 2.7×104 7.3×105
Po-210 ........................... Polonium (84) ........ 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 1.7×102 4.5×103
Pr-142 ............................ Praseodymium (59) 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 4.3×104 1.2×106
Pr-143 ............................ ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 2.5×103 6.7×104

Pt-188 (a) ...................... Platinum (78) ......... 1.0 2.7×101 8.0×10¥1 2.2×101 2.5×103 6.8×104
Pt-191 ............................ ............................... 4.0 1.1×102 3.0 8.1×101 8.7×103 2.4×105
Pt-193 ............................ ............................... 4.0×101 1.1×103 4.0×101 1.1×103 1.4 3.7×101
370

Specific activity
Pt-193m ......................... ............................... 4.0×101 1.1×103 5.0×10¥1 1.4×101 5.8×103 1.6×105

Pt-195m ......................... ............................... 1.0×101 2.7×102 5.0×10¥1 1.4×101 6.2×103 1.7×105
Pt-197 ............................ ............................... 2.0×101 5.4×102 6.0×10¥1 1.6×101 3.2×104 8.7×105
Pt-197m ......................... ............................... 1.0×101 2.7×102 6.0×10¥1 1.6×101 3.7×105 1.0×107
Pu-236 ........................... Plutonium (94) ....... 3.0×101 8.1×102 3.0×10¥3 8.1×10¥2 2.0×101 5.3×102
Pu-237 ........................... ............................... 2.0×101 5.4×102 2.0×101 5.4×102 4.5×102 1.2×104
Pu-238 ........................... ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 6.3×10¥1 1.7×101
Pu-239 ........................... ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 2.3×10¥3 6.2×10¥2
Pu-240 ........................... ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 8.4×10¥3 2.3×10¥1
Pu-241 (a) ..................... ............................... 4.0×101 1.1×103 6.0×10¥2 1.6 3.8 1.0×102
Pu-242 ........................... ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 1.5×10¥4 3.9×10¥3
Pu-244 (a) ..................... ............................... 4.0×10¥1 1.1×101 1.0×10¥3 2.7×10¥2 6.7×10¥7 1.8×10¥5
Ra-223 (a) ..................... Radium (88) .......... 4.0×10¥1 1.1×101 7.0×10¥3 1.9×10¥1 1.9×103 5.1×104
Ra-224 (a) ..................... ............................... 4.0×10¥1 1.1×101 2.0×10¥2 5.4×10¥1 5.9×103 1.6×105
Ra-225 (a) ..................... ............................... 2.0×10¥1 5.4 4.0×10¥3 1.1×10¥1 1.5×103 3.9×104
Ra-226 (a) ..................... ............................... 2.0×10¥1 5.4 3.0×10¥3 8.1×10¥2 3.7×10¥2 1.0
Ra-228 (a) ..................... ............................... 6.0×10¥1 1.6×101 2.0×10¥2 5.4×10¥1 1.0×101 2.7×102
Rb-81 ............................. Rubidium (37) ....... 2.0 5.4×101 8.0×10¥1 2.2×101 3.1×105 8.4×106
Rb-83 (a) ....................... ............................... 2.0 5.4×101 2.0 5.4×101 6.8×102 1.8×104
Rb-84 ............................. ............................... 1.0 2.7×101 1.0 2.7×101 1.8×103 4.7×104
Rb-86 ............................. ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 3.0×103 8.1×104
Rb-87 ............................. ............................... Unlimited Unlimited Unlimited Unlimited 3.2×10¥9 8.6×10¥8
Rb(nat) ........................... ............................... Unlimited Unlimited Unlimited Unlimited 6.7×106 1.8×108
Re-184 ........................... Rhenium (75) ........ 1.0 2.7×101 1.0 2.7×101 6.9×102 1.9×104
Re-184m ........................ ............................... 3.0 8.1×101 1.0 2.7×101 1.6×102 4.3×103
Re-186 ........................... ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 6.9×103 1.9×105
Re-187 ........................... ............................... Unlimited Unlimited Unlimited Unlimited 1.4×10¥9 3.8×10¥8
Re-188 ........................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 3.6×104 9.8×105
Re-189 (a) ..................... ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 2.5×104 6.8×105
Re(nat) ........................... ............................... Unlimited Unlimited Unlimited Unlimited 0.0 2.4×10¥8
Rh-99 ............................. Rhodium (45) ........ 2.0 5.4×101 2.0 5.4×101 3.0×103 8.2×104
Rh-101 ........................... ............................... 4.0 1.1×102 3.0 8.1×101 4.1×101 1.1×103
Rh-102 ........................... ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 4.5×101 1.2×103
Rh-102m ........................ ............................... 2.0 5.4×101 2.0 5.4×101 2.3×102 6.2×103
Rh-103m ........................ ............................... 4.0×101 1.1×103 4.0×101 1.1×103 1.2×106 3.3×107
Rh-105 ........................... ............................... 1.0×101 2.7×102 8.0×10¥1 2.2×101 3.1×104 8.4×105
Rn-222 (a) ..................... Radon (86) ............ 3.0×10¥1 8.1 4.0×10¥3 1.1×10¥1 5.7×103 1.5×105
Ru-97 ............................. Ruthenium (44) ..... 5.0 1.4×102 5.0 1.4×102 1.7×104 4.6×105
Ru-103 (a) ..................... ............................... 2.0 5.4×101 2.0 5.4×101 1.2×103 3.2×104
Ru-105 ........................... ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 2.5×105 6.7×106
Ru-106 (a) ..................... ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 1.2×102 3.3×103
S-35 ............................... Sulphur (16) .......... 4.0×101 1.1×103 3.0 8.1×101 1.6×103 4.3×104
Sb-122 ........................... Antimony (51) ........ 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 1.5×104 4.0×105
Sb-124 ........................... ............................... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 6.5×102 1.7×104
Sb-125 ........................... ............................... 2.0 5.4×101 1.0 2.7×101 3.9×101 1.0×103
Sb-126 ........................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 3.1×103 8.4×104
Sc-44 ............................. Scandium (21) ....... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 6.7×105 1.8×107
Sc-46 ............................. ............................... 5.0×10¥1 1.4×101 5.0×10¥1 1.4×101 1.3×103 3.4×104
Sc-47 ............................. ............................... 1.0×101 2.7×102 7.0×10¥1 1.9×101 3.1×104 8.3×105
Sc-48 ............................. ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 5.5×104 1.5×106
Se-75 ............................. Selenium (34) ........ 3.0 8.1×101 3.0 8.1×101 5.4×102 1.5×104
Se-79 ............................. ............................... 4.0×101 1.1×103 2.0 5.4×101 2.6×10¥3 7.0×10¥2
Si-31 .............................. Silicon (14) ............ 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 1.4×106 3.9×107
Si-32 .............................. ............................... 4.0×101 1.1×103 5.0×10¥1 1.4×101 3.9 1.1×102
Sm-145 .......................... Samarium (62) ...... 1.0×101 2.7×102 1.0×101 2.7×102 9.8×101 2.6×103
Sm-147 .......................... ............................... Unlimited Unlimited Unlimited Unlimited 8.5×10¥1 2.3×10¥8
Sm-151 .......................... ............................... 4.0×101 1.1×103 1.0×101 2.7×102 9.7×10¥1 2.6×101
Sm-153 .......................... ............................... 9.0 2.4×102 6.0×10¥1 1.6×101 1.6×104 4.4×105
Sn-113 (a) ..................... Tin (50) .................. 4.0 1.1×102 2.0 5.4×101 3.7×102 1.0×104
Sn-117m ........................ ............................... 7.0 1.9×102 4.0×10¥1 1.1×101 3.0×103 8.2×104
Sn-119m ........................ ............................... 4.0×101 1.1×103 3.0×101 8.1×102 1.4×102 3.7×103
Sn-121m (a) .................. ............................... 4.0×101 1.1×103 9.0×10¥1 2.4×101 2.0 5.4×101
Sn-123 ........................... ............................... 8.0×10¥1 2.2×101 6.0×10¥1 1.6×101 3.0×102 8.2×103
Sn-125 ........................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 4.0×103 1.1×105
Sn-126 (a) ..................... ............................... 6.0×10¥1 1.6×101 4.0×10¥1 1.1×101 1.0×10¥3 2.8×10¥2
Sr-82 (a) ........................ Strontium (38) ....... 2.0×10¥1 5.4 2.0×10¥1 5.4 2.3×103 6.2×104
Sr-85 .............................. ............................... 2.0 5.4×101 2.0 5.4×101 8.8×102 2.4×104

Sr-85m ........................... ............................... 5.0 1.4×102 5.0 1.4×102 1.2×106 3.3×107
Sr-87m ........................... ............................... 3.0 8.1×101 3.0 8.1×101 4.8×105 1.3×107
Sr-89 .............................. ............................... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 1.1×103 2.9×104
371

Specific activity
Sr-90 (a) ........................ ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 5.1 1.4×102
Sr-91 (a) ........................ ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.3×105 3.6×106
Sr-92 (a) ........................ ............................... 1.0 2.7×101 3.0×10¥1 8.1 4.7×105 1.3×107
T(H-3) ............................ Tritium (1) .............. 4.0×101 1.1×103 4.0×101 1.1×103 3.6×102 9.7×103
Ta-178 (long-lived) ........ Tantalum (73) ........ 1.0 2.7×101 8.0×10¥1 2.2×101 4.2×106 1.1×108
Ta-179 ........................... ............................... 3.0×101 8.1×102 3.0×101 8.1×102 4.1×101 1.1×103
Ta-182 ........................... ............................... 9.0×10¥1 2.4×101 5.0×10¥1 1.4×101 2.3×102 6.2×103
Tb-157 ........................... Terbium (65) ......... 4.0×101 1.1×103 4.0×101 1.1×103 5.6×10¥1 1.5×101
Tb-158 ........................... ............................... 1.0 2.7×101 1.0 2.7×101 5.6×10¥1 1.5×101
Tb-160 ........................... ............................... 1.0 2.7×101 6.0×10¥1 1.6×101 4.2×102 1.1×104
Tc-95m (a) ..................... Technetium (43) .... 2.0 5.4×101 2.0 5.4×101 8.3×102 2.2×104
Tc-96 ............................. ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 1.2×104 3.2×105
Tc-96m (a) ..................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 1.4×106 3.8×107
Tc-97 ............................. ............................... Unlimited Unlimited Unlimited Unlimited 5.2×10¥5 1.4×10¥3
Tc-97m .......................... ............................... 4.0×101 1.1×103 1.0 2.7×101 5.6×102 1.5×104
Tc-98 ............................. ............................... 8.0×10¥1 2.2×101 7.0×10¥1 1.9×101 3.2×10¥5 8.7×10¥4
Tc-99 ............................. ............................... 4.0×101 1.1×103 9.0×10¥1 2.4×101 6.3×10¥4 1.7×10¥2
Tc-99m .......................... ............................... 1.0×101 2.7×102 4.0 1.1×102 1.9×105 5.3×106
Te-121 ........................... Tellurium (52) ........ 2.0 5.4×101 2.0 5.4×101 2.4×103 6.4×104
Te-121m ........................ ............................... 5.0 1.4×102 3.0 8.1×101 2.6×102 7.0×103
Te-123m ........................ ............................... 8.0 2.2×102 1.0 2.7×101 3.3×102 8.9×103
Te-125m ........................ ............................... 2.0×101 5.4×102 9.0×10¥1 2.4×101 6.7×102 1.8×104
Te-127 ........................... ............................... 2.0×101 5.4×102 7.0×10¥1 1.9×101 9.8×104 2.6×106
Te-127m (a) ................... ............................... 2.0×101 5.4×102 5.0×10¥1 1.4×101 3.5×102 9.4×103
Te-129 ........................... ............................... 7.0×10¥1 1.9×101 6.0×10¥1 1.6×101 7.7×105 2.1×107
Te-129m (a) ................... ............................... 8.0×10¥1 2.2×101 4.0×10¥1 1.1×101 1.1×103 3.0×104
Te-131m (a) ................... ............................... 7.0×10¥1 1.9×101 5.0×10¥1 1.4×101 3.0×104 8.0×105
Te-132 (a) ...................... ............................... 5.0×10¥1 1.4×101 4.0×10¥1 1.1×101 1.1×104 8.0×105
Th-227 ........................... Thorium (90) ......... 1.0×101 2.7×102 5.0×10¥3 1.4×10¥1 1.1×103 3.1×104
Th-228 (a) ...................... ............................... 5.0×10¥1 1.4×101 1.0×10¥3 2.7×10¥2 3.0×101 8.2×102
Th-229 ........................... ............................... 5.0 1.4×102 5.0×10¥4 1.4×10¥2 7.9×10¥3 2.1×10¥1
Th-230 ........................... ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 7.6×10¥4 2.1×10¥2
Th-231 ........................... ............................... 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 2.0×104 5.3×105
Th-232 ........................... ............................... Unlimited Unlimited Unlimited Unlimited 4.0×10¥9 1.1×10¥7
Th-234 (a) ...................... ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 8.6×102 2.3×104
Th(nat) ........................... ............................... Unlimited Unlimited Unlimited Unlimited 8.1×10¥9 2.2×10¥7
Ti-44 (a) ......................... Titanium (22) ......... 5.0×10¥1 1.4×101 4.0×10¥1 1.1×101 6.4 1.7×102
Tl-200 ............................ Thallium (81) ......... 9.0×10¥1 2.4×101 9.0×10¥1 2.4×101 2.2×104 6.0×105
Tl-201 ............................ ............................... 1.0×101 2.7×102 4.0 1.1×102 7.9×103 2.1×105
Tl-202 ............................ ............................... 2.0 5.4×101 2.0 5.4×101 2.0×103 5.3×104
Tl-204 ............................ ............................... 1.0×101 2.7×102 7.0×10¥1 1.9×101 1.7×101 4.6×102
Tm-167 .......................... Thulium (69) .......... 7.0 1.9×102 8.0×10¥1 2.2×101 3.1×103 8.5×104
Tm-170 .......................... ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 2.2×102 6.0×103
Tm-171 .......................... ............................... 4.0×101 1.1×103 4.0×101 1.1×103 4.0×101 1.1×103
U-230 (fast lung absorp- Uranium (92) ......... 4.0×101 1.1×103 1.0×10¥1 2.7 1.0×103 2.7×104
tion) (a)(d).
U-230 (medium lung ab- ............................... 4.0×101 1.1×103 4.0×10¥3 1.1×10¥1 1.0×103 2.7×104
sorption) (a)(e).
U-230 (slow lung ab- ............................... 3.0×101 8.1×102 3.0×10¥3 8.1×10¥2 1.0×103 2.7×104
sorption) (a)(f).
U-232 (fast lung absorp- ............................... 4.0×101 1.1×103 1.0×10¥2 2.7×10¥1 8.3×10¥1 2.2×101
tion) (d).
U-232 (medium lung ab- ............................... 4.0×101 1.1×103 7.0×10¥3 1.9×10¥1 8.3×10¥1 2.2×101
sorption) (e).
U-232 (slow lung ab- ............................... 1.0×101 2.7×102 1.0×10¥3 2.7×10¥2 8.3×10¥1 2.2×101
sorption) (f).
U-233 (fast lung absorp- ............................... 4.0×101 1.1×103 9.0×10¥2 2.4 3.6×10¥4 9.7×10¥3
tion) (d).
U-233 (medium lung ab- ............................... 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 3.6×10¥4 9.7×10¥3
sorption) (e).
U-233 (slow lung ab- ............................... 4.0×101 1.1×103 6.0×10¥3 1.6×10¥1 3.6×10¥4 9.7×10¥3
sorption) (f).
U-234 (fast lung absorp- ............................... 4.0×101 1.1×103 9.0×10¥2 2.4 2.3×10¥4 6.2×10¥3
tion) (d).
U-234 (medium lung ab- ............................... 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 2.3×10¥4 6.2×10¥3
sorption) (e).
U-234 (slow lung ab- ............................... 4.0×101 1.1×103 6.0×10¥3 1.6×10¥1 2.3×10¥4 6.2×10¥3
sorption) (f).
U-235 (all lung absorp- ............................... Unlimited Unlimited Unlimited Unlimited 8.0×10¥8 2.2×10¥6
tion types)
(a),(d),(e),(f).
372

Specific activity
U-236 (fast lung absorp- ............................... Unlimited Unlimited Unlimited Unlimited 2.4×10¥6 6.5×10¥5
tion) (d).
U-236 (medium lung ab- ............................... 4.0×101 1.1×103 2.0×10¥2 5.4×10¥1 2.4×10¥6 6.5×10¥5
sorption) (e).
U-236 (slow lung ab- ............................... 4.0×101 1.1×103 6.0×10¥3 1.6×10¥1 2.4×10¥6 6.5×10¥5
sorption) (f).
U-238 (all lung absorp- ............................... Unlimited Unlimited Unlimited Unlimited 1.2×10¥8 3.4×10¥7
tion types) (d),(e),(f).
U (nat) ........................... ............................... Unlimited Unlimited Unlimited Unlimited 2.6×10¥8 7.1×10¥7
U (enriched to 20% or ............................... Unlimited Unlimited Unlimited Unlimited See Table See Table
less)(g). A-4 A-4
U (dep) .......................... ............................... Unlimited Unlimited Unlimited Unlimited See Table See Table
A-4 A-4
V-48 ............................... Vanadium (23) ...... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 6.3×103 1.7×105
V-49 ............................... ............................... 4.0×101 1.1×103 4.0×101 1.1×103 3.0×102 8.1×103
W-178 (a) ...................... Tungsten (74) ........ 9.0 2.4×102 5.0 1.4×102 1.3×103 3.4×104
W-181 ............................ ............................... 3.0×101 8.1×102 3.0×101 8.1×102 2.2×102 6.0×103
W-185 ............................ ............................... 4.0×101 1.1×103 8.0×10¥1 2.2×101 3.5×102 9.4×103
W-187 ............................ ............................... 2.0 5.4×101 6.0×10¥1 1.6×101 2.6×104 7.0×105
W-188 (a) ...................... ............................... 4.0×10¥1 1.1×101 3.0×10¥1 8.1 3.7×102 1.0×104
Xe-122 (a) ..................... Xenon (54) ............ 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 4.8×104 1.3×106
Xe-123 ........................... ............................... 2.0 5.4×101 7.0×10¥1 1.9×101 4.4×105 1.2×107
Xe-127 ........................... ............................... 4.0 1.1×102 2.0 5.4×101 1.0×103 2.8×104
Xe-131m ........................ ............................... 4.0×101 1.1×103 4.0×101 1.1×103 3.1×103 8.4×104
Xe-133 ........................... ............................... 2.0×101 5.4×102 1.0×101 2.7×102 6.9×103 1.9×105
Xe-135 ........................... ............................... 3.0 8.1×101 2.0 5.4×101 9.5×104 2.6×106
Y-87 (a) ......................... Yttrium (39) ........... 1.0 2.7×101 1.0 2.7×101 1.7×104 4.5×105
Y-88 ............................... ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 5.2×102 1.4×104
Y-90 ............................... ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 2.0×104 5.4×105
Y-91 ............................... ............................... 6.0×10¥1 1.6×101 6.0×10¥1 1.6×101 9.1×102 2.5×104
Y-91m ............................ ............................... 2.0 5.4×101 2.0 5.4×101 1.5×106 4.2×107
Y-92 ............................... ............................... 2.0×10¥1 5.4 2.0×10¥1 5.4 3.6×105 9.6×106
Y-93 ............................... ............................... 3.0×10¥1 8.1 3.0×10¥1 8.1 1.2×105 3.3×106
Yb-169 ........................... Ytterbium (70) ....... 4.0 1.1×102 1.0 2.7×101 8.9×102 2.4×104
Yb-175 ........................... ............................... 3.0×101 8.1×102 9.0×10¥1 2.4×101 6.6×103 1.8×105
Zn-65 ............................. Zinc (30) ................ 2.0 5.4×101 2.0 5.4×101 3.0×102 8.2×103
Zn-69 ............................. ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 1.8×106 4.9×107
Zn-69m (a) ..................... ............................... 3.0 8.1×101 6.0×10¥1 1.6×101 1.2×105 3.3×106
Zr-88 .............................. Zirconium (40) ....... 3.0 8.1×101 3.0 8.1×101 6.6×102 1.8×104
Zr-93 .............................. ............................... Unlimited Unlimited Unlimited Unlimited 9.3×10¥5 2.5×10¥3
Zr-95 (a) ........................ ............................... 2.0 5.4×101 8.0×10¥1 2.2×101 7.9×102 2.1×104
Zr-97 (a) ........................ ............................... 4.0×10¥1 1.1×101 4.0×10¥1 1.1×101 7.1×104 1.9×106
a A and/or A values include contributions from daughter nuclides with half-lives less than 10 days.
1 2
b The values of A
1 and A2 in Curies (Ci) are approximate and for information only; the regulatory standard units are
Terabecquerels (TBq), (see Appendix A to part 71—Determination of A1 and A2, Section I.). For radionuclide Bi-205, the specific
activity is corrected to 1.5 × 103 TBq/g. For radionuclide Cm-248, the specific activity is corrected to 1.6 × 10¥4 TBq/g. For radio-
nuclide Eu-150 (long lived), the A1 value is corrected to 7.0 × 10¥1 TBq. For radionuclide Te-132(a), the specific activity is cor-
rected to 3.0 × 105 Ci/g.
c The quantity may be determined from a measurement of the rate of decay or a measurement of the radiation level at a pre-
scribed distance from the source.
d These values apply only to compounds of uranium that take the chemical form of UF , UO F and UO (NO ) in both normal
6 2 2 2 3 2
and accident conditions of transport.
e These values apply only to compounds of uranium that take the chemical form of UO , UF , UCl and hexavalent compounds
3 4 4
in both normal and accident conditions of transport.
f These values apply to all compounds of uranium other than those specified in notes (d) and (e) of this table.
g These values apply to unirradiated uranium only.
h A = 0.1 TBq (2.7 Ci) and A = 0.001 TBq (0.027 Ci) for Cf-252 for domestic use.
1 2
i A = 0.74 TBq (20 Ci) for Mo-99 for domestic use.
2
TABLE A–2—EXEMPT MATERIAL ACTIVITY CONCENTRATIONS AND EXEMPT CONSIGNMENT ACTIVITY

LIMITS FOR RADIONUCLIDES
Activity concentra- Activity concentra- Activity limit for Activity limit for
Symbol of Element and atomic num- tion for exempt tion for exempt exempt consign- exempt consign-
radionuclide ber material material ment ment
(Bq/g) (Ci/g) (Bq) (Ci)
Ac-225 ............ Actinium (89) .................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7

Ac-227 ............ ........................................... 1.0×10¥1 2.7×10¥12 1.0×103 2.7×10¥8

Ac-228 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Ag-105 ............ Silver (47) ......................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ag-108m (b) ... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
373

LIMITS FOR RADIONUCLIDES—Continued
Ag-110m ......... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5

Ag-111 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Al-26 ............... Aluminum (13) .................. 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Am-241 ........... Americium (95) ................. 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Am-242m (b) .. ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Am-243 (b) ..... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Ar-37 ............... Argon (18) ........................ 1.0×106 2.7×10¥5 1.0×108 2.7×10¥3
Ar-39 ............... ........................................... 1.0×107 2.7×10¥4 1.0×104 2.7×10¥7
Ar-41 ............... ........................................... 1.0×102 2.7×10¥9 1.0×109 2.7×10¥2
As-72 .............. Arsenic (33) ...................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
As-73 .............. ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
As-74 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
As-76 .............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
As-77 .............. ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
At-211 ............. Astatine (85) ..................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Au-193 ............ Gold (79) .......................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Au-194 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Au-195 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Au-198 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Au-199 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ba-131 ............ Barium (56) ....................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ba-133 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ba-133m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ba-140 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Be-7 ................ Beryllium (4) ..................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Be-10 .............. ........................................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Bi-205 ............. Bismuth (83) ..................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Bi-206 ............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Bi-207 ............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Bi-210 ............. ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Bi-210m .......... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Bi-212 (b) ........ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Bk-247 ............ Berkelium (97) .................. 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Bk-249 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Br-76 ............... Bromine (35) ..................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Br-77 ............... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Br-82 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
C-11 ................ Carbon (6) ........................ 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
C-14 ................ ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Ca-41 .............. Calcium (20) ..................... 1.0×105 2.7×10¥6 1.0×107 2.7×10¥4
Ca-45 .............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Ca-47 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Cd-109 ............ Cadmium (48) ................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Cd-113m ......... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Cd-115 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Cd-115m ......... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Ce-139 ............ Cerium (58) ...................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ce-141 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Ce-143 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ce-144 (b) ...... ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Cf-248 ............. Californium (98) ................ 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cf-249 ............. ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Cf-250 ............. ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cf-251 ............. ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Cf-252 ............. ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cf-253 ............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Cf-254 ............. ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Cl-36 ............... Chlorine (17) ..................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Cl-38 ............... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Cm-240 ........... Curium (96) ...................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Cm-241 ........... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Cm-242 ........... ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Cm-243 ........... ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Cm-244 ........... ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cm-245 ........... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8

Cm-246 ........... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Cm-247 ........... ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Cm-248 ........... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
374

Co-55 .............. Cobalt (27) ........................ 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5

Co-56 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Co-57 .............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Co-58 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Co-58m ........... ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Co-60 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Cr-51 ............... Chromium (24) ................. 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Cs-129 ............ Cesium (55) ...................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Cs-131 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Cs-132 ............ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Cs-134 ............ ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cs-134m ......... ........................................... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
Cs-135 ............ ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Cs-136 ............ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Cs-137 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Cu-64 .............. Copper (29) ...................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Cu-67 .............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Dy-159 ............ Dysprosium (66) ............... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Dy-165 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Dy-166 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Er-169 ............. Erbium (68) ....................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Er-171 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Eu-147 ............ Europium (63) ................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Eu-148 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Eu-149 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Eu-150 (short ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
lived).
Eu-150 (long ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
lived).
Eu-152 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Eu-152m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Eu-154 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Eu-155 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Eu-156 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
F-18 ................ Fluorine (9) ....................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Fe-52 .............. Iron (26) ............................ 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Fe-55 .............. ........................................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Fe-59 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Fe-60 .............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Ga-67 .............. Gallium (31) ...................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ga-68 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Ga-72 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Gd-146 ............ Gadolinium (64) ................ 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Gd-148 ............ ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Gd-153 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Gd-159 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Ge-68 .............. Germanium (32) ............... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Ge-71 .............. ........................................... 1.0×104 2.7×10¥7 1.0×108 2.7×10¥3
Ge-77 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Hf-172 ............. Hafnium (72) ..................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Hf-175 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Hf-181 ............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Hf-182 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Hg-194 ............ Mercury (80) ..................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Hg-195m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Hg-197 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Hg-197m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Hg-203 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Ho-166 ............ Holmium (67) .................... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
Ho-166m ......... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
I-123 ............... Iodine (53) ........................ 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
I-124 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
I-125 ............... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
I-126 ............... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
I-129 ............... ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6

I-131 ............... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
I-132 ............... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
I-133 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
375

I-134 ............... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6

I-135 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
In-111 ............. Indium (49) ....................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
In-113m .......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
In-114m .......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
In-115m .......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ir-189 .............. Iridium (77) ....................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Ir-190 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Ir-192 .............. ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Ir-194 .............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
K-40 ................ Potassium (19) ................. 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
K-42 ................ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
K-43 ................ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Kr-81 ............... Krypton (36) ...................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Kr-85 ............... ........................................... 1.0×105 2.7×10¥6 1.0×104 2.7×10¥7
Kr-85m ............ ........................................... 1.0×103 2.7×10¥8 1.0×1010 2.7×10¥1
Kr-87 ............... ........................................... 1.0×102 2.7×10¥9 1.0×109 2.7×10¥2
La-137 ............ Lanthanum (57) ................ 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
La-140 ............ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Lu-172 ............ Lutetium (71) .................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Lu-173 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Lu-174 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Lu-174m ......... ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Lu-177 ............ ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Mg-28 ............. Magnesium (12) ............... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Mn-52 ............. Manganese (25) ............... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Mn-53 ............. ........................................... 1.0×104 2.7×10¥7 1.0×109 2.7×10¥2
Mn-54 ............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Mn-56 ............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Mo-93 ............. Molybdenum (42) ............. 1.0×103 2.7×10¥8 1.0×108 2.7×10¥3
Mo-99 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
N-13 ................ Nitrogen (7) ...................... 1.0×102 2.7×10¥9 1.0×109 2.7×10¥2
Na-22 .............. Sodium (11) ...................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Na-24 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Nb-93m ........... Niobium (41) ..................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Nb-94 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Nb-95 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Nb-97 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Nd-147 ............ Neodymium (60) ............... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Nd-149 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ni-59 ............... Nickel (28) ........................ 1.0×104 2.7×10¥7 1.0×108 2.7×10¥3
Ni-63 ............... ........................................... 1.0×105 2.7×10¥6 1.0×108 2.7×10¥3
Ni-65 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Np-235 ............ Neptunium (93) ................. 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Np-236 (short- ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
lived).
Np-236 (long- ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
lived).
Np-237 (b) ...... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Np-239 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Os-185 ............ Osmium (76) ..................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Os-191 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Os-191m ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Os-193 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Os-194 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
P-32 ................ Phosphorus (15) ............... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
P-33 ................ ........................................... 1.0×105 2.7×10¥6 1.0×108 2.7×10¥3
Pa-230 ............ Protactinium (91) .............. 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Pa-231 ............ ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Pa-233 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Pb-201 ............ Lead (82) .......................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Pb-202 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Pb-203 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Pb-205 ............ ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Pb-210 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7

Pb-212 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Pd-103 ............ Palladium (46) .................. 1.0×103 2.7×10¥8 1.0×108 2.7×10¥3
Pd-107 ............ ........................................... 1.0×105 2.7×10¥6 1.0×108 2.7×10¥3
376

Pd-109 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5

Pm-143 ........... Promethium (61) ............... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Pm-144 ........... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Pm-145 ........... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Pm-147 ........... ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Pm-148m ........ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Pm-149 ........... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Pm-151 ........... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Po-210 ............ Polonium (84) ................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Pr-142 ............. Praseodymium (59) .......... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Pr-143 ............. ........................................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Pt-188 ............. Platinum (78) .................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Pt-191 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Pt-193 ............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Pt-193m .......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Pt-195m .......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Pt-197 ............. ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Pt-197m .......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Pu-236 ............ Plutonium (94) .................. 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Pu-237 ............ ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Pu-238 ............ ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Pu-239 ............ ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Pu-240 ............ ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Pu-241 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Pu-242 ............ ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Pu-244 ............ ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Ra-223 (b) ...... Radium (88) ...................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Ra-224 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Ra-225 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Ra-226 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Ra-228 (b) ...... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Rb-81 .............. Rubidium (37) ................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Rb-83 .............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Rb-84 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Rb-86 .............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Rb-87 .............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Rb(nat) ............ ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Re-184 ............ Rhenium (75) .................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Re-184m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Re-186 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Re-187 ............ ........................................... 1.0×106 2.7×10¥5 1.0×109 2.7×10¥2
Re-188 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Re-189 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Re(nat) ............ ........................................... 1.0×106 2.7×10¥5 1.0×109 2.7×10¥2
Rh-99 .............. Rhodium (45) .................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Rh-101 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Rh-102 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Rh-102m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Rh-103m ......... ........................................... 1.0×104 2.7×10¥7 1.0×108 2.7×10¥3
Rh-105 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Rn-222 (b) ...... Radon (86) ....................... 1.0×101 2.7×10¥10 1.0×108 2.7×10¥3
Ru-97 .............. Ruthenium (44) ................. 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Ru-103 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Ru-105 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Ru-106 (b) ...... ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
S-35 ................ Sulphur (16) ...................... 1.0×105 2.7×10¥6 1.0×108 2.7×10¥3
Sb-122 ............ Antimony (51) ................... 1.0×102 2.7×10¥9 1.0×104 2.7×10¥7
Sb-124 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Sb-125 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sb-126 ............ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Sc-44 .............. Scandium (21) .................. 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Sc-46 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Sc-47 .............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sc-48 .............. ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Se-75 .............. Selenium (34) ................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5

Se-79 .............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Si-31 ............... Silicon (14) ....................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Si-32 ............... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
377

Sm-145 ........... Samarium (62) .................. 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4

Sm-147 ........... ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Sm-151 ........... ........................................... 1.0×104 2.7×10¥7 1.0×108 2.7×10¥3
Sm-153 ........... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sn-113 ............ Tin (50) ............................. 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Sn-117m ......... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sn-119m ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Sn-121m ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Sn-123 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Sn-125 ............ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Sn-126 ............ ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Sr-82 ............... Strontium (38) ................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Sr-85 ............... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sr-85m ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Sr-87m ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Sr-89 ............... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Sr-90 (b) ......... ........................................... 1.0×102 2.7×10¥9 1.0×104 2.7×10¥7
Sr-91 ............... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Sr-92 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
T(H-3) ............. Tritium (1) ......................... 1.0×106 2.7×10¥5 1.0×109 2.7×10¥2
Ta-178 (long- Tantalum (73) ................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
lived).
Ta-179 ............ ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Ta-182 ............ ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Tb-157 ............ Terbium (65) ..................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Tb-158 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tb-160 ............ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tc-95m ........... Technetium (43) ............... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tc-96 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tc-96m ........... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Tc-97 .............. ........................................... 1.0×103 2.7×10¥8 1.0×108 2.7×10¥3
Tc-97m ........... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Tc-98 .............. ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tc-99 .............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
Tc-99m ........... ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Te-121 ............ Tellurium (52) ................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Te-121m ......... ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Te-123m ......... ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Te-125m ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Te-127 ............ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Te-127m ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Te-129 ............ ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Te-129m ......... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Te-131m ......... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Te-132 ............ ........................................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Th-227 ............ Thorium (90) ..................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Th-228 (b) ....... ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Th-229 (b) ....... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Th-230 ............ ........................................... 1.0 2.7×10¥11 1.0×104 2.7×10¥7
Th-231 ............ ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Th-232 ............ ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
Th-234 (b) ....... ........................................... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
Th (nat) (b) ..... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
Ti-44 ............... Titanium (22) .................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
Tl-200 ............. Thallium (81) .................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Tl-201 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Tl-202 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Tl-204 ............. ........................................... 1.0×104 2.7×10¥7 1.0×104 2.7×10¥7
Tm-167 ........... Thulium (69) ..................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Tm-170 ........... ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5
Tm-171 ........... ........................................... 1.0×104 2.7×10¥7 1.0×108 2.7×10¥3
U-230 (fast Uranium (92) .................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
lung absorp-
tion) (b),(d).
U-230 (medium ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (e).
378

U-230 (slow ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7

lung absorp-
tion) (f).
U-232 (fast ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
lung absorp-
tion) (b),(d).
U-232 (medium ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (e).
U-232 (slow ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (f).
U-233 (fast ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (d).
U-233 (medium ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
lung absorp-
tion) (e).
U-233 (slow ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
lung absorp-
tion) (f).
U-234 (fast ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (d).
U-234 (medium ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
lung absorp-
tion) (e).
U-234 (slow ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
lung absorp-
tion) (f).
U-235 (all lung ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
absorption
types)
(b),(d),(e),(f).
U-236 (fast ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (d).
U-236 (medium ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
lung absorp-
tion) (e).
U-236 (slow ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
lung absorp-
tion) (f).
U-238 (all lung ........................................... 1.0×101 2.7×10¥10 1.0×104 2.7×10¥7
absorption
types)
(b),(d),(e),(f).
U (nat) (b) ....... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
U (enriched to ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
20% or
less)(g).
U (dep) ........... ........................................... 1.0 2.7×10¥11 1.0×103 2.7×10¥8
V-48 ................ Vanadium (23) .................. 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
V-49 ................ ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
W-178 ............. Tungsten (74) ................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
W-181 ............. ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
W-185 ............. ........................................... 1.0×104 2.7×10¥7 1.0×107 2.7×10¥4
W-187 ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
W-188 ............. ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Xe-122 ............ Xenon (54) ........................ 1.0×102 2.7×10¥9 1.0×109 2.7×10¥2
Xe-123 ............ ........................................... 1.0×102 2.7×10¥9 1.0×109 2.7×10¥2
Xe-127 ............ ........................................... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
Xe-131m ......... ........................................... 1.0×104 2.7×10¥7 1.0×104 2.7×10¥7
Xe-133 ............ ........................................... 1.0×103 2.7×10¥8 1.0×104 2.7×10¥7
Xe-135 ............ ........................................... 1.0×103 2.7×10¥8 1.0×1010 2.7×10¥1

Y-87 ................ Yttrium (39) ....................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Y-88 ................ ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Y-90 ................ ........................................... 1.0×103 2.7×10¥8 1.0×105 2.7×10¥6
379

Y-91 ................ ........................................... 1.0×103 2.7×10¥8 1.0×106 2.7×10¥5

Y-91m ............. ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Y-92 ................ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Y-93 ................ ........................................... 1.0×102 2.7×10¥9 1.0×105 2.7×10¥6
Yb-169 ............ Ytterbium (70) ................... 1.0×102 2.7×10¥9 1.0×107 2.7×10¥4
Yb-175 ............ ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Zn-65 .............. Zinc (30) ........................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Zn-69 .............. ........................................... 1.0×104 2.7×10¥7 1.0×106 2.7×10¥5
Zn-69m ........... ........................................... 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Zr-88 ............... Zirconium (40) .................. 1.0×102 2.7×10¥9 1.0×106 2.7×10¥5
Zr-93 (b) ......... ........................................... 1.0×103 2.7×10¥8 1.0×107 2.7×10¥4
Zr-95 ............... ........................................... 1.0×101 2.7×10¥10 1.0×106 2.7×10¥5
Zr-97 (b) ......... ........................................... 1.0×101 2.7×10¥10 1.0×105 2.7×10¥6
a [Reserved]
b Parent nuclides and their progeny included in secular equilibrium are listed in the following:
Sr-90 Y-90
Zr-93 Nb-93m
Zr-97 Nb-97
Ru-106 Rh-106
Cs-137 Ba-137m
Ce-134 La-134
Ce-144 Pr-144
Ba-140 La-140
Bi-212 Tl-208 (0.36), Po-212 (0.64)
Pb-210 Bi-210, Po-210
Pb-212 Bi-212, Tl-208 (0.36), Po-212 (0.64)
Rn-220 Po-216
Rn-222 Po-218, Pb-214, Bi-214, Po-214
Ra-223 Rn-219, Po-215, Pb-211, Bi-211, Tl-207
Ra-224 Rn-220, Po-216, Pb-212, Bi-212, Tl-208(0.36), Po-212 (0.64)
Ra-226 Rn-222, Po-218, Pb-214, Bi-214, Po-214, Pb-210, Bi-210, Po-210
Ra-228 Ac-228
Th-226 Ra-222, Rn-218, Po-214
Th-228 Ra-224, Rn-220, Po-216, Pb-212, Bi-212, Tl-208 (0.36), Po-212 (0.64)
Th-229 Ra-225, Ac-225, Fr-221, At-217, Bi-213, Po-213, Pb-209
Th-nat Ra-228, Ac-228, Th-228, Ra-224, Rn-220, Po-216, Pb-212, Bi-212, Tl-208 (0.36), Po-212 (0.64)
Th-234 Pa-234m
U-230 Th-226, Ra-222, Rn-218, Po-214
U-232 Th-228, Ra-224, Rn-220, Po-216, Pb-212, Bi-212, Tl-208 (0.36), Po-212 (0.64)
U-235 Th-231
U-238 Th-234, Pa-234m
U-nat Th-234, Pa-234m, U-234, Th-230, Ra-226, Rn-222, Po-218, Pb-214, Bi-214, Po-214, Pb-210, Bi-210, Po-210
U-240 Np-240m
Np-237 Pa-233
Am-242m Am-242
Am-243 Np-239
c [Reserved]
d These values apply only to compounds of uranium that take the chemical form of UF , UO F and UO (NO ) in both normal
6 2 2 2 3 2
and accident conditions of transport.
e These values apply only to compounds of uranium that take the chemical form of UO , UF , UCl and hexavalent compounds
3 4 4
in both normal and accident conditions of transport.
f These values apply to all compounds of uranium other than those specified in notes (d) and (e) of this table.
g These values apply to unirradiated uranium only.
380
VerDate Mar<15>2010
TABLE A–3—GENERAL VALUES FOR A1 AND A2
A1 A2 Activity con-
08:18 Mar 01, 2011

Activity con- Activity limits Activity limits
centration for centration for for exempt for exempt
Contents exempt mate- exempt material consignments consignments
(TBq) (Ci) (TBq) (Ci) rial (Ci/g) (Bq) (Ci)
(Bq/g)
Only beta or gamma emitting radionuclides are 1 × 10¥1 2.7 × 100 2 × 10¥2 5.4 × 10¥1 1 × 101 2.7 × 10¥10 1 × 104 2.7 × 10¥7
Jkt 223031
known to be present.
Only alpha emitting radionuclides are known to 2 × 10¥1 5.4 × 100 9 × 10¥5 2.4 × 10¥3 1 × 10¥1 2.7 × 10¥12 1 × 103 2.7 × 10¥8
be present.
No relevant data are available ............................ 1× 10¥3 2.7 × 10¥2 9× 10¥5 2.4 × 10¥3 1× 10¥1 2.7 × 10¥12 1× 103 2.7 × 10¥8
PO 00000
Frm 00391
Nuclear Regulatory Commission
Fmt 8010
381
Sfmt 8002
Y:\SGML\223031.XXX
223031
Pt. 71, App. A
TABLE A–4—ACTIVITY-MASS RELATIONSHIPS 72.30 Financial assurance and recordkeeping

FOR URANIUM for decommissioning.
72.32 Emergency Plan.
Uranium Enrichment 1 wt % Specific Activity 72.34 Environmental report.
U–235 present TBq/g Ci/g
Subpart C—Issuance and Conditions of
0.45 .................................... 1.8 × 10¥8 5.0 × 10¥7 License
0.72 .................................... 2.6 × 10¥8 7.1 × 10¥7
1 ......................................... 2.8 × 10¥8 7.6 × 10¥7 72.40 Issuance of license.
1.5 ...................................... 3.7 × 10¥8 1.0 × 10¥6 72.42 Duration of license; renewal.
5 ......................................... 1.0 × 10¥7 2.7 × 10¥6
10 ....................................... 1.8 × 10¥7 4.8 × 10¥6 72.44 License conditions.
20 ....................................... 3.7 × 10¥7 1.0 × 10¥5 72.46 Public hearings.
35 ....................................... 7.4 × 10¥7 2.0 × 10¥5 72.48 Changes, tests, and experiments.
50 ....................................... 9.3 × 10¥7 2.5 × 10¥5 72.50 Transfer of license.
90 ....................................... 2.2 × 10¥6 5.8 × 10¥5 72.52 Creditor regulations.
93 ....................................... 2.6 × 10¥6 7.0 × 10¥5
95 ....................................... 3.4 × 10¥6 9.1 × 10¥5 72.54 Expiration and termination of licenses
and decommissioning of sites and sepa-
1 The figures for uranium include representative values for
rate buildings or outdoor areas.
the activity of the uranium-234 that is concentrated during the
enrichment process. 72.56 Application for amendment of license.
72.58 Issuance of amendment.
[69 FR 3800, Jan. 26, 2004; 69 FR 58039, Sept. 72.60 Modification, revocation, and suspen-
29, 2004] sion of license.
72.62 Backfitting.
PART 72—LICENSING REQUIRE- Subpart D—Records, Reports, Inspections,
MENTS FOR THE INDEPENDENT and Enforcement
STORAGE OF SPENT NUCLEAR
FUEL, HIGH-LEVEL RADIOACTIVE 72.70 Safety analysis report updating.
72.72 Material balance, inventory, and
WASTE, AND REACTOR-RELATED records requirements for stored mate-
GREATER THAN CLASS C WASTE rials.
72.74 Reports of accidental criticality or
Subpart A—General Provisions loss of special nuclear material.
72.75 Reporting requirements for specific
Sec. events and conditions.
72.1 Purpose. 72.76 Material status reports.
72.2 Scope. 72.78 Nuclear material transaction reports.
72.3 Definitions. 72.79 Facility information and verification.
72.4 Communications.
72.80 Other records and reports.
72.82 Inspections and tests.
72.6 License required; types of licenses.
72.7 Specific exemptions. 72.84 Violations.
72.8 Denial of licensing by Agreement 72.86 Criminal penalties.
States.
72.9 Information collection requirements: Subpart E—Siting Evaluation Factors
OMB approval.
72.92 Design basis external natural events.
72.11 Completeness and accuracy of infor-
72.94 Design basis external man-induced
mation.
72.12 Deliberate misconduct. events.
72.13 Applicability. 72.96 Siting limitations.
72.98 Identifying regions around an ISFSI or
Subpart B—License Application, Form, and MRS site.
72.100 Defining potential effects of the
Contents
ISFSI or MRS on the region.
72.16 Filing of application for specific li- 72.102 Geological and seismological charac-
cense. teristics for applications before October
72.18 Elimination of repetition. 16, 2003 and applications for other than
72.20 Public inspection of application. dry cask modes of storage.
72.22 Contents of application: General and 72.103 Geological and seismological charac-
financial information. teristics for applications for dry cask
72.24 Contents of application: Technical in- modes of storage on or after October 16,
formation. 2003.
72.26 Contents of application: Technical 72.104 Criteria for radioactive materials in

specifications. effluents and direct radiation from an
72.28 Contents of application: Applicant’s ISFSI or MRS.
technical qualifications. 72.106 Controlled area of an ISFSI or MRS.
382
72.108 Spent fuel, high-level radioactive Subpart K—General License for Storage of
waste, or reactor-related greater than Spent Fuel at Power Reactor Sites
Class C waste transportation.
72.210 General license issued.
Subpart F—General Design Criteria 72.212 Conditions of general license issued
under § 72.210.
72.214 List of approved spent fuel storage
72.122 Overall requirements.
casks.
72.124 Criteria for nuclear criticality safety.
72.126 Criteria for radiological protection. 72.216 [Reserved]
72.128 Criteria for spent fuel, high-level ra- 72.218 Termination of licenses.
dioactive waste, reactor-related greater 72.220 Violations.
than Class C waste, and other radioactive
waste storage and handling. Subpart L—Approval of Spent Fuel Storage
72.130 Criteria for decommissioning. Casks
Subpart G—Quality Assurance 72.230 Procedures for spent fuel storage

cask submittals.
72.140 Quality assurance requirements. 72.232 Inspection and tests.
72.142 Quality assurance organization. 72.234 Conditions of approval.
72.144 Quality assurance program. 72.236 Specific requirements for spent fuel
72.146 Design control. storage cask approval and fabrication.
72.148 Procurement document control. 72.238 Issuance of an NRC Certificate of
72.150 Instructions, procedures, and draw- Compliance.
ings. 72.240 Conditions for spent fuel storage cask
72.152 Document control. reapproval.
72.154 Control of purchased material, equip- 72.242 Recordkeeping and reports.
ment, and services. 72.244 Application for amendment of a cer-
72.156 Identification and control of mate- tificate of compliance.
rials, parts, and components.
72.246 Issuance of amendment to a certifi-
72.158 Control of special processes.
cate of compliance.
72.160 Licensee and certificate holder in-
72.248 Safety analysis report updating.
spection.
72.162 Test control. AUTHORITY: Secs. 51, 53, 57, 62, 63, 65, 69, 81,
72.164 Control of measuring and test equip- 161, 182, 183, 184, 186, 187, 189, 68 Stat. 929, 930,
ment. 932, 933, 934, 935, 948, 953, 954, 955, as amended,
72.166 Handling, storage, and shipping con- sec. 234, 83 Stat. 444, as amended (42 U.S.C.
trol. 2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201,
72.168 Inspection, test, and operating status. 2232, 2233, 2234, 2236, 2237, 2238, 2282); sec. 274,
72.170 Nonconforming materials, parts, or Pub. L. 86–373, 73 Stat. 688, as amended (42
components. U.S.C. 2021); sec. 201, as amended, 202, 206, 88
72.172 Corrective action. Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
72.174 Quality assurance records. 5841, 5842, 5846); Pub. L. 95–601, sec. 10, 92
72.176 Audits. Stat. 2951 as amended by Pub. L. 102–486, sec.
7902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 102,
Subpart H—Physical Protection Pub. L. 91–190, 83 Stat. 853 (42 U.S.C. 4332);
secs. 131, 132, 133, 135, 137, 141, Pub. L. 97–425,
72.180 Physical protection plan.
96 Stat. 2229, 2230, 2232, 2241, sec. 148, Pub. L.
72.182 Design for physical protection.
100–203, 101 Stat. 1330–235 (42 U.S.C. 10151,
72.184 Safeguards contingency plan.
10152, 10153, 10155, 10157, 10161, 10168); sec. 1704,
72.186 Change to physical security and safe-
112 Stat. 2750 (44 U.S.C. 3504 note); Energy
guards contingency plans.
Policy Act of 2005, Pub. L. No. 109–58, 119
Stat. 549 (2005).
Subpart I—Training and Certification of
Section 72.44(g) also issued under secs.
Personnel 142(b) and 148(c), (d), Pub. L. 100–203, 101 Stat.
72.190 Operator requirements. 1330–232, 1330–236 (42 U.S.C. 10162(b), 10168(c),
72.192 Operator training and certification (d)).
program. Section 72.46 also issued under sec. 189, 68
72.194 Physical requirements. Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L. 97–
425, 96 Stat. 2230 (42 U.S.C. 10154).
Subpart J—Provision of MRS Information to Section 72.96(d) also issued under sec.
State Governments and Indian Tribes 145(g), Pub. L. 100–203, 101 Stat. 1330–235 (42
U.S.C. 10165(g)).
72.200 Provision of MRS information. Subpart J also issued under secs. 2(2), 2(15),
72.202 Participation in license reviews. 2(19), 117(a), 141(h), Pub. L. 97–425, 96 Stat.
72.204 Notice to States. 2202, 2203, 2204, 2222, 2224 (42 U.S.C. 10101,
72.206 Representation. 10137(a), 10161(h)).
383
§ 72.1 10 CFR Ch. I (1–1–11 Edition)
Subparts K and L are also issued under sec. (2) Power reactor spent fuel to be
133, 98 Stat. 2230 (42 U.S.C. 10153) and sec. stored in a monitored retrievable stor-
218(a), 96 Stat. 2252 (42 U.S.C. 10198). age installation (MRS) owned by DOE
SOURCE: 53 FR 31658, Aug. 19, 1988, unless that is designed and constructed spe-
otherwise noted. cifically for the storage of spent fuel
aged for at least one year, high-level
Subpart A—General Provisions radioactive waste that is in a solid
form, other radioactive materials asso-
§ 72.1 Purpose. ciated with storage of these materials,
The regulations in this part establish and power reactor-related GTCC waste
requirements, procedures, and criteria that is in a solid form.
for the issuance of licenses to receive, (b) The regulations in this part per-
transfer, and possess power reactor taining to an independent spent fuel
spent fuel, power reactor-related storage installation (ISFSI) and a
Greater than Class C (GTCC) waste, spent fuel storage cask apply to all per-
and other radioactive materials associ- sons in the United States, including
ated with spent fuel storage in an inde- persons in Agreement States. The regu-
pendent spent fuel storage installation lations in this part pertaining to a
(ISFSI) and the terms and conditions monitored retrievable storage installa-
under which the Commission will issue tion (MRS) apply only to DOE.
these licenses. The regulations in this (c) The requirements of this regula-
part also establish requirements, pro- tion are applicable, as appropriate, to
cedures, and criteria for the issuance of both wet and dry modes of storage of—
licenses to the Department of Energy (1) Spent fuel and solid reactor-re-
(DOE) to receive, transfer, package, lated GTCC waste in an independent
and possess power reactor spent fuel, spent fuel storage installation (ISFSI);
high-level radioactive waste, power re- and
actor-related GTCC waste, and other (2) Spent fuel, solid high-level radio-
radioactive materials associated with active waste, and solid reactor-related
the storage of these materials in a GTCC waste in a monitored retrievable
monitored retrievable storage installa- storage installation (MRS).
(d) Licenses covering the storage of
tion (MRS). The term Monitored Re-
spent fuel in an existing spent fuel
trievable Storage Installation or MRS,
storage installation shall be issued in
as defined in § 72.3, is derived from the
accordance with the requirements of
Nuclear Waste Policy Act (NWPA) and
this part as stated in § 72.40, as applica-
includes any installation that meets
ble.
this definition. The regulations in this
(e) This part also gives notice to all
part also establish requirements, pro-
persons who knowingly provide to any
cedures, and criteria for the issuance of
licensee, certificate holder, applicant
Certificates of Compliance approving
for a license or certificate, contractor,
spent fuel storage cask designs.
or subcontractor, components, equip-
[66 FR 51838, Oct. 11, 2001] ment, materials, or other goods or
services, that relate to a licensee’s,
§ 72.2 Scope. certificate holder’s, or applicant’s ac-
(a) Except as provided in § 72.6(b), li- tivities subject to this part, that they
censes issued under this part are lim- may be individually subject to NRC en-
ited to the receipt, transfer, packaging, forcement action for violation of § 72.12.
and possession of: (f) Certificates of Compliance approv-
(1) Power reactor spent fuel to be ing spent fuel storage cask designs
stored in a complex that is designed shall be issued in accordance with the
and constructed specifically for storage requirements of subpart L of this part.
of power reactor spent fuel aged for at [53 FR 31658, Aug. 19, 1988, as amended at 56
least one year, other radioactive mate- FR 40692, Aug. 15, 1991; 63 FR 1900, Jan. 13,
rials associated with spent fuel stor- 1998; 64 FR 33183, June 22, 1999; 64 FR 56121,
age, and power reactor-related GTCC Oct. 15, 1999; 66 FR 51838, Oct. 11, 2001]
waste in a solid form in an independent

spent fuel storage installation (ISFSI); § 72.3 Definitions.
or As used in this part:
384
Act means the Atomic Energy Act of (3) Any discrete source of naturally
1954 (68 Stat. 919) including any amend- occurring radioactive material, other
ments thereto. than source material, that—
Affected Indian tribe means any In- (i) The Commission, in consultation
dian tribe— with the Administrator of the Environ-
(1) Within whose reservation bound- mental Protection Agency, the Sec-
aries a monitored retrievable storage retary of Energy, the Secretary of
facility is proposed to be located; Homeland Security, and the head of
(2) Whose federally defined any other appropriate Federal agency,
possessory or usage rights to other determines would pose a threat similar
lands outside of the reservation’s to the threat posed by a discrete source
boundaries arising out of congression- of radium-226 to the public health and
ally ratified treaties may be substan- safety or the common defense and secu-
tially and adversely affected by the lo- rity; and
cating of such a facility: Provided, That (ii) Before, on, or after August 8, 2005,
the Secretary of the Interior finds, is extracted or converted after extrac-
upon the petition of the appropriate tion for use in a commercial, medical,
governmental officials of the tribe, or research activity.
that such effects are both substantial Certificate holder means a person who
and adverse to the tribe. has been issued a Certificate of Compli-
Affected unit of local government ance by the Commission for a spent
means any unit of local government fuel storage cask design.
with jurisdiction over the site where an Certificate of Compliance or CoC means
MRS is proposed to be located. the certificate issued by the Commis-
As low as is reasonably achievable sion that approves the design of a spent
(ALARA) means as low as is reasonably fuel storage cask in accordance with
achievable taking into account the the provisions of subpart L of this part.
state of technology, and the economics
Commencement of construction means
of improvement in relation to—
any clearing of land, excavation, or
(1) Benefits to the public health and
other substantial action that would ad-
safety,
versely affect the natural environment
(2) Other societal and socioeconomic
of a site, but does not mean:
considerations, and
(3) The utilization of atomic energy (1) Changes desirable for the tem-
in the public interest. porary use of the land for public rec-
Atomic energy means all forms of en- reational uses, necessary borings or ex-
ergy released in the course of nuclear cavations to determine subsurface ma-
terials and foundation conditions, or
fission or nuclear transformation.
other preconstruction monitoring to
Byproduct material means—
establish background information re-
(1) Any radioactive material (except
lated to the suitability of the site or to
special nuclear material) yielded in, or
the protection of environmental val-
made radioactive by, exposure to the
ues;
radiation incident to the process of
producing or using special nuclear ma- (2) Construction of environmental
terial; monitoring facilities;
(2)(i) Any discrete source of radium- (3) Procurement or manufacture of
226 that is produced, extracted, or con- components of the installation; or
verted after extraction, before, on, or (4) Construction of means of access to
after August 8, 2005, for use for a com- the site as may be necessary to accom-
mercial, medical, or research activity; plish the objectives of paragraphs (1)
or and (2) of this definition.
(ii) Any material that— Commission means the Nuclear Regu-
(A) Has been made radioactive by use latory Commission or its duly author-
of a particle accelerator; and ized representatives.
(B) Is produced, extracted, or con- Confinement systems means those sys-
verted after extraction, before, on, or tems, including ventilation, that act as
after August 8, 2005, for use for a com- barriers between areas containing ra-
mercial, medical, or research activity; dioactive substances and the environ-
and ment.
385
§ 72.3 10 CFR Ch. I (1–1–11 Edition)
Controlled area means that area im- DOE means the U.S. Department of
mediately surrounding an ISFSI or Energy or its duly authorized rep-
MRS for which the licensee exercises resentatives.
authority over its use and within which Floodplain means the lowland and rel-
ISFSI or MRS operations are per- atively flat areas adjoining inland and
formed. coastal waters including floodprone
Decommission means to remove a fa- areas of offshore islands. Areas subject
cility or site safely from service and to a one percent or greater chance of
reduce residual radioactivity to a level flooding in any given year are included.
that permits— Greater than Class C waste or GTCC
(1) Release of the property for unre- waste means low-level radioactive
stricted use and termination of the li- waste that exceeds the concentration
cense; or limits of radionuclides established for
(2) Release of the property under re- Class C waste in § 61.55 of this chapter.
stricted conditions and termination of High-level radioactive waste or HLW
the license. means (1) the highly radioacive mate-
Design bases means that information rial resulting from the reprocessing of
that identifies the specific functions to spent nuclear fuel, including liquid
be performed by a structure, system, or waste produced directly in reprocessing
component of a facility or of a spent and any solid material derived from
fuel storage cask and the specific val- such liquid waste that contains fission
ues or ranges of values chosen for con- products in sufficient concentrations;
trolling parameters as reference and (2) other highly radioactive mate-
bounds for design. These values may be rial that the Commission, consistent
restraints derived from generally ac- with existing law, determines by rule
cepted state-of-the-art practices for requires permanent isolation.
achieving functional goals or require- Historical data means a compilation
ments derived from analysis (based on of the available published and unpub-
calculation or experiments) of the ef- lished information concerning a par-
fects of a postulated event under which ticular type of event.
a structure, system, or component Independent spent fuel storage installa-
must meet its functional goals. The tion or ISFSI means a complex designed
values for controlling parameters for and constructed for the interim storage
external events include— of spent nuclear fuel, solid reactor-re-
(1) Estimates of severe natural events lated GTCC waste, and other radio-
to be used for deriving design bases active materials associated with spent
that will be based on consideration of fuel and reactor-related GTCC waste
historical data on the associated pa- storage. An ISFSI which is located on
rameters, physical data, or analysis of the site of another facility licensed
upper limits of the physical processes
under this part or a facility licensed
involved; and
under part 50 of this chapter and which
(2) Estimates of severe external man- shares common utilities and services
induced events to be used for deriving
with that facility or is physically con-
design bases that will be based on anal-
nected with that other facility may
ysis of human activity in the region,
still be considered independent.
taking into account the site character-
Indian Tribe means an Indian tribe as
istics and the risks associated with the
event. defined in the Indian Self Determina-
tion and Education Assistance Act
Design capacity means the quantity of
(Pub. L. 93–638).
spent fuel, high-level radioactive
waste, or reactor-related GTCC waste, Monitored Retrievable Storage Installa-
the maximum burn up of the spent fuel tion or MRS means a complex designed,
in MWD/MTU, the terabequerel (curie) constructed, and operated by DOE for
content of the waste, and the total the receipt, transfer, handling, pack-
heat generation in Watts (btu/hour) aging, possession, safeguarding, and

that the storage installation is de- storage of spent nuclear fuel aged for
signed to accommodate. at least one year, solidified high-level
386
radioactive waste resulting from civil- cluding those listed for foreign obli-
ian nuclear activities, and solid reac- gated materials.
tor-related GTCC waste, pending ship- Region means the geographical area
ment to a HLW repository or other dis- surrounding and including the site,
posal. which is large enough to contain all
NEPA means the National Environ- the features related to a phenomenon
mental Policy Act of 1969 including any or to a particular event that could po-
amendments thereto. tentially impact the safe or environ-
NWPA means the Nuclear Waste Pol- mentally sound construction, oper-
icy Act of 1982 including any amend- ation, or decommissioning of an inde-
ments thereto. pendent spent fuel storage or mon-
Person means— itored retrievable storage installation.
(1) Any individual, corporation, part- Reservation means—
nership, firm, association, trust, es- (1) Any Indian reservation or depend-
tate, public or private institution, ent Indian community referred to in
group, Government agency other than clause (a) or (b) of section 1151 of title
the Commission or the Department of 18, United States Code; or
Energy (DOE), except that the DOE (2) Any land selected by an Alaska
shall be considered a person within the Native village or regional corporation
meaning of the regulations in this part under the provisions of the Alaska Na-
to the extent that its facilities and active Claims Settlement Act (43 U.S.C.
tivities are subject to the licensing and 1601 et seq.).
related regulatory authority of the Site means the real property on which
Commission pursuant to section 202 of the ISFSI or MRS is located.
the Energy Reorganization Act of 1974, Source material means—
as amended (88 Stat. 1244), and Sections (1) Uranium or thorium, or any com-
131, 132, 133, 135, 137, and 141 of the Nu- bination thereof, in any physical or
clear Waste Policy Act of 1982 (96 Stat. chemical form or
2229, 2230, 2232, 2241); (2) Ores that contain by weight one-
(2) Any State, any political subdivi- twentieth of one percent (0.05%) or
sion of a State, or any political entity more of:
within a State; (i) Uranium,
(3) Any foreign government or na- (ii) Thorium, or
tion, or any political subdivision of any (iii) Any combination thereof.
such government or nation, or other Source material does not include spe-
entity; and cial nuclear material.
(4) Any legal successor, representa- Special nuclear material means—
tive, agent, or agency of the foregoing. (1) Plutonium, uranium-233, uranium
Population means the people that enriched in the isotope 233 or in the
may be affected by the change in envi- isotope 235, and any other material
ronmental conditions due to the con- which the Commission, pursuant to the
struction, operation, or decommis- provisions of section 51 of the Act, de-
sioning of an ISFSI or MRS. termines to be special nuclear mate-
Principal activities, as used in this rial, but does not include source mate-
part, means activities authorized by rial; or
the license which are essential to (2) Any material artificially enriched
achieving the purpose(s) for which the by any of the foregoing but does not in-
license was issued or amended, exclud- clude source material.
ing activities incidental to decon- Spent fuel storage cask or cask means
tamination or decommissioning. all the components and systems associ-
Reconciliation means the process of ated with the container in which spent
evaluating and comparing licensee re- fuel or other radioactive materials as-
ports required under this part to the sociated with spent fuel are stored in
projected material balances generated an ISFSI.
by the Nuclear Materials Management Spent nuclear fuel or Spent fuel means
and Safeguards System. This process is fuel that has been withdrawn from a
considered complete when the licensee nuclear reactor following irradiation,

resolves any differences between the has undergone at least one year’s decay
reported and projected balances, in- since being used as a source of energy
387
§ 72.4 10 CFR Ch. I (1–1–11 Edition)
in a power reactor, and has not been www.nrc.gov/site-help/e-submittals.html;

chemically separated into its con- by e-mail to MSHD.Resource@nrc.gov;
stituent elements by reprocessing. or by writing the Office of Information
Spent fuel includes the special nuclear Services, U.S. Nuclear Regulatory
material, byproduct material, source Commission, Washington, DC 20555–
material, and other radioactive mate- 0001. The guidance discusses, among
rials associated with fuel assemblies. other topics, the formats the NRC can
Structures, systems, and components im- accept, the use of electronic signa-
portant to safety means those features tures, and the treatment of nonpublic
of the ISFSI, MRS, and spent fuel stor- information. If the submission deadline
age cask whose functions are— date falls on a Saturday, or Sunday, or
(1) To maintain the conditions re- a Federal holiday, the next Federal
quired to store spent fuel, high-level working day becomes the official due
radioactive waste, or reactor-related date.
GTCC waste safely; [68 FR 58818, Oct. 10, 2003, as amended at 74
(2) To prevent damage to the spent FR 62684, Dec. 1, 2009; 75 FR 73945, Nov. 30,
fuel, the high-level radioactive waste, 2010]
or reactor-related GTCC waste con-
tainer during handling and storage; or § 72.5 Interpretations.
(3) To provide reasonable assurance Except as specifically authorized by
that spent fuel, high-level radioactive the Commission in writing, no inter-
waste, or reactor-related GTCC waste pretation of the meaning of the regula-
can be received, handled, packaged, tions in this part by an officer or em-
stored, and retrieved without undue ployee of the Commission, other than a
risk to the health and safety of the written interpretation by the General
public. Counsel, will be recognized to be bind-
[53 FR 31658, Aug. 19, 1988, as amended at 59 ing upon the Commission.
FR 36038, July 15, 1994; 62 FR 39092, July 21,
1997; 64 FR 53614, Oct. 4, 1999; 64 FR 56121, § 72.6 License required; types of li-
Oct. 15, 1999; 66 FR 51839, Oct. 11, 2001; 72 FR censes.
55933, Oct. 1, 2007; 73 FR 32462, June 9, 2008] (a) Licenses for the receipt, handling,
storage, and transfer of spent fuel or
§ 72.4 Communications. high-level radioactive waste are of two
Except where otherwise specified, all types: general and specific. Licenses
communications and reports con- for the receipt, handling, storage, and
cerning the regulations in this part and transfer of reactor-related GTCC are
applications filed under them should be specific licenses. Any general license
sent by mail addressed: ATTN: Docu- provided in this part is effective with-
ment Control Desk, Director, Division out the filing of an application with
of Spent Fuel Storage and Transpor- the Commission or the issuance of a li-
tation, Office of Nuclear Material Safe- censing document to a particular per-
ty and Safeguards, U.S. Nuclear Regu- son. A specific license is issued to a
latory Commission, Washington, DC named person upon application filed
20555–0001; by hand delivery to the pursuant to regulations in this part.
NRC’s offices at One White Flint (b) A general license is hereby issued
North, 11555 Rockville Pike, Rockville, to receive title to and own spent fuel,
Maryland between 7:30 a.m. and 4:15 high-level radioactive waste, or reac-
p.m. eastern time; or, where prac- tor-related GTCC waste without regard
ticable, by electronic submission, for to quantity. Notwithstanding any
example, via Electronic Information other provision of this chapter, a gen-
Exchange, or CD-ROM. Electronic sub- eral licensee under this paragraph is
missions must be made in a manner not authorized to acquire, deliver, re-
that enables the NRC to receive, read, ceive, possess, use, or transfer spent
authenticate, distribute, and archive fuel, high-level radioactive waste, or
the submission, and process and re- reactor-related GTCC waste except as
trieve it a single page at a time. De- authorized in a specific license.
tailed guidance on making electronic (c) Except as authorized in a specific

submissions can be obtained by visiting license and in a general license under
the NRC’s Web site at http:// subpart K of this part issued by the
388
Commission in accordance with the AP–1, AP–A, and associated forms are
regulations in this part, no person may approved under control number 0694–
acquire, receive, or possess— 0135.
(1) Spent fuel for the purpose of stor- [64 FR 56122, Oct. 15, 1999, as amended at 67
age in an ISFSI; or FR 67101, Nov. 4, 2002; 68 FR 54149, Sept. 16,
(2) Spent fuel, high-level radioactive 2003; 73 FR 78607, Dec. 23, 2008]
waste, or radioactive material associ-
ated with high-level radioactive waste § 72.10 Employee protection.
for the purpose of storage in an MRS. (a) Discrimination by a Commission
[66 FR 51839, Oct. 11, 2001] licensee, certificate holder, an appli-
cant for a Commission license or a CoC,
§ 72.7 Specific exemptions. or a contractor or subcontractor of any
The Commission may, upon applica- of these, against an employee for en-
tion by any interested person or upon gaging in certain protected activities,
its own initiative, grant such exemp- is prohibited. Discrimination includes
tions from the requirements of the reg- discharge and other actions that relate
ulations in this part as it determines to compensation, terms, conditions, or
are authorized by law and will not en- privileges of employment. The pro-
danger life or property or the common tected activities are established in sec-
defense and security and are otherwise tion 211 of the Energy Reorganization
in the public interest. Act of 1974, as amended, and in general
are related to the administration or en-
§ 72.8 Denial of licensing by Agree- forcement of a requirement imposed
ment States. under the Atomic Energy Act or the
Agreement States may not issue li- Energy Reorganization Act.
censes covering the storage of spent (1) The protected activities include
fuel and reactor-related GTCC waste in but are not limited to:
an ISFSI or the storage of spent fuel, (i) Providing the Commission or his
high-level radioactive waste, and reac- or her employer information about al-
tor-related GTCC waste in an MRS. leged violations of either of the stat-
utes named in paragraph (a) introduc-
[66 FR 51839, Oct. 11, 2001] tory text of this section or possible vio-
lations of requirements imposed under
§ 72.9 Information collection require- either of those statutes;
ments: OMB approval.
(ii) Refusing to engage in any prac-
(a) The Nuclear Regulatory Commis- tice made unlawful under either of the
sion has submitted the information statutes named in paragraph (a) intro-
collection requirements contained in ductory text or under these require-
this part to the Office of Management ments if the employee has identified
and Budget (OMB) for approval as re- the alleged illegality to the employer;
quired by the Paperwork Reduction (iii) Requesting the Commission to
Act of 1995 (44 U.S.C. 3501 et seq.). OMB institute action against his or her em-
has approved the information collec- ployer for the administration or en-
tion requirements contained in this forcement of these requirements;
part under control number 3150–0132. (iv) Testifying in any Commission
(b) The approved information collec- proceeding, or before Congress, or at
tion requirements contained in this any Federal or State proceeding re-
part appear in §§ 72.7, 72.11, 72.16, 72.22 garding any provision (or proposed pro-
through 72.34, 72.42, 72.44, 72.48 through vision) of either of the statutes named
72.56, 72.62, 72.70, through 72.82, 72.90, in paragraph (a) introductory text.
72.92, 72.94, 72.98, 72.100, 72.102, 72.103, (v) Assisting or participating in, or is
72.104, 72.108, 72.120, 72.126, 72.140 about to assist or participate in, these
through 72.176, 72.180 through 72.186, activities.
72.192, 72.206, 72.212, 72.216, 72.218, 72.230, (2) These activities are protected
72.232, 72.234, 72.236, 72.240, 72.242, 72.244, even if no formal proceeding is actu-
72.248. ally initiated as a result of the em-
(c) In § 72.79, Form N–71 and associ- ployee assistance or participation.

ated forms are approved under control (3) This section has no application to
number 3150–0056, and DOC/NRC Forms any employee alleging discrimination
389
§ 72.11 10 CFR Ch. I (1–1–11 Edition)
prohibited by this section who, acting section to observe a copy on the way to
without direction from his or her em- or from their place of work. The prem-
ployer (or the employer’s agent), delib- ises must be posted not later than 30
erately causes a violation of any re- days after an application is docketed
quirement of the Energy Reorganiza- and remain posted while the applica-
tion Act of 1974, as amended, or the tion is pending before the Commission,
Atomic Energy Act of 1954, as amend- during the term of the license or CoC,
ed. and for 30 days following license or CoC
(b) Any employee who believes that termination.
he or she has been discharged or other- (2) Copies of NRC Form 3 may be ob-
wise discriminated against by any per- tained by writing to the Regional Ad-
son for engaging in protected activities ministrator of the appropriate U.S. Nu-
specified in paragraph (a)(1) of this sec- clear Regulatory Commission Regional
tion may seek a remedy for the dis- Office listed in appendix D to part 20 of
charge or discrimination through an this chapter, by calling (301) 415–7232,
administrative proceeding in the De- via e-mail to FORMS.Resource@nrc.gov,
partment of Labor. The administrative or by visiting the NRC’s Web site at
proceeding must be initiated within 180 http://www.nrc.gov and selecting forms
days after an alleged violation occurs. from the index found on the home page.
The employee may do this by filing a (f) No agreement affecting the com-
complaint alleging the violation with pensation, terms, conditions, or privi-
the Department of Labor, Employment leges of employment, including an
Standards Administration, Wage and agreement to settle a complaint filed
Hour Division. The Department of by an employee with the Department
Labor may order reinstatement, back of Labor pursuant to section 211 of the
pay, and compensatory damages. Energy Reorganization Act of 1974, as
(c) A violation of paragraph (a), (e), amended, may contain any provision
or (f) of this section by a Commission
which would prohibit, restrict, or oth-
licensee, certificate holder, applicant
for a Commission license or a CoC, or a
participating in protected activity as
contractor or subcontractor of any of
these may be grounds for:
tion including, but not limited to, pro-
viding information to the NRC or to
of the license or the CoC.
his or her employer on potential viola-
tions or other matters within NRC’s
the licensee, applicant, or a contractor
regulatory responsibilities.
or subcontractor of the licensee or ap-
plicant. [58 FR 52414, Oct. 8, 1993, as amended at 60 FR
(3) Other enforcement action. 24552, May 9, 1995; 61 FR 6766, Feb. 22, 1996; 64
(d) Actions taken by an employer, or FR 56122, Oct. 15, 1999; 68 FR 58819, Oct. 10,
others, which adversely affect an em- 2003; 72 FR 63975, Nov. 14, 2007; 73 FR 30460,
ployee may be predicated upon non- May 28, 2008]
discriminatory grounds. The prohibi-
tion applies when the adverse action information.
occurs because the employee has en-
gaged in protected activities. An em- (a) Information provided to the Com-
ployee’s engagement in protected ac- mission by a licensee, certificate hold-
tivities does not automatically render er, or an applicant for a license or CoC;
him or her immune from discharge or or information required by statute or
discipline for legitimate reasons or by the Commission’s regulations, or-
from adverse action dictated by non- ders, license or CoC conditions, to be
prohibited considerations. maintained by the licensee or certifi-
(e)(1) Each licensee, certificate hold- cate holder, must be complete and ac-
er, and applicant for a license or CoC curate in all material respects.
must prominently post the revision of (b) Each licensee, certificate holder,
NRC Form 3, ‘‘Notice to Employees,’’ or applicant for a license or CoC must
referenced in 10 CFR 19.11(c). This form notify the Commission of information

must be posted at locations sufficient identified by the licensee, certificate
to permit employees protected by this holder, or applicant for a license or
390
CoC as having, for the regulated activ- (b) A person who violates paragraph
ity, a significant implication for public (a)(1) or (a)(2) of this section may be
health and safety or common defense subject to enforcement action in ac-
and security. A licensee, certificate cordance with the procedures in 10 CFR
holder, or an applicant for a license or part 2, subpart B.
CoC violates this paragraph only if the (c) For the purposes of paragraph
licensee, certificate holder, or appli- (a)(1) of this section, deliberate mis-
cant for a license or CoC fails to notify conduct by a person means an inten-
the Commission of information that tional act or omission that the person
the licensee, certificate holder, or ap- knows:
plicant for a license or CoC has identi- (1) Would cause a licensee, certificate
fied as having a significant implication holder or applicant for a license or cer-
for public health and safety or common tificate to be in violation of any rule,
defense and security. Notification must regulation, or order; or any term, con-
be provided to the Administrator of the dition, or limitation, of any license or
appropriate Regional Office within two certificate issued by the Commission;
working days of identifying the infor- or
mation. This requirement is not appli- (2) Constitutes a violation of a re-
cable to information which is already quirement, procedure, instruction, con-
required to be provided to the Commis- tract, purchase order, or policy of a li-
sion by other reporting or updating re- censee, certificate holder, applicant,
quirements. contractor, or subcontractor.
[64 FR 56122, Oct. 15, 1999] [63 FR 1900, Jan. 13, 1998]
§ 72.12 Deliberate misconduct. § 72.13 Applicability.
(a) Any licensee, certificate holder, (a) This section identifies those sec-
applicant for a license or certificate, tions, under this part, that apply to the
employee of a licensee, certificate activities associated with a specific li-
holder, or applicant for a license or cense, a general license, or a certificate
certificate; or any contractor (includ- of compliance.
ing a supplier or consultant) or subcon- (b) The following sections apply to
tractor, employee of a contractor or activities associated with a specific li-
subcontractor of any licensee, certifi- cense: §§ 72.1; 72.2(a) through (e); 72.3
cate holder, or applicant for a license through 72.13(b); 72.16 through 72.34;
or certificate who knowingly provides 72.40 through 72.62; 72.70 through 72.86;
to any licensee, certificate holder, ap- 72.90 through 72.108; 72.120 through
plicant for a license or certificate, con- 72.130; 72.140 through 72.176; 72.180
tractor, or subcontractor, any compo- through 72.186; 72.190 through 72.194;
nents, materials, or other goods or
and 72.200 through 72.206.
services that relate to a licensee’s, cer-
(c) The following sections apply to
tificate holder’s, or applicant’s activi-
activities associated with a general li-
ties subject to this part, may not:
cense: §§ 72.1; 72.2(a)(1), (b), (c), and (e);
(1) Engage in deliberate misconduct
72.3 through 72.6(c)(1); 72.7 through
that causes or would have caused, if
72.13(a) and (c); 72.30(c) and (d); 72.32(c)
not detected, a licensee, certificate
and (d); 72.44(b) and (f); 72.48; 72.50(a);
holder or applicant to be in violation of
72.52(a), (b), (d), and (e); 72.60; 72.62;
any rule, regulation, or order; or any
72.72 through 72.80(f); 72.82 through
term, condition, or limitation of any li-
72.86; 72.104; 72.106; 72.122; 72.124; 72.126;
cense or certificate issued by the Com-
72.140 through 72.176; 72.190; 72.194;
mission; or
(2) Deliberately submit to the NRC, a 72.210 through 72.220, and 72.240(a).
licensee, a certificate holder, an appli- (d) The following sections apply to
cant for a license or certificate, or a li- activities associated with a certificate
censee’s, applicant’s, or certificate of compliance: §§ 72.1; 72.2(e) and (f);
holder’s contractor or subcontractor, 72.3; 72.4; 72.5; 72.7; 72.9 through 72.13(a)
information that the person submit- and (d); 72.48; 72.84(a); 72.86; 72.124;
ting the information knows to be in- 72.140 through 72.176; 72.214; and 72.230
complete or inaccurate in some respect through 72.248.
material to the NRC. [65 FR 50616, Aug. 21, 2000]
391
§ 72.16 10 CFR Ch. I (1–1–11 Edition)
Subpart B—License Application, ty and Safeguards, or the Director’s

Form, and Contents designee, in accordance with § 72.200 of
this part, shall send a copy of the no-
§ 72.16 Filing of application for spe- tice of docketing to the Governor and
cific license. legislature of any State in which an
(a) Place of filing. Each application MRS is or may be located, to the Chief
for a license, or amendment thereof, Executive of the local municipality, to
under this part should be filed with the the Governors of any contiguous States
Director of the NRC’s Division of Spent and to the governing body of any af-
Fuel Storage and Transportation, Of- fected Indian tribe.
fice of Nuclear Material Safety and [53 FR 31658, Aug. 19, 1988, as amended at 53
Safeguards in accordance with § 72.4. FR 43421, Oct. 27, 1988; 66 FR 51839, Oct. 11,
(b) Oath or affirmation. Each applica- 2001; 67 FR 3586, Jan. 25, 2002; 68 FR 58819,
tion for a license or license amendment Oct. 10, 2003; 75 FR 73945, Nov. 30, 2010]
(including amendments to such appli-
cations), except for those filed by DOE, § 72.18 Elimination of repetition.
must be executed in an original signed In any application under this part,
by the applicant or duly authorized of- the applicant may incorporate by ref-
ficer thereof under oath or affirmation. erence information contained in pre-
Each application for a license or li- vious applications, statements, or re-
cense amendment (including amend- ports filed with the Commission: Pro-
ments to such applications) filed by vided, That such references are clear
DOE must be signed by the Secretary and specific.
of Energy or the Secretary’s authorized
representative. § 72.20 Public inspection of applica-
(c) Copies of application on paper or tion.
CD-ROM. If the application is on paper, Applications and documents sub-
it must be the signed original. The ap- mitted to the Commission in connec-
plicant shall maintain the capability tion with applications may be made
to generate additional copies for dis- available for public inspection in ac-
tribution in accordance with instruc- cordance with provisions of the regula-
tion from the Director or the Direc- tions contained in parts 2 and 9 of this
tor’s designee. chapter.
(d) Fees. The application, amend-
ment, and renewal fees applicable to a § 72.22 Contents of application: Gen-
license covering an ISFSI are those eral and financial information.
shown in § 170.31 of this chapter. Each application must state:
(e) Notice of docketing. Upon receipt of (a) Full name of applicant;
an application for a license or license (b) Address of applicant;
amendment under this part, the Direc- (c) Description of business or occupa-
tor, Office of Nuclear Material Safety tion of applicant;
and Safeguards or the Director’s des- (d) If applicant is:
ignee will assign a docket number to (1) An individual: Citizenship and
the application, notify the applicant of age;
the docket number, instruct the appli- (2) A partnership: Name, citizenship,
cant to distribute copies retained by and address of each partner and the
the applicant in accordance with para- principal location at which the part-
graph (c) of this section, and cause a nership does business;
notice of docketing to be published in (3) A corporation or an unincor-
the FEDERAL REGISTER. The notice of porated association:
docketing shall identify the site of the (i) The State in which it is incor-
ISFSI or the MRS by locality and porated or organized and the principal
State and may include a notice of hear- location at which it does business; and
ing or a notice of proposed action and (ii) The names, addresses, and citi-
opportunity for hearing as provided by zenship of its directors and principal
§ 72.46 of this part. In the case of an ap- officers;
plication for a license or an amend- (4) Acting as an agent or representa-

ment to a license for an MRS, the Di- tive of another person in filing the ap-
rector, Office of Nuclear Material Safe- plication: The identification of the
392
principal and the information required requirements of § 73.22 or § 73.23, as ap-

under this paragraph with respect to plicable.
such principal. [53 FR 31658, Aug. 19, 1988, as amended at 66
(5) The Department of Energy: FR 51839, Oct. 11, 2001; 73 FR 63573, Oct. 24,
(i) The identification of the DOE or- 2008]
ganization responsible for the con-
struction and operation of the ISFSI or § 72.24 Contents of application: Tech-
nical information.
MRS, including a description of any
delegations of authority and assign- Each application for a license under
ments of responsibilities. this part must include a Safety Anal-
ysis Report describing the proposed
(ii) For each application for a license
ISFSI or MRS for the receipt, han-
for an MRS, the provisions of the pub-
dling, packaging, and storage of spent
lic law authorizing the construction
fuel, high-level radioactive waste, and/
and operation of the MRS. or reactor-related GTCC waste as ap-
(e) Except for DOE, information suf- propriate, including how the ISFSI or
ficient to demonstrate to the Commis- MRS will be operated. The minimum
sion the financial qualifications of the information to be included in this re-
applicant to carry out, in accordance port must consist of the following:
with the regulations in this chapter, (a) A description and safety assess-
the activities for which the license is ment of the site on which the ISFSI or
sought. The information must state MRS is to be located, with appropriate
the place at which the activity is to be attention to the design bases for exter-
performed, the general plan for car- nal events. Such assessment must con-
rying out the activity, and the period tain an analysis and evaluation of the
of time for which the license is re- major structures, systems, and compo-
quested. The information must show nents of the ISFSI or MRS that bear on
that the applicant either possesses the the suitability of the site when the
necessary funds, or that the applicant ISFSI or MRS is operated at its design
has reasonable assurance of obtaining capacity. If the proposed ISFSI or MRS
the necessary; funds or that by a com- is to be located on the site of a nuclear
bination of the two, the applicant will power plant or other licensed facility,
the potential interactions between the
have the necessary funds available to
ISFSI or MRS and such other facility—
cover the following:
including shared common utilities and
(1) Estimated construction costs; services—must be evaluated.
(2) Estimated operating costs over (b) A description and discussion of
the planned life of the ISFSI; and the ISFSI or MRS structures with spe-
(3) Estimated decommissioning costs, cial attention to design and operating
and the necessary financial arrange- characteristics, unusual or novel de-
ments to provide reasonable assurance sign features, and principal safety con-
before licensing, that decommissioning siderations.
will be carried out after the removal of (c) The design of the ISFSI or MRS in
spent fuel, high-level radioactive sufficient detail to support the findings
waste, and/or reactor-related GTCC in § 72.40, including:
waste from storage. (1) The design criteria for the ISFSI
(f) Each applicant for a license under or MRS pursuant to subpart F of this
this part to receive, transfer, and pos- part, with identification and justifica-
sess power reactor spent fuel, power re- tion for any additions to or departures
actor-related Greater than Class C from the general design criteria;
(2) the design bases and the relation
(GTCC) waste, and other radioactive
of the design bases to the design cri-
materials associated with spent fuel
teria;
storage in an independent spent fuel (3) Information relative to materials
storage installation (ISFSI) shall proof construction, general arrangement,
tect Safeguards Information against dimensions of principal structures, and
unauthorized disclosure in accordance descriptions of all structures, systems,

with the requirements in § 73.21 and the and components important to safety,
in sufficient detail to support a finding
393
§ 72.24 10 CFR Ch. I (1–1–11 Edition)
that the ISFSI or MRS will satisfy the will be resolved prior to the initial re-
design bases with an adequate margin ceipt of spent fuel, high-level radio-
for safety; and active waste, and/or reactor-related
(4) Applicable codes and standards. GTCC waste as appropriate for storage
(d) An analysis and evaluation of the at the ISFSI or MRS.
design and performance of structures, (j) The technical qualifications of the
systems, and components important to applicant to engage in the proposed ac-
safety, with the objective of assessing tivities, as required by § 72.28.
the impact on public health and safety (k) A description of the applicant’s
resulting from operation of the ISFSI plans for coping with emergencies, as
or MRS and including determination required by § 72.32.
of: (l) A description of the equipment to
(1) The margins of safety during nor- be installed to maintain control over
mal operations and expected oper- radioactive materials in gaseous and
ational occurrences during the life of liquid effluents produced during nor-
the ISFSI or MRS; and mal operations and expected oper-
(2) The adequacy of structures, sys- ational occurrences. The description
tems, and components provided for the must identify the design objectives and
prevention of accidents and the mitiga- the means to be used for keeping levels
tion of the consequences of accidents, of radioactive material in effluents to
including natural and manmade phe- the environment as low as is reason-
nomena and events. ably achievable and within the expo-
(e) The means for controlling and sure limits stated in § 72.104. The de-
limiting occupational radiation expo- scription must include:
sures within the limits given in part 20 (1) An estimate of the quantity of
of this chapter, and for meeting the ob- each of the principal radionuclides ex-
jective of maintaining exposures as low pected to be released annually to the
as is reasonably achievable. environment in liquid and gaseous
(f) The features of ISFSI or MRS de- effluents produced during normal
sign and operating modes to reduce to ISFSI or MRS operations;
the extent practicable radioactive (2) A description of the equipment
waste volumes generated at the instal- and processes used in radioactive waste
lation. systems; and
(g) An identification and justifica- (3) A general description of the provi-
tion for the selection of those subjects sions for packaging, storage, and dis-
that will be probable license conditions posal of solid wastes containing radio-
and technical specifications. These active materials resulting from treat-
subjects must cover the design, con- ment of gaseous and liquid effluents
struction, preoperational testing, oper- and from other sources.
ation, and decommissioning of the (m) An analysis of the potential dose
ISFSI or MRS. equivalent or committed dose equiva-
(h) A plan for the conduct of oper- lent to an individual outside the con-
ations, including the planned manage- trolled area from accidents or natural
rial and administrative controls sys- phenomena events that result in the
tem, and the applicant’s organization, release of radioactive material to the
and program for training of personnel environment or direct radiation from
pursuant to subpart I. the ISFSI or MRS. The calculations of
(i) If the proposed ISFSI or MRS in- individual dose equivalent or com-
corporates structures, systems, or committed dose equivalent must be per-
ponents important to safety whose formed for direct exposure, inhalation,
functional adequacy or reliability have and ingestion occurring as a result of
not been demonstrated by prior use for the postulated design basis event.
that purpose or cannot be dem- (n) A description of the quality assur-
onstrated by reference to performance ance program that satisfies the re-
data in related applications or to wide- quirements of subpart G to be applied
ly accepted engineering principles, an to the design, fabrication, construc-
identification of these structures, sys- tion, testing, operation, modification,

tems, or components along with a and decommissioning of the structures,
schedule showing how safety questions systems, and components of the ISFSI
394
or MRS important to safety. The de- waste, and/or reactor-related GTCC

scription must identify the structures, waste as appropriate for storage.
systems, and components important to [53 FR 31658, Aug. 19, 1988, as amended at 66
safety. The program must also apply to FR 51840, Oct. 11, 2001]
managerial and administrative con-
trols used to ensure safe operation of § 72.30 Financial assurance and rec-
the ISFSI or MRS. ordkeeping for decommissioning.
(o) A description of the detailed secu- (a) Each application under this part
rity measures for physical protection, must include a proposed decommis-
including design features and the plans sioning plan that contains sufficient
required by subpart H. For an applica- information on proposed practices and
tion from DOE for an ISFSI or MRS, procedures for the decontamination of
DOE will provide a description of the the site and facilities and for disposal
of residual radioactive materials after
physical protection plan for protection
all spent fuel, high-level radioactive
against radiological sabotage as re-
waste, and reactor-related GTCC waste
quired by subpart H. have been removed, in order to provide
(p) A description of the program cov- reasonable assurance that the decon-
ering preoperational testing and initial tamination and decommissioning of
operations. the ISFSI or MRS at the end of its use-
(q) A description of the decommis- ful life will provide adequate protec-
sioning plan required under § 72.30. tion to the health and safety of the
public. This plan must identify and dis-
FR 26961, May 15, 1998; 64 FR 53615, Oct. 4,
cuss those design features of the ISFSI
1999; 66 FR 51839, Oct. 11, 2001] or MRS that facilitate its decon-
tamination and decommissioning at
§ 72.26 Contents of application: Tech- the end of its useful life.
nical specifications. (b) The proposed decommissioning
plan must also include a decommis-
Each application under this part sioning funding plan containing infor-
shall include proposed technical speci- mation on how reasonable assurance
fications in accordance with the re- will be provided that funds will be
quirements of § 72.44 and a summary available to decommission the ISFSI
statement of the bases and justifica- or MRS. This information must include
tions for these technical specifications. a cost estimate for decommissioning
and a description of the method of as-
§ 72.28 Contents of application: Appli- suring funds for decommissioning from
cant’s technical qualifications. paragraph (c) of this section, including
Each application under this part means of adjusting cost estimates and
must include: associated funding levels periodically
(a) The technical qualifications, in- over the life of the ISFSI or MRS.
cluding training and experience, of the (c) Financial assurance for decom-
applicant to engage in the proposed ac- missioning must be provided by one or
tivities; more of the following methods:
(b) A description of the personnel (1) Prepayment. Prepayment is the de-
posit prior to the start of operation
training program required under sub-
into an account segregated from li-
part I;
censee assets and outside the licensee’s
(c) A description of the applicant’s administrative control of cash or liquid
operating organization, delegations of assets such that the amount of funds
responsibility and authority and the would be sufficient to pay decommis-
minimum skills and experience quali- sioning costs. Prepayment may be in
fications relevant to the various levels the form of a trust, escrow account,
of responsibility and authority; and government fund, certificate of de-
(d) A commitment by the applicant posit, or deposit of government securi-
to have and maintain an adequate com- ties.
plement of trained and certified instal- (2) A surety method, insurance, or

lation personnel prior to the receipt of other guarantee method. These meth-
spent fuel, high-level radioactive ods guarantee that decommissioning
395
§ 72.30 10 CFR Ch. I (1–1–11 Edition)
costs will be paid. A surety method lated and examined by a Federal or

may be in the form of a surety bond, State agency.
letter of credit, or line of credit. A par- (iii) The surety or insurance must re-
ent company guarantee of funds for de- main in effect until the Commission
commissioning costs based on a finan- has terminated the license.
cial test may be used if the guarantee (3) An external sinking fund in which
and test are as contained in appendix A deposits are made at least annually,
to part 30. A parent company guar- coupled with a surety method or insur-
antee may not be used in combination ance, the value of which may decrease
with other financial methods to satisfy by the amount being accumulated in
the requirements of this section. For the sinking fund. An external sinking
commercial corporations that issue fund is a fund establishing and main-
bonds, a guarantee of funds by the ap- tained by setting aside funds periodi-
plicant or licensee for decommis- cally in an account segregated from li-
sioning costs based on a financial test censee assets and outside the licensee’s
may be used if the guarantee and test administrative control in which the
are as contained in appendix C to part total amount of funds would be suffi-
30. For commercial corporations that cient to pay decommissioning costs at
do not issue bonds, a guarantee of the time termination of operation is
funds by the applicant or licensee for expected. An external sinking fund
decommissioning costs may be used if may be in the form of a trust, escrow
the guarantee and test are as contained account, government fund, certificate
in appendix D to part 30. A guarantee of deposit, or deposit of government se-
by the applicant or licensee may not be curities. The surety or insurance provi-
used in combination with any other fi- sion must be as stated in paragraph
nancial methods used to satisfy the re- (c)(2) of this section.
quirements of this section or in any (4) In the case of Federal, State, or
situation where the applicant or li- local government licensees, a state-
censee has a parent company holding ment of intent containing a cost esti-
majority control of the voting stock of mate for decommissioning, and indi-
the company. Any surety method or in- cating that funds for decommissioning
surance used to provide financial assur- will be obtained when necessary.
ance for decommissioning must con- (5) In the case of licensees who are
tain the following conditions: issued a power reactor license under
(i) The surety method or insurance Part 50 of this chapter, the methods of
must be open-ended or, if written for a 10 CFR 50.75(b), (e), and (h), as applica-
specified term, such as five years, must ble.
be renewed automatically unless 90 (6) When a governmental entity is as-
days or more prior to the renewal date, suming ownership of a site, an arrange-
the issuer notifies the Commission, the ment that is deemed acceptable by
beneficiary, and the licensee of its in- such governmental entity.
tention not to renew. The surety meth- (d) Each person licensed under this
od or insurance must also provide that part shall keep records of information
the full face amount be paid to the ben- important to the decommissioning of a
eficiary automatically prior to the ex- facility in an identified location until
piration without proof of forfeiture if the site is released for unrestricted use.
the licensee fails to provide a replace- If records important to the decommis-
ment acceptable to the Commission sioning of a facility are kept for other
withing 30 days after receipt of notifi- purposes, reference to these records
cation or cancellation. and their locations may be used. Infor-
(ii) The surety method or insurance mation the Commission considers im-
must be payable to a trust established portant to decommissioning consists
for decomissioning costs. The trustee of—
and trust must be acceptable to the (1) Records of spills or other unusual
Commission. An acceptable trustee in- occurrences involving the spread of
cludes an appropriate State or Federal contamination in and around the facil-
government agency or an entity which ity, equipment, or site. These records

has the authority to act as a trustee may be limited to instances when con-
and whose trust operations are regu- tamination remains after any cleanup
396
procedures or when there is reasonable panied by an Emergency Plan that in-

likelihood that contaminants may cludes the following information:
have spread to inaccessible areas as in (1) Facility description. A brief descrip-
the case of possible seepage into porous tion of the licensee’s facility and area
materials such as concrete. These near the site.
records must include any known infor- (2) Types of accidents. An identifica-
mation on identification of involved tion of each type of radioactive mate-
nuclides, quantities, forms, and con- rials accident.
centrations. (3) Classification of accidents. A classi-
(2) As-built drawings and modifica- fication system for classifying acci-
tions of structures and equipment in dents as ‘‘alerts.’’
restricted areas where radioactive ma- (4) Detection of accidents. Identifica-
terials are used and/or stored, and of tion of the means of detecting an acci-
locations of possible inaccessible con- dent condition.
tamination such as buried pipes which (5) Mitigation of consequences. A brief
may be subject to contamination. If re- description of the means of mitigating
quired drawings are referenced, each the consequences of each type of acci-
relevant document need not be indexed dent, including those provided to pro-
individually. If drawings are not avail- tect workers onsite, and a description
able, the licensee shall substitute ap- of the program for maintaining the
propriate records of available informa- equipment.
tion concerning these areas and loca- (6) Assessment of releases. A brief de-
tions. scription of the methods and equip-
(3) A list contained in a single document to assess releases of radioactive
ment and updated no less than every 2 materials.
years of the following: (7) Responsibilities. A brief description
(i) All areas designated and formerly of the responsibilities of licensee per-
designated as restricted areas as de- sonnel should an accident occur, in-
fined under 10 CFR 20.1003; and cluding identification of personnel re-
(ii) All areas outside of restricted sponsible for promptly notifying offsite
areas that require documentation response organizations and the NRC;
under § 72.30(d)(1). also responsibilities for developing,
(4) Records of the cost estimate per- maintaining, and updating the plan.
formed for the decommissioning fund- (8) Notification and coordination. A
ing plan or of the amount certified for commitment to and a brief description
decommissioning, and records of the of the means to promptly notify offsite
funding method used for assuring funds response organizations and request off-
if either a funding plan or certification site assistance, including medical as-
is used. sistance for the treatment of contami-
[53 FR 31658, Aug. 19, 1988, as amended at 55 nated injured onsite workers when ap-
FR 29191, July 18, 1990; 58 FR 39635, July 26, propriate. A control point must be es-
1993; 58 FR 67662, Dec. 22, 1993; 58 FR 68732, tablished. The notification and coordi-
Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 61 FR nation must be planned so that un-
24675, May 16, 1996; 62 FR 39092, July 21, 1997; availability of some personnel, parts of
63 FR 29544, June 1, 1998; 66 FR 51840, Oct. 11, the facility, and some equipment will
2001; 67 FR 78351, Dec. 24, 2002]
not prevent the notification and co-
§ 72.32 Emergency Plan. ordination. The licensee shall also
commit to notify the NRC operations
(a) Each application for an ISFSI center immediately after notifications
that is licensed under this part which of the appropriate offsite response or-
is: Not located on the site of a nuclear ganizations and not later than one
power reactor, or not located within hour after the licensee declares an
the exclusion area as defined in 10 CFR emergency. 10
part 100 of a nuclear power reactor, or
located on the site of a nuclear power 10 These reporting requirements do not su-
reactor which does not have an oper-
persede or release licensees of complying

ating license, or located on the site of with the requirements under the Emergency
a nuclear power reactor that is not au- Planning and Community Right-to-Know
thorized to operate must be accom- Continued
397
§ 72.32 10 CFR Ch. I (1–1–11 Edition)
(9) Information to be communicated. A an accident 60 days to comment on the

brief description of the types of infor- initial submittal of the licensee’s
mation on facility status; radioactive emergency plan before submitting it to
releases; and recommended protective NRC. Subsequent plan changes need
actions, if necessary, to be given to off- not have the offsite comment period
site response organizations and to the unless the plan changes affect the off-
NRC. site response organizations. The li-
(10) Training. A brief description of censee shall provide any comments re-
the training the licensee will provide ceived within the 60 days to the NRC
workers on how to respond to an emer- with the emergency plan.
gency and any special instructions and (15) Offsite assistance. The applicant’s
orientation tours the licensee would emergency plans shall include a brief
offer to fire, police, medical and other description of the arrangements made
emergency personnel. for requesting and effectively using off-
(11) Safe condition. A brief description site assistance on site and provisions
of the means of restoring the facility that exist for using other organizations
to a safe condition after an accident. capable of augmenting the planned on-
(12) Exercises. (i) Provisions for con- site response.
ducting semiannual communications (16) Arrangements made for providing
checks with offsite response organiza- information to the public.
tions and biennial onsite exercises to (b) Each application for an MRS that
test response to simulated emer- is licensed under this part and each ap-
gencies. Radiological/Health Physics, plication for an ISFSI that is licensed
Medical, and Fire drills shall be con- under this part and that may process
ducted annually. Semiannual commu- and/or repackage spent fuel, must be
nications checks with offsite response accompanied by an Emergency Plan
organizations must include the check that includes the following informa-
and update of all necessary telephone tion:
numbers. The licensee shall invite off-
(1) Facility description. A brief descrip-
site response organizations to partici-
tion of the licensee facility and area
pate in the biennial exercise.
near the site.
(ii) Participation of offsite response
(2) Types of accidents. An identifica-
organizations in biennial exercises, al-
tion of each type of radioactive mate-
though recommended, is not required.
rials accident.
Exercises must use scenarios not
known to most exercise participants. (3) Classification of accidents. A classi-
The licensee shall critique each exer- fication system for classifying acci-
cise using individuals not having direct dents as ‘‘alerts’’ or ‘‘site area emer-
implementation responsibility for con- gencies.’’
ducting the exercise. Critiques of exer- (4) Detection of accidents. Identifica-
cises must evaluate the appropriate- tion of the means of detecting an acci-
ness of the plan, emergency procedures, dent condition.
facilities, equipment, training of per- (5) Mitigation of consequences. A brief
sonnel, and overall effectiveness of the description of the means of mitigating
response. Deficiencies found by the cri- the consequences of each type of acci-
tiques must be corrected. dent, including those provided to pro-
(13) Hazardous chemicals. A certifi- tect workers on site, and a description
cation that the applicant has met its of the program for maintaining the
responsibilities under the Emergency equipment.
Planning and Community Right-to- (6) Assessment of releases. A brief de-
Know Act of 1986, Title III, Pub. L. 99– scription of the methods and equip-
499, with respect to hazardous mate- ment to assess releases of radioactive
rials at the facility. materials.
(14) Comments on Plan. The licensee (7) Responsibilities. A brief description
shall allow the offsite response organi- of the responsibilities of licensee per-
zations expected to respond in case of sonnel should an accident occur, in-
cluding identification of personnel re-

Act of 1986, Title III, Pub. L. 99–499 or other sponsible for promptly notifying offsite
State or Federal reporting requirements. response organizations and the NRC;
398
also responsibilities for developing, (ii) Participation of offsite response

maintaining, and updating the plan. organizations in the biennial exercises,
(8) Notification and coordination. A although recommended, is not re-
commitment to and a brief description quired. Exercises must use scenarios
of the means to promptly notify offsite not known to most exercise partici-
response organizations and request off- pants. The licensee shall critique each
site assistance, including medical as- exercise using individuals not having
sistance for the treatment of contami- direct implementation responsibility
nated injured onsite workers when ap- for conducting the exercise. Critiques
propriate. A control point must be es- of exercises must evaluate the appro-
tablished. The notification and coordi- priateness of the plan, emergency pro-
nation must be planned so that un- cedures, facilities, equipment, training
availability of some personnel, parts of of personnel, and overall effectiveness
the facility, and some equipment will of the response. Deficiencies found by
not prevent the notification and co- the critiques must be corrected.
ordination. The licensee shall also (13) Hazardous chemicals. A certifi-
commit to notify the NRC operations cation that the applicant has met its
center immediately after notifications
responsibilities under the Emergency
of the appropriate offsite response or-
Planning and Community Right-to-
ganizations and not later than one
Know Act of 1986, Title III, Pub. L. 99–
hour after the licensee declares an
499, with respect to hazardous mate-
emergency. 11
(9) Information to be communicated. A rials at the facility.
brief description of the types of infor- (14) Comments on Plan. The licensee
mation on facility status; radioactive shall allow the offsite response organi-
releases; and recommended protective zations expected to respond in case of
actions, if necessary, to be given to off- an accident 60 days to comment on the
site response organizations and to the initial submittal of the licensee’s
NRC. emergency plan before submitting it to
(10) Training. A brief description of NRC. Subsequent plan changes need
the training the licensee will provide not have the offsite comment period
workers on how to respond to an emer- unless the plan changes affect the off-
gency and any special instructions and site response organizations. The li-
orientation tours the licensee would censee shall provide any comments re-
offer to fire, police, medical and other ceived within the 60 days to the NRC
emergency personnel. with the emergency plan.
(11) Safe condition. A brief description (15) Offsite assistance. The applicant’s
of the means of restoring the facility emergency plans shall include the fol-
to a safe condition after an accident. lowing:
(12) Exercises. (i) Provisions for con- (i) A brief description of the arrange-
ducting quarterly communications ments made for requesting and effec-
checks with offsite response organiza- tively using offsite assistance on site
tions and biennial onsite exercises to and provisions that exist for using
test response to simulated emer- other organizations capable of aug-
gencies. Radiological/Health Physics, menting the planned onsite response.
Medical, and Fire Drills shall be held (ii) Provisions that exist for prompt
semiannually. Quarterly communica- communications among principal re-
tions checks with offsite response orga- sponse organizations to offsite emer-
nizations must include the check and gency personnel who would be respond-
update of all necessary telephone num- ing onsite.
bers. The licensee shall invite offsite
(iii) Adequate emergency facilities
response organizations to participate
and equipment to support the emer-
in the biennial exercises.
gency response onsite are provided and
11 These reporting requirements do not su-
maintained.
persede or release licensees of complying
(iv) Adequate methods, systems, and
equipment for assessing and moni-
with the requirements under the Emergency

Planning and Community Right-to-Know toring actual or potential consequences
Act of 1986, Title III, Pub. L. 99–499 or other of a radiological emergency condition
State or Federal reporting requirements. are available.
399
§ 72.34 10 CFR Ch. I (1–1–11 Edition)
(v) Arrangements are made for med- pose an undue risk to the safe oper-
ical services for contaminated and ination of such nuclear power plant or
jured onsite individuals. other licensed activity or facility;
(vi) Radiological Emergency Re- (4) The applicant is qualified by rea-
sponse Training has been made avail- son of training and experience to con-
able to those offsite who may be called duct the operation covered by the regu-
to assist in an emergency onsite. lations in this part;
(16) Arrangements made for providing (5) The applicant’s proposed oper-
information to the public. ating procedures to protect health and
(c) For an ISFSI that is: to minimize danger to life or property
(1) located on the site, or are adequate;
(2) located within the exclusion area (6) Except for DOE, the applicant for
as defined in 10 CFR part 100, of a nu- an ISFSI or MRS is financially quali-
clear power reactor licensed for oper- fied to engage in the proposed activi-
ation by the Commission, the emer- ties in accordance with the regulations
gency plan required by 10 CFR 50.47 in this part;
shall be deemed to satisfy the require- (7) The applicant’s quality assurance
ments of this section. plan complies with subpart G;
(d) A licensee with a license issued (8) The applicant’s physical protec-
under this part may take reasonable tion provisions comply with subpart H.
action that departs from a license con- DOE has complied with the safeguards
dition or a technical specification (con- and physical security provisions identi-
tained in a license issued under this fied in § 72.24(o);
part) in an emergency when this action (9) The applicant’s personnel training
is immediately needed to protect the program complies with subpart I;
public health and safety and no action (10) Except for DOE, the applicant’s
consistent with license conditions and decommissioning plan and its financ-
technical specifications that can pro- ing pursuant to § 72.30 provide reason-
vide adequate or equivalent protection able assurance that the decontamina-
is immediately apparent. tion and decommissioning of the ISFSI
or MRS at the end of its useful life will
[60 FR 32441, June 22, 1995]
provide adequate protection to the
§ 72.34 Environmental report. health and safety of the public;
(11) The applicant’s emergency plan
Each application for an ISFSI or complies with § 72.32;
MRS license under this part must be (12) The applicable provisions of part
accompanied by an Environmental Re- 170 of this chapter have been satisfied;
port which meets the requirements of (13) There is reasonable assurance
subpart A of part 51 of this chapter. that: (i) The activities authorized by
the license can be conducted without
Subpart C—Issuance and endangering the health and safety of
Conditions of License the public and (ii) these activities will
be conducted in compliance with the
§ 72.40 Issuance of license. applicable regulations of this chapter;
(a) Except as provided in paragraph and
(c) of this section, the Commission will (14) The issuance of the license will
issue a license under this part upon a not be inimical to the common defense
determination that the application for and security.
a license meets the standards and re- (b) A license to store spent fuel and
quirements of the Act and the regula- reactor-related GTCC waste in the pro-
tions of the Commission, and upon posed ISFSI or to store spent fuel,
finding that: high-level radioactive waste, and reac-
(1) The applicant’s proposed ISFSI or tor-related GTCC waste in the proposed
MRS design complies with subpart F; MRS may be denied if construction on
(2) The proposed site complies with the proposed facility begins before a
the criteria in subpart E; finding approving issuance of the pro-
(3) If on the site of a nuclear power posed license with any appropriate con-
plant or other licensed activity or fa- ditions to protect environmental val-
cility, the proposed ISFSI would not ues. Grounds for denial may be the
400
commencement of construction prior with the Commission under the license

to a finding by the Director, Office of may be incorporated by reference: Pro-
Nuclear Materials Safety and Safe- vided, that such references are clear
guards or designee or a finding after a and specific.
public hearing by the presiding officer, (c) In any case in which a licensee,
Atomic Safety and Licensing Board, or not less than two years prior to expira-
the Commission acting as a collegial tion of its existing license, has filed an
body, as appropriate, that the action application in proper form for renewal
called for is the issuance of the proof a license, the existing license shall
posed license with any appropriate con- not expire until a final decision con-
ditions to protect environmental val- cerning the application for renewal has
ues. This finding is to be made on the been made by the Commission.
basis of information filed and evalua-
tions made pursuant to subpart A of § 72.44 License conditions.
part 51 of this chapter or in the case of (a) Each license issued under this
an MRS on the basis of evaluations part shall include license conditions.
made pursuant to sections 141(c) and The license conditions may be derived
(d) or 148(a) and (c) of NWPA (96 Stat. from the analyses and evaluations in-
2242, 2243, 42 U.S.C. 10161(c), (d); 101 cluded in the Safety Analysis Report
Stat. 1330–235, 1330–236, 42 U.S.C. and amendments thereto submitted
10168(a), (c)), as appropriate, and after pursuant to § 72.24. License conditions
weighing the environmental, economic, pertain to design, construction and op-
technical and other benefits against eration. The Commission may also in-
environmental costs and considering clude additional license conditions as
available alternatives. it finds appropriate.
(c) For facilities that have been cov- (b) Each license issued under this
ered under previous licensing actions part shall be subject to the following
including the issuance of a construc- conditions, even if they are not explic-
tion permit under part 50 of this chap- itly stated therein;
ter, a reevaluation of the site is not re- (1) Neither the license nor any right
quired except where new information is thereunder shall be transferred, as-
discovered which could alter the origi- signed, or disposed of in any manner,
nal site evaluation findings. In this either voluntarily or involuntarily, di-
case, the site evaluation factors in- rectly or indirectly, through transfer
volved will be reevaluated. of control of the license to any person,
[53 FR 31658, Aug. 19, 1988, as amended at 66 unless the Commission shall, after se-
FR 51840, Oct. 11, 2001] curing full information, find that the
transfer is in accordance with the pro-
§ 72.42 Duration of license; renewal. visions of the Atomic Energy Act of
(a) Each license issued under this 1954, as amended, and give its consent
part must be for a fixed period of time in writing.
to be specified in the license. The li- (2) The license shall be subject to rev-
cense term for an ISFSI must not ex- ocation, suspension, modification, or
ceed 20 years from the date of issuance. amendment in accordance with the
The license term for an MRS must not procedures provided by the Atomic En-
exceed 40 years from the date of ergy Act of 1954, as amended, and Com-
issuance. Licenses for either type of in- mission regulations.
stallation may be renewed by the Com- (3) Upon request of the Commission,
mission at the expiration of the license the licensee shall, at any time before
term upon application by the licensee expiration of the license, submit writ-
and pursuant to the requirements of ten statements, signed under oath or
this rule. affirmation if appropriate, to enable
(b) Applications for renewal of a li- the Commission to determine whether
cense should be filed in accordance or not the license should be modified,
with the applicable provisions of sub- suspended, or revoked.
part B at least two years prior to the (4) The licensee shall have an NRC-
expiration of the existing license. In- approved program in effect that covers
formation contained in previous appli- the training and certification of per-
cations, statements, or reports filed sonnel that meets the requirements of
401
§ 72.44 10 CFR Ch. I (1–1–11 Edition)
subpart I before the licensee may re- (2) Limiting conditions. Limiting con-
ceive spent fuel and/or reactor-related ditions are the lowest functional capa-
GTCC waste for storage at an ISFSI or bility or performance levels of equip-
the receipt of spent fuel, high-level ra- ment required for safe operation.
dioactive waste, and/or reactor-related (3) Surveillance requirements. Surveil-
GTCC waste for storage at an MRS. lance requirements include:
(5) The license shall permit the oper- (i) Inspection and monitoring of
ation of the equipment and controls spent fuel, high-level radioactive
that are important to safety of the waste, or reactor-related GTCC waste
ISFSI or the MRS only by personnel in storage;
whom the licensee has certified as (ii) Inspection, test and calibration
being adequately trained to perform activities to ensure that the necessary
such operations, or by uncertified per- integrity of required systems and com-
sonnel who are under the direct visual ponents is maintained;
supervision of a certified individual. (iii) Confirmation that operation of
(6)(i) Each licensee shall notify the the ISFSI or MRS is within the re-
appropriate NRC Regional Adminis- quired functional and operating limits;
trator, in writing, immediately fol- and
lowing the filing of a voluntary or in- (iv) Confirmation that the limiting
voluntary petition for bankruptcy conditions required for safe storage are
under any Chapter of Title II (Bank- met.
ruptcy) of the United States Code by or (4) Design features. Design features in-
against: clude items that would have a signifi-
(A) The licensee; cant effect on safety if altered or modi-
(B) An entity (as that term is defined fied, such as materials of construction
in 11 U.S.C. 101(14)) controlling the li- and geometric arrangements.
censee or listing the license or licensee (5) Administrative controls. Adminis-
as property of the estate; or trative controls include the organiza-
tion and management procedures, rec-
(C) An affiliate (as that term is de-
ordkeeping, review and audit, and re-
fined in 11 U.S.C. 101(2)) of the licensee.
porting requirements necessary to as-
(ii) This notification must indicate:
sure that the operations involved in
(A) The bankruptcy court in which the storage of spent fuel and reactor-
the petition for bankruptcy was filed; related GTCC waste in an ISFSI and
and the storage of spent fuel, high-level ra-
(B) The date of the filing of the peti- dioactive waste, and reactor-related
tion. GTCC waste in an MRS are performed
(c) Each license issued under this in a safe manner.
part must include technical specifica- (d) Each license authorizing the re-
tions. Technical specifications must in- ceipt, handling, and storage of spent
clude requirements in the following fuel, high-level radioactive waste, and/
categories: or reactor-related GTCC waste under
(1) Functional and operating limits and this part must include technical speci-
monitoring instruments and limiting con- fications that, in addition to stating
trol settings. (i) Functional and oper- the limits on the release of radioactive
ating limits for an ISFSI or MRS are materials for compliance with limits of
limits on fuel or waste handling and part 20 of this chapter and the ‘‘as low
storage conditions that are found to be as is reasonably achievable’’ objectives
necessary to protect the integrity of for effluents, require that:
the stored fuel or waste container, to (1) Operating procedures for control
protect employees against occupa- of effluents be established and fol-
tional exposures and to guard against lowed, and equipment in the radio-
the uncontrolled release of radioactive active waste treatment systems be
materials; and maintained and used, to meet the re-
(ii) Monitoring instruments and lim- quirements of § 72.104;
iting control settings for an ISFSI or (2) An environmental monitoring pro-
MRS are those related to fuel or waste gram be established to ensure compli-
handling and storage conditions having ance with the technical specifications
significant safety functions. for effluents; and
402
(3) An annual report be submitted to this chapter. Proposed changes that de-
the Commission in accordance with crease the effectiveness of the approved
§ 72.4, specifying the quantity of each of emergency plan must not be imple-
the principal radionuclides released to mented unless the licensee has received
the environment in liquid and in gas- prior approval of such changes from
eous effluents during the previous 12 the Commission.
months of operation and such other in- (g) A license issued to DOE under
formation as may be required by the this part for an MRS authorized by sec-
Commission to estimate maximum po- tion 142(b) of NWPA (101 Stat. 1330–232,
tential radiation dose commitment to 42 U.S.C. 10162(b)) must include the fol-
the public resulting from effluent re- lowing conditions:
leases. On the basis of this report and (1) Construction of the MRS may not
any additional information that the begin until the Commission has au-
Commission may obtain from the li- thorized the construction of a reposi-
censee or others, the Commission may tory under section 114(d) of NWPA (96
from time to time require the licensee Stat. 2215, as amended by 101 Stat.
to take such action as the Commission 1330–230, 42 U.S.C. 10134 (d)) and part 60
deems appropriate. The report must be or 63 of this chapter;
submitted within 60 days after the end (2) Construction of the MRS or ac-
of the 12-month monitoring period. ceptance of spent nuclear fuel, high-
(e) The licensee shall make no level radioactive waste, and/or reactor-
change that would decrease the effec- related GTCC waste at the MRS is pro-
tiveness of the physical security plan hibited during such time as the reposi-
prepared pursuant to § 72.180 without tory license is revoked by the Commis-
the prior approval of the Commission. sion or construction of the repository
A licensee desiring to make such a ceases.
change shall submit an application for (3) The quantity of spent nuclear fuel
an amendment to the license pursuant or high-level radioactive waste at the
to § 72.56. A licensee may make changes site of the MRS at any one time may
to the physical security plan without not exceed 10,000 metric tons of heavy
prior Commission approval, provided metal until a repository authorized
that such changes do not decrease the under NWPA and part 60 or 63 of this
effectiveness of the plan. The licensee chapter first accepts spent nuclear fuel
shall furnish to the Commission a re- or solidified high-level radioactive
port containing a description of each waste; and
change within two months after the (4) The quantity of spent nuclear fuel
change is made, and shall maintain or high-level radioactive waste at the
records of changes to the plan made site of the MRS at any one time may
without prior Commission approval for not exceed 15,000 metric tons of heavy
a period of 3 years from the date of the metal.
change. (h) Each licensee shall protect Safe-
(f) A licensee shall follow and main- guards Information against unauthor-
tain in effect an emergency plan that is ized disclosure in accordance with the
approved by the Commission. The li- requirements of § 73.21 and the require-
censee may make changes to the ap- ments of § 73.22 or § 73.23, as applicable.
proved plan without Commission ap- [53 FR 31658, Aug. 19, 1988, as amended at 64
proval only if such changes do not de- FR 33183, June 22, 1999; 66 FR 51840, Oct. 11,
crease the effectiveness of the plan. 2001; 66 FR 55815, Nov. 2, 2001; 67 FR 3586, Jan.
Within six months after any change is 25, 2002; 68 FR 58819, Oct. 10, 2003; 73 FR 63573,
made, the licensee shall submit, in ac- Oct. 24, 2008; 75 FR 73945, Nov. 30, 2010]
cordance with § 72.4, a report con-
taining a description of any changes § 72.46 Public hearings.
made in the plan addressed to Director, (a) In connection with each applica-
Division of Spent Fuel Storage and tion for a license under this part, the
Transportation, Office of Nuclear Ma- Commission shall issue or cause to be
terial Safety and Safeguards, U.S. Nu- issued a notice of proposed action and
clear Regulatory Commission, with a opportunity for hearing in accordance

copy to the appropriate NRC Regional with § 2.105 or § 2.1107 of this chapter, as
Office shown in appendix D to part 20 of appropriate, or, if the Commission
403
§ 72.48 10 CFR Ch. I (1–1–11 Edition)
finds that a hearing is required in the site or an MRS until expressly author-
public interest, a notice of hearing in ized to do so by the Commission.
accordance with § 2.104 of this chapter. (e) If an application for (or an amend-
(b)(1) In connection with each appli- ment to) a specific license issued under
cation for an amendment to a license this part incorporates by reference in-
under this part, the Commission shall, formation on the design of a spent fuel
except as provided in paragraph (b)(2) storage cask for which NRC approval
of this section, issue or cause to be pursuant to subpart L of this part has
issued a notice of proposed action and been issued or is being sought, the
opportunity for hearing in accordance scope of any public hearing held to con-
with § 2.105 or § 2.1107 of this chapter, as sider the application will not include
appropriate, or, if the Commission any cask design issues.
finds that a hearing is required in the
public interest, a notice of hearing in [53 FR 31658, Aug. 19, 1988, as amended at 60
accordance with § 2.104 of this chapter. FR 20886, Apr. 28, 1995; 65 FR 50617, Aug. 21,
(2) The Director, Office of Nuclear 2000]
Material Safety and Safeguards, or the
§ 72.48 Changes, tests, and experi-
Director’s designee may dispense with ments.
a notice of proposed action and oppor-
tunity for hearing or a notice of hear- (a) Definitions for the purposes of
ing and take immediate action on an this section:
amendment to a license issued under (1) Change means a modification or
this part upon a determination that addition to, or removal from, the facil-
the amendment does not present a gen- ity or spent fuel storage cask design or
uine issue as to whether the health and procedures that affects a design func-
safety of the public will be signifi- tion, method of performing or control-
cantly affected. After taking the ac- ling the function, or an evaluation that
tion, the Director or the Director’s des- demonstrates that intended functions
ignee shall promptly publish a notice will be accomplished.
in the FEDERAL REGISTER of the action (2) Departure from a method of evalua-
taken and of the right of interested tion described in the FSAR (as updated)
persons to request a hearing on wheth- used in establishing the design bases or in
er the action should be rescinded or the safety analyses means:
modified. If the action taken amends (i) Changing any of the elements of
an MRS license, the Director or the Di- the method described in the FSAR (as
rector’s designee shall also inform the updated) unless the results of the anal-
appropriate State and local officials. ysis are conservative or essentially the
(c) The notice of proposed action and same; or
opportunity for hearing or the notice (ii) Changing from a method de-
of hearing may be included in the no- scribed in the FSAR to another method
tice of docketing required to be pub- unless that method has been approved
lished by § 72.16 of this part. by NRC for the intended application.
(d) If no request for a hearing or peti-
(3) Facility means either an inde-
tion for leave to intervene is filed with-
pendent spent fuel storage installation
in the time prescribed in the notice of
(ISFSI) or a Monitored Retrievable
proposed action and opportunity for
Storage facility( MRS).
hearing, the Director, Office of Nuclear
Material Safety and Safeguards or the (4) The facility or spent fuel storage
Director’s designee may take the pro- cask design as described in the Final Safe-
posed action, and thereafter shall ty Analysis Report (FSAR) (as updated)
promptly inform the appropriate State means:
and local officials and publish a notice (i) The structures, systems, and com-
in the FEDERAL REGISTER of the action ponents (SSC) that are described in the
taken. In accordance with § 2.764(c) of FSAR (as updated),
this chapter, the Director, Office of Nu- (ii) The design and performance re-
clear Material Safety and Safeguards quirements for such SSCs described in
shall not issue an initial license for the the FSAR (as updated), and
construction and operation of an ISFSI (iii) The evaluations or methods of
located at a site other than a reactor evaluation included in the FSAR (as
404
updated) for such SSCs which dem- (B) A change in the terms, condi-
onstrate that their intended functions, or specifications incorporated in
tion(s) will be accomplished. the CoC is not required; and
(5) Final Safety Analysis Report (as up- (C) The change, test, or experiment
dated) means: does not meet any of the criteria in
(i) For specific licensees, the Safety paragraph (c)(2) of this section.
Analysis Report for a facility sub- (2) A specific licensee shall obtain a
mitted and updated in accordance with license amendment pursuant to § 72.56,
§ 72.70; a certificate holder shall obtain a CoC
(ii) For general licensees, the Safety amendment pursuant to § 72.244, and a
Analysis Report for a spent fuel stor- general licensee shall request that the
age cask design, as amended and sup- certificate holder obtain a CoC amend-
plemented; and ment pursuant to § 72.244, prior to im-
(iii) For certificate holders, the Safe- plementing a proposed change, test, or
ty Analysis Report for a spent fuel experiment if the change, test, or ex-
storage cask design submitted and up- periment would:
dated in accordance with § 72.248. (i) Result in more than a minimal in-
(6) Procedures as described in the Final crease in the frequency of occurrence
Safety Analysis Report (as updated) of an accident previously evaluated in
means those procedures that contain the FSAR (as updated);
information described in the FSAR (as (ii) Result in more than a minimal
updated) such as how SSCs are oper- increase in the likelihood of occurrence
ated and controlled (including assumed of a malfunction of a system, struc-
operator actions and response times). ture, or component (SSC) important to
(7) Tests or experiments not described in safety previously evaluated in the
the Final Safety Analysis Report (as up- FSAR (as updated);
dated) means any activity where any (iii) Result in more than a minimal
SSC is utilized or controlled in a man- increase in the consequences of an ac-
ner which is either: cident previously evaluated in the
FSAR (as updated);
(i) Outside the reference bounds of
(iv) Result in more than a minimal
the design bases as described in the
increase in the consequences of a mal-
FSAR (as updated) or
function of an SSC important to safety
(ii) Inconsistent with the analyses or
previously evaluated in the FSAR (as
descriptions in the FSAR (as updated).
updated);
(b) This section applies to: (v) Create a possibility for an acci-
(1) Each holder of a general or spe- dent of a different type than any pre-
cific license issued under this part, and viously evaluated in the FSAR (as up-
(2) Each holder of a Certificate of dated);
Compliance (CoC) issued under this (vi) Create a possibility for a mal-
part. function of an SSC important to safety
(c)(1) A licensee or certificate holder with a different result than any pre-
may make changes in the facility or viously evaluated in the FSAR (as up-
spent fuel storage cask design as de- dated);
scribed in the FSAR (as updated), (vii) Result in a design basis limit for
make changes in the procedures as de- a fission product barrier as described in
scribed in the FSAR (as updated), and the FSAR (as updated) being exceeded
conduct tests or experiments not de- or altered; or
scribed in the FSAR (as updated), with- (viii) Result in a departure from a
out obtaining either: method of evaluation described in the
(i) A license amendment pursuant to FSAR (as updated) used in establishing
§ 72.56 (for specific licensees) or the design bases or in the safety anal-
(ii) A CoC amendment submitted by yses.
the certificate holder pursuant to (3) In implementing this paragraph,
§ 72.244 (for general licensees and cer- the FSAR (as updated) is considered to
tificate holders) if: include FSAR changes resulting from
(A) A change to the technical speci- evaluations performed pursuant to this

fications incorporated in the specific section and analyses performed pursu-
license is not required; or ant to § 72.56 or § 72.244 since the last
405
§ 72.50 10 CFR Ch. I (1–1–11 Edition)
update of the FSAR pursuant to § 72.70, within 60 days of implementing the

or § 72.248 of this part. change.
(4) The provisions in this section do (iii) A certificate holder shall provide
not apply to changes to the facility or a copy of the record for any changes to
procedures when the applicable regula- a spent fuel storage cask design to any
tions establish more specific criteria general or specific licensee using the
for accomplishing such changes. cask design within 60 days of imple-
(d)(1) The licensee and certificate menting the change.
holder shall maintain records of [64 FR 53615, Oct. 4, 1999, as amended at 66 FR
changes in the facility or spent fuel 11527, Feb. 26, 2001]
storage cask design, of changes in pro-
cedures, and of tests and experiments § 72.50 Transfer of license.
made pursuant to paragraph (c) of this (a) No license or any part included in
section. These records must include a a license issued under this part for an
written evaluation which provides the ISFSI or MRS shall be transferred, as-
bases for the determination that the signed, or in any manner disposed of,
change, test, or experiment does not either voluntarily or involuntarily, di-
require a license or CoC amendment rectly or indirectly, through transfer
pursuant to paragraph (c)(2) of this sec- of control of the license to any person,
tion. unless the Commission gives its con-
(2) The licensee and certificate holder sent in writing.
shall submit, as specified in § 72.4, a re- (b)(1) An application for transfer of a
port containing a brief description of license must include as much of the in-
any changes, tests, and experiments, formation described in §§ 72.22 and 72.28
including a summary of the evaluation with respect to the identity and the
of each. A report shall be submitted at technical and financial qualifications
intervals not to exceed 24 months. of the proposed transferee as would be
(3) The records of changes in the fa- required by those sections if the appli-
cility or spent fuel storage cask design cation were for an initial license. The
shall be maintained until: application must also include a state-
ment of the purposes for which the
(i) Spent fuel is no longer stored in
transfer of the license is requested and
the facility or the spent fuel storage
the nature of the transaction necessi-
cask design is no longer being used, or
tating or making desirable the transfer
(ii) The Commission terminates the of the license.
license or CoC issued pursuant to this (2) The Commission may require any
part. person who submits an application for
(4) The records of changes in proce- the transfer of a license pursuant to
dures and of tests and experiments the provisions of this section to file a
shall be maintained for a period of 5 written consent from the existing li-
years. censee, or a certified copy of an order
(5) The holder of a spent fuel storage or judgment of a court of competent ju-
cask design CoC, who permanently risdiction, attesting to the person’s
ceases operation, shall provide the right—subject to the licensing require-
records of changes to the new certifi- ments of the Act and these regula-
cate holder or to the Commission, as tions—to possession of the radioactive
appropriate, in accordance with materials and the storage installation
§ 72.234(d)(3). involved.
(6)(i) A general licensee shall provide (c) After appropriate notice to inter-
a copy of the record for any changes to ested persons, including the existing li-
a spent fuel storage cask design to the censee, and observance of such proce-
applicable certificate holder within 60 dures as may be required by the Act or
days of implementing the change. regulations or orders of the Commis-
(ii) A specific licensee using a spent sion, the Commission will approve an
fuel storage cask design, approved pur- application for the transfer of a li-
suant to subpart L of this part, shall cense, if the Commission determines
provide a copy of the record for any that:

changes to a spent fuel storage cask de- (1) The proposed transferee is quali-
sign to the applicable certificate holder fied to be the holder of the license; and
406
(2) Transfer of the license is con- (3) Any purchaser of the spent fuel
sistent with applicable provisions of and/or reactor-related GTCC waste at
the law, and the regulations and orders the sale thereof upon foreclosure of the
issued by the Commission. mortgage, pledge, or lien or upon exer-
cise of any power of sale contained
§ 72.52 Creditor regulations. therein; or
(a) This section does not apply to an (4) Any assignee of any such pur-
ISFSI or MRS constructed and oper- chaser.
ated by DOE. [53 FR 31658, Aug. 19, 1988, as amended at 66
(b) Pursuant to section 184 of the Act, FR 51840, Oct. 11, 2001]
the Commission consents, without in-
dividual application, to the creation of § 72.54 Expiration and termination of
any mortgage, pledge, or other lien on licenses and decommissioning of
sites and separate buildings or out-
special nuclear material contained in door areas.
spent fuel not owned by the United
States that is the subject of a license (a) Each specific license expires at
or on any interest in special nuclear the end of the day on the expiration
material in spent fuel; Provided: date stated in the license except when
(1) That the rights of any creditor so a licensee has filed an application for
secured may be exercised only in com- renewal pursuant to § 72.42 not less
pliance with and subject to the same than 24 months before the expiration of
requirements and restrictions as would the existing license. If an application
apply to the licensee pursuant to the for renewal has been filed at least 24
provisions of the license, the Atomic months prior to the expiration date
Energy Act of 1954, as amended, and stated in the existing license, the exist-
regulations issued by the Commission ing license expires at the end of the
pursuant to said Act; and day on which the Commission makes a
final determination to deny the re-
(2) That no creditor so secured may
newal application or, if the determina-
take possession of the spent fuel and/or
tion states an expiration date, the ex-
reactor-related GTCC waste under the
piration date stated in the determina-
provisions of this section before—
tion.
(i) The Commission issues a license
(b) Each specific license revoked by
authorizing possession; or
the Commission expires at the end of
(ii) The license is transferred. the day on the date of the Commis-
(c) Any creditor so secured may sion’s final determination to revoke
apply for transfer of the license cov- the license or on the expiration date
ering spent fuel and/or reactor-related stated in the determination or as oth-
GTCC waste by filing an application for erwise provided by Commission Order.
transfer of the license under § 72.50(b). (c) Each specific license continues in
The Commission will act upon the ap- effect, beyond the expiration date if
plication under § 72.50(c). necessary, with respect to possession of
(d) Nothing contained in this regula- licensed material until the Commission
tion shall be deemed to affect the notifies the licensee in writing that the
means of acquiring, or the priority of, license is terminated. During this time,
any tax lien or other lien provided by the licensee shall—
law. (1) Limit actions involving spent
(e) As used in this section, ‘‘creditor’’ fuel, reactor-related GTCC waste, or
includes, without implied limitation— other licensed material to those re-
(1) The trustee under any mortgage, lated to decommissioning; and
pledge, or lien on spent fuel and/or re- (2) Continue to control entry to re-
actor-related GTCC waste in storage stricted areas until they are suitable
made to secure any creditor; for release in accordance with NRC re-
(2) Any trustee or receiver of spent quirements.
fuel and/or reactor-related GTCC waste (d) As required by § 72.42(b), or within
appointed by a court of competent ju- 60 days of the occurrence of any of the
risdiction in any action brought for the following, consistent with the adminis-
benefit of any creditor secured by a trative directions in § 72.4, each li-
mortgage, pledge, or lien; censee shall notify the NRC in writing,
407
§ 72.54 10 CFR Ch. I (1–1–11 Edition)
and submit within 12 months of this missioning set forth in paragraph (d) of
notification, a final decommissioning this section may not commence until
plan and begin decommissioning upon the Commission has made a determina-
approval of the plan if— tion on the request.
(1) The licensee has decided to per- (2) The Commission may approve an
manently cease principal activities, as alternate schedule for submittal of the
defined in this part, at the entire site final decommissioning plan required
or any separate building or outdoor pursuant to paragraph (d) of this sec-
area that contains residual radioac- tion if the Commission determines that
tivity such that the building or out- the alternate schedule is necessary to
door area is unsuitable for release in the effective conduct of decommis-
accordance with NRC requirements; or sioning operations and presents no
(2) No principal activities under the undue risk from radiation to the public
license have been conducted for a pe- health and safety, and is otherwise to
riod of 24 months; or the public interest.
(3) No principal activities have been (g) The proposed final decommis-
conducted for a period of 24 months in sioning plan must include—
any separate building or outdoor area (1) A description of the current condi-
that contains residual radioactivity tions of the site or separate building or
such that the building or outdoor area outdoor area sufficient to evaluate the
is unsuitable for release in accordance acceptability of the plan;
with NRC requirements.
(2) The choice of the alternative for
(e) Coincident with the notification
decommissioning with a description of
required by paragraph (d) of this sec-
the activities involved;
tion, the licensee shall maintain in ef-
(3) A description of controls and lim-
fect all decommissioning financial as-
its on procedures and equipment to
surances established by the licensee
protect occupational and public health
pursuant to § 72.30 in conjunction with
and safety;
a license issuance or renewal or as re-
quired by this section. The amount of (4) A description of the planned final
the financial assurance must be in- radiation survey; and
creased, or may be decreased, as appro- (5) An updated detailed cost estimate
priate, to cover the detailed cost esti- for the chosen alternative for decom-
mate for decommissioning established missioning, comparison of that esti-
pursuant to paragraph (g)(5) of this sec- mate with present funds set aside for
tion. decommissioning, and plan for assuring
(1) Any licensee who has not provided the availability of adequate funds for
financial assurance to cover the de- completion of decommissioning includ-
tailed cost estimate submitted with ing means for adjusting cost estimates
the decommissioning plan shall do so and associated funding levels over any
when this rule becomes effective No- storage or surveillance period; and
vember 24, 1995. (6) A description of technical speci-
(2) Following approval of the decom- fications and quality assurance provi-
missioning plan, a licensee may reduce sions in place during decommissioning.
the amount of the financial assurance (h) For final decommissioning plans
as decommissioning proceeds and radi- in which the major dismantlement ac-
ological contamination is reduced at tivities are delayed by first placing the
the site with the approval of the Com- ISFSI or MRS in storage, planning for
mission. these delayed activities may be less de-
(f)(1) The Commission may grant a tailed. Updated detailed plans must be
request to delay or postpone initiation submitted and approved prior to the
of the decommissioning process if the start of these activities.
Commission determines that this relief (i) If the final decommissioning plan
is not detrimental to the public health demonstrates that the decommis-
and safety and is otherwise in the pub- sioning will be completed as soon as
lic interest. The request must be sub- practicable, performed in accordance
mitted no later than 30 days before no- with the regulations in this chapter,
tification pursuant to paragraph (d) of and will not be inimical to the common
this section. The schedule for decom- defense and security or to the health
408
and safety of the public, and after no- (1) Certify the disposition of all li-
tice to interested persons, the Commis- censed material, including accumu-
sion will approve the plan subject to lated wastes, by submitting a com-
any appropriate conditions and limita- pleted NRC Form 314 or equivalent in-
tions and issue an order authorizing deformation; and
commissioning. (2) Conduct a radiation survey of the
(j)(1) Except as provided in paragraph premises where the licensed activities
(k) of this section, each licensee shall were conducted and submit a report of
complete decommissioning of the site the results of this survey, unless the li-
or separate building or outdoor area as censee demonstrates in some other
soon as practicable but no later than 24 manner that the premises are suitable
months following approval of the final for release in accordance with the cri-
decommissioning plan by the Commis- teria for decommissioning in 10 CFR
sion. part 20, subpart E. The licensee shall,
(2) Except as provided in paragraph as appropriate—
(k) of this section, when decommis- (i) Report levels of gamma radiation
sioning involves the entire site, each in units of millisieverts (micro-
licensee shall request license termi- roentgen) per hour at one meter from
nation as soon as practicable but no surfaces, and report levels of radioac-
later than 24 months following ap- tivity, including alpha and beta, in
proval of the final decommissioning units of megabecquerels (disintegra-
plan by the Commission. tions per minute or microcuries) per
(k) The Commission may approve a 100 square centimeters removable and
request for an alternate schedule for fixed for surfaces, megabecquerels
completion of decommissioning of the (microcuries) per milliliter for water,
site or separate building or outdoor and becquerels (picocuries) per gram
area, and license termination if appro- for solids such as soils or concrete; and
priate, if the Commission determines
(ii) Specify the survey instrument(s)
that the alternate schedule is war-
used and certify that each instrument
ranted by consideration of the fol-
is properly calibrated and tested.
lowing:
(m) Specific licenses, including ex-
(1) Whether it is technically feasible
pired licenses, will be terminated by
to complete decommissioning within
written notice to the licensee when the
the allotted 24-month period;
Commission determines that—
(2) Whether sufficient waste disposal
capacity is available to allow comple- (1) The decommissioning has been
tion of decommissioning within the al- performed in accordance with the ap-
lotted 24-month period; proved final decommissioning plan and
(3) Whether a significant volume re- the order authorizing decommis-
duction in wastes requiring disposal sioning; and
will be achieved by allowing short- (2)(i) A radiation survey has been per-
lived radionuclides to decay; formed which demonstrates that the
(4) Whether a significant reduction in premises are suitable for release in ac-
radiation exposure to workers can be cordance with the criteria for decom-
achieved by allowing short-lived radio- missioning in 10 CFR part 20, subpart
nuclides to decay; and E; or
(5) Other site-specific factors that the (ii) Other information submitted by
Commission may consider appropriate the licensee is sufficient to dem-
on a case-by-case basis, such as regu- onstrate that the premises are suitable
latory requirements of other govern- for release in accordance with the cri-
ment agencies, lawsuits, ground-water teria for decommissioning in 10 CFR
treatment activities, monitored nat- part 20, subpart E.
ural ground-water restoration, actions (3) Records required by § 72.80(e) have
that could result in more environ- been received.
mental harm than deferred cleanup, [59 FR 36038, July 15, 1994, as amended at 60
and other factors beyond the control of
FR 38240, July 26, 1995; 61 FR 24675, May 16,

the licensee. 1996; 61 FR 29638, June 12, 1996; 62 FR 39092,
(l) As the final step in decommis- July 21, 1997; 62 FR 59276, Nov. 3, 1997; 66 FR
sioning, the licensee shall— 51840, Oct. 11, 2001]
409
§ 72.56 10 CFR Ch. I (1–1–11 Edition)
§ 72.56 Application for amendment of portance to the national defense and

license. security or to the health and safety of
Whenever a holder of a specific li- the public, the Commission may cause
cense desires to amend the license (in- the taking of possession of any special
cluding a change to the license condi- nuclear material contained in spent
tions), an application for an amend- fuel and/or reactor-related GTCC waste
ment shall be filed with the Commis- held by the licensee before following
sion fully describing the changes de- any of the procedures provided under
sired and the reasons for such changes, sections 551–558 of title 5 of the United
and following as far as applicable the States Code.
form prescribed for original applica- [53 FR 31658, Aug. 19, 1988, as amended at 66
tions. FR 51841, Oct. 11, 2001]
[64 FR 53616, Oct. 4, 1999] § 72.62 Backfitting.
§ 72.58 Issuance of amendment. (a) As used in this section, backfitting
In determining whether an amend- means the addition, elimination, or
ment to a license will be issued to the modification, after the license has been
applicant, the Commission will be issued, of:
guided by the considerations that gov- (1) Structures, systems, or compo-
ern the issuance of initial licenses. nents of an ISFSI or MRS, or
(2) Procedures or organization re-
§ 72.60 Modification, revocation, and quired to operate an ISFSI or MRS.
suspension of license. (b) The Commission will require
(a) The terms and conditions of all li- backfitting of an ISFSI or MRS if it
censes are subject to amendment, revi- finds that such action is necessary to
sion, or modification by reason of assure adequate protection to occupa-
amendments to the Atomic Energy Act tional or public health and safety, or to
of 1954, as amended, or by reason or bring the ISFSI or MRS into compli-
rules, regulations, or orders issued in ance with a license or the rules or or-
accordance with the Act or any amend- ders of the Commission, or into con-
ments thereto. formance with written commitments
(b) Any license may be modified, re- by a licensee.
voked, or suspended in whole or in part (c) The Commission may require the
for any of the following: backfitting of an ISFSI or MRS if it
(1) Any material false statement in finds:
the application or in any statement of (1) That there is a substantial in-
fact required under section 182 of the crease in the overall protection of the
Act; occupational or public health and safe-
(2) Conditions revealed by the appli- ty to be derived from the backfit, and
cation or statement of fact or any re- (2) That the direct and indirect costs
port, record, inspection or other means of implementation for that ISFSI or
which would warrant the Commission MRS are justified in view of this in-
to refuse to grant a license on an origi- creased protection.
nal application; (d) The Commission may at any time
(3) Failure to operate an ISFSI or require a holder of a license to submit
MRS in accordance with the terms of such information concerning the
the license; backfitting or the proposed backfitting
(4) Violation of, or failure to observe, of an ISFSI or MRS as it deems appro-
any of the terms and conditions of the priate.
Act, or of any applicable regulation, li-
cense, or order of the Commission. Subpart D—Records, Reports,
(c) Upon revocation of a license, the Inspections, and Enforcement
Commission may immediately cause
the retaking of possession of all special § 72.70 Safety analysis report updat-
nuclear material contained in spent ing.
fuel and/or reactor-related GTCC waste (a) Each specific licensee for an
held by the licensee. In cases found by ISFSI or MRS shall update periodi-
the Commission to be of extreme im- cally, as provided in paragraphs (b) and
410
(c) of this section, the final safety anal- (2) A paper update filed on a page-re-
ysis report (FSAR) to assure that the placement basis must include a list
information included in the report con- that identifies the current pages of the
tains the latest information developed. FSAR following page replacement. If
(1) Each licensee shall submit an the update is filed electronically on a
original FSAR to the Commission, in full replacement basis, it must include
accordance with § 72.4, within 90 days a list of changed pages.
after issuance of the license. (3) Each replacement page shall in-
(2) The original FSAR shall be based clude both a change indicator for the
on the safety analysis report submitted area changed, e.g., a bold line
with the application and reflect any vertically drawn in the margin adja-
changes and applicant commitments cent to the portion actually changed,
developed during the license approval and a page change identification (date
and/or hearing process. of change or change number or both);
(b) Each update shall contain all the (4) The update shall include:
changes necessary to reflect informa- (i) A certification by a duly author-
tion and analyses submitted to the ized officer of the licensee that either
Commission by the licensee or pre- the information accurately presents
pared by the licensee pursuant to Com- changes made since the previous sub-
mission requirement since the submis- mittal, or that no such changes were
sion of the original FSAR or, as appro- made; and
priate, the last update to the FSAR (ii) An identification of changes
under this section. The update shall in- made under the provisions of § 72.48,
clude the effects 1 of: but not previously submitted to the
(1) All changes made in the ISFSI or Commission;
MRS or procedures as described in the (5) The update shall reflect all
FSAR; changes implemented up to a max-
(2) All safety analyses and evalua- imum of 6 months prior to the date of
tions performed by the licensee either filing; and
in support of approved license amend-
(6) Updates shall be filed every 24
ments, or in support of conclusions
months from the date of issuance of
that changes did not require a license
the license.
amendment in accordance with § 72.48;
(d) The updated FSAR shall be re-
(3) All final analyses and evaluations
tained by the licensee until the Com-
of the design and performance of struc-
mission terminates the license.
tures, systems, and components that
are important to safety taking into ac- [64 FR 53616, Oct. 4, 1999, as amended at 68 FR
count any pertinent information devel- 58819, Oct. 10, 2003; 74 FR 62684, Dec. 1, 2009]
oped during final design, construction,
and preoperational testing; and § 72.72 Material balance, inventory,
(4) All analyses of new safety issues and records requirements for
performed by or on behalf of the li- stored materials.
censee at Commission request. The in- (a) Each licensee shall keep records
formation shall be appropriately lo- showing the receipt, inventory (includ-
cated within the updated FSAR. ing location), disposal, acquisition, and
(c)(1) The update of the FSAR must transfer of all special nuclear material
be filed in accordance with § 72.4. If the with quantities as specified in § 74.13(a)
update is filed on paper, it should be of this chapter and for source material
filed on a page-replacement basis; if as specified in § 40.64 of this chapter.
filed electronically, it should be filed The records must include as a min-
on a full replacement basis. See Guid- imum the name of shipper of the mate-
ance for Electronic Submissions to the rial to the ISFSI or MRS, the esti-
Commission at http://www.nrc.gov/site- mated quantity of radioactive material
help/e-submittals.html. per item (including special nuclear ma-
terial in spent fuel and reactor-related
GTCC waste), item identification and
1 Effects of changes includes appropriate
revisions of descriptions in the FSAR such seal number, storage location, onsite
that the FSAR (as updated) is complete and movements of each fuel assembly or
accurate. storage canister, and ultimate disposal.
411
§ 72.74 10 CFR Ch. I (1–1–11 Edition)
These records for spent fuel and reac- § 72.74 Reports of accidental criticality
tor-related GTCC waste at an ISFSI or or loss of special nuclear material.
for spent fuel, high-level radioactive (a) Each licensee shall notify the
waste, and reactor-related GTCC waste NRC Operations Center 1 within one
at an MRS must be retained for as long hour of discovery of accidental criti-
as the material is stored and for a pe- cality or any loss of special nuclear
riod of 5 years after the material is dis- material.
posed of or transferred out of the ISFSI (b) This notification must be made to
or MRS. the NRC Operations Center via the
(b) Each licensee shall conduct a Emergency Notification System if the
physical inventory of all spent fuel, licensee is party to that system. If the
high-level radioactive waste, and reac- Emergency Notification System is in-
tor-related GTCC waste containing spe- operative or unavailable, the licensee
shall make the required notification
cial nuclear material meeting the re-
via commercial telephonic service or
quirements in paragraph (a) of this sec-
any other dedicated telephonic system
tion at intervals not to exceed 12 or any other method that will ensure
months unless otherwise directed by that a report is received by the NRC
the Commission. The licensee shall re- Operations Center within one hour.
tain a copy of the current inventory as The exemption of § 73.21(g)(3) of this
a record until the Commission termi- chapter applies to all telephonic re-
nates the license. ports required by this section.
(c) Each licensee shall establish, (c) Reports required under § 73.71 of
maintain, and follow written material this chapter need not be duplicated
control and accounting procedures that under the requirements of this section.
are sufficient to enable the licensee to [53 FR 31658, Aug. 19, 1988, as amended at 59
account for material in storage. The li- FR 14087, Mar. 25, 1994]
censee shall retain a copy of the cur-
rent material control and accounting § 72.75 Reporting requirements for
procedures until the Commission ter- specific events and conditions.
minates the license. (a) Emergency notifications: Each li-
(d) Records of spent fuel, high-level censee shall notify the NRC Head-
radioactive waste, and reactor-related quarters Operations Center upon the
GTCC waste containing special nuclear declaration of an emergency as speci-
material meeting the requirements in fied in the licensee’s approved emer-
paragraph (a) of this section must be gency plan addressed in § 72.32. The li-
censee shall notify the NRC imme-
kept in duplicate. The duplicate set of
diately after notification of the appro-
records must be kept at a separate lo-
priate State or local agencies, but not
cation sufficiently remote from the later than one hour after the time the
original records that a single event licensee declares an emergency.
would not destroy both sets of records. (b) Non-emergency notifications: Four-
Records of spent fuel or reactor-related hour reports. Each licensee shall notify
GTCC waste containing special nuclear the NRC as soon as possible but not
material transferred out of an ISFSI or later than four hours after the dis-
of spent fuel, high-level radioactive covery of any of the following events or
waste, or reactor-related GTCC waste conditions involving spent fuel, HLW,
containing special nuclear material or reactor-related GTCC waste:
transferred out of an MRS must be pre- (1) An action taken in an emergency
served for a period of five years after that departs from a condition or a
the date of transfer. technical specification contained in a
license or certificate of compliance
[53 FR 31658, Aug. 19, 1988, as amended at 66 issued under this part when the action
FR 51841, Oct. 11, 2001; 73 FR 32462, June 9, is immediately needed to protect the
2008] public health and safety, and no action
consistent with license or certificate of
1 Commercial telephone number of the NRC
Operations Center is (301) 816-5100.
412
compliance conditions or technical weekend, or a Federal holiday. In these

specifications that can provide ade- cases, the licensee shall notify the NRC
quate or equivalent protection is im- before 8:00 a.m. Eastern time on the
mediately apparent. next working day.
(2) Any event or situation related to (e) Initial notification: Reports made
the health and safety of the public or by licensees in response to the require-
onsite personnel, or protection of the ments of this section must be made as
environment, for which a news release follows:
is planned or notification to other Gov- (1) Licensees shall make reports re-
ernment agencies has been or will be quired by paragraphs (a), (b), (c), or (d)
made. Such an event may include an of this section by telephone to the NRC
onsite fatality or inadvertent release of Headquarters Operations Center. 2
radioactively contaminated materials. (2) When making a report under para-
(c) Non-emergency notifications: Eight- graphs (a), (b), (c), or (d) of this sec-
hour reports. Each licensee shall notify tion, the licensee shall identify:
the NRC as soon as possible but not (i) The Emergency Class declared; or
later than eight hours after the dis- (ii) Paragraph (b), ‘‘four-hour re-
covery of any of the following events or ports,’’ paragraph (c), ‘‘eight-hour re-
conditions involving spent fuel, HLW, ports,’’ or paragraph (d), ‘‘24-hour re-
or reactor-related GTCC waste: ports,’’ as the paragraph of this section
(1) A defect in any spent fuel, HLW, requiring notification of the non-emer-
or reactor-related GTCC waste storage gency event.
structure, system, or component that (3) To the extent that the informa-
is important to safety. tion is available at the time of notifi-
(2) A significant reduction in the ef- cation, the information provided in
fectiveness of any spent fuel, HLW, or these reports must include:
reactor-related GTCC waste storage (i) The caller’s name and call back
confinement system during use. telephone number;
(3) Any event requiring the transport (ii) A description of the event, in-
of a radioactively contaminated person cluding date and time;
to an offsite medical facility for treat- (iii) The exact location of the event;
ment. (iv) The quantities and chemical and
(d) Non-emergency notifications: 24- physical forms of the spent fuel, HLW,
hour reports. Each licensee shall notify or reactor-related GTCC waste involved
the NRC within 24 hours after the dis- in the event; and
covery of any of the following events (v) Any personnel radiation exposure
involving spent fuel, HLW, or reactor- data.
related GTCC waste: (f) Follow-up notification: With re-
(1) An event in which important to spect to the telephone notifications
safety equipment is disabled or fails to made under paragraphs (a), (b), (c) or
function as designed when: (d) of this section, in addition to mak-
(i) The equipment is required by reg- ing the required initial notification,
ulation, license condition, or certifi- each licensee shall during the course of
cate of compliance to be available and the event:
operable to prevent releases that could (1) Immediately report any further
exceed regulatory limits, to prevent degradation in the level of safety of the
exposures to radiation or radioactive ISFSI or MRS or other worsening con-
materials that could exceed regulatory ditions, including those that require
limits, or to mitigate the consequences the declaration of any of the Emer-
of an accident; and gency Classes, if such a declaration has
(ii) No redundant equipment was not been previously made; or any
available and operable to perform the change from one Emergency Class to
required safety function.
(2) For notifications made under this 2 The commercial telephone number of the
paragraph, the licensee may delay the NRC Headquarters Operations Center is (301)
notification to the NRC if the end of
816–5100. Those licensees with an available

the 24-hour period occurs outside of the Emergency Notification System (ENS) shall
NRC’s normal working day (i.e., 7:30 use the ENS to notify the NRC Headquarters
a.m. to 5:00 p.m. Eastern time), on a Operations Center.
413
§ 72.75 10 CFR Ch. I (1–1–11 Edition)
another; or a termination of the Emer- (v) The failure mode, mechanism, and
gency Class. effect of each failed component, if
(2) Immediately report the results of known;
ensuing evaluations or assessments of (vi) A list of systems or secondary
ISFSI or MRS conditions; the effec- functions that were also affected for
tiveness of response or protective failures of components with multiple
measures taken; and information re- functions;
lated to ISFSI or MRS behavior that is (vii) For wet spent fuel storage sys-
not understood. tems only, after the failure that ren-
(3) Maintain an open, continuous dered a train of a safety system inoper-
communication channel with the NRC able, an estimate of the elapsed time
Headquarters Operations Center upon from the discovery of the failure until
request by the NRC. the train was returned to service;
(g) Preparation and submission of writ- (viii) The method of discovery of
ten reports. Each licensee who makes an each component or system failure or
initial notification required by para- procedural error;
graphs (b)(1), (c)(1), (c)(2), or (d)(1) of (ix) For each human performance re-
this section shall also submit a written lated root cause, the licensee shall dis-
follow-up report to the Commission cuss the cause(s) and circumstances;
within 60 days of the initial notifica- (x) For wet spent fuel storage sys-
tion. Written reports prepared pursu- tems only, any automatically and
ant to other regulations may be sub- manually initiated safety system re-
mitted to fulfill this requirement if the sponses;
reports contain all the necessary infor- (xi) The manufacturer and model
mation and the appropriate distribu- number (or other identification) of
tion is made. These written reports each component that failed during the
must be of sufficient quality to permit event; and
legible reproduction and optical scan- (xii) The quantities and chemical and
ning and must be submitted to the physical forms of the spent fuel, HLW,
NRC in accordance with § 72.4. These or reactor-related GTCC waste involved
reports must include the following in- in the event;
formation: (3) An assessment of the safety con-
(1) A brief abstract describing the sequences and implications of the
major occurrences during the event, in- event. This assessment must include
cluding all component or system fail- the availability of other systems or
ures that contributed to the event and components that could have performed
significant corrective action taken or the same function as the components
planned to prevent recurrence; and systems that failed during the
(2) A clear, specific, narrative de- event;
scription of the event that occurred so (4) A description of any corrective ac-
that knowledgeable readers conversant tions planned as a result of the event,
with the design of an ISFSI or MRS, including those to reduce the prob-
but not familiar with the details of a ability of similar events occurring in
particular facility, can understand the the future;
complete event. The narrative descrip- (5) Reference to any previous similar
tion must include the following spe- events at the same facility that are
cific information as appropriate for the known to the licensee;
particular event: (6) The name and telephone number
(i) The ISFSI or MRS operating con- of a person within the licensee’s orga-
ditions before the event; nization who is knowledgeable about
(ii) The status of structures, compo- the event and can provide additional
nents, or systems that were inoperable information concerning the event and
at the start of the event and that con- the facility’s characteristics; and
tributed to the event; (7) The extent of exposure of individ-
(iii) The dates and approximate times uals to radiation or to radioactive ma-
of occurrences; terials without identification of indi-
(iv) The cause of each component or viduals by name.

system failure or personnel error, if (h) Supplemental information: The
known; Commission may require the licensee
414
to submit specific additional informa- required by § 72.72(b). The Commission

tion beyond that required by paragraph may, when good cause is shown, permit
(g) of this section if the Commission a licensee to submit Material Balance
finds that supplemental material is Reports and Physical Inventory List-
necessary for complete understanding ing Reports at other times. Each li-
of an unusually complex or significant censee required to report material bal-
event. These requests for supplemental ance and inventory information as de-
information will be made in writing, scribed in this part, shall resolve any
and the licensee shall submit, as speci- discrepancies identified during the re-
fied in § 72.4, the requested information
port review and reconciliation process
as a supplement to the initial written
report. within 30 calendar days of notification
(i) Applicability: The requirements of of a discrepancy identified by NRC. The
this section apply to: Commission’s copy of this report must
(1)(i) Licensees issued a specific li- be submitted to the address specified in
cense under § 72.40; and the instructions. These prescribed,
(ii) Licensees issued a general license computer-readable forms replace the
under § 72.210, after the licensee has DOE/NRC Forms 742 and 742C pre-
placed spent fuel on the ISFSI storage viously submitted in paper form.
pad (if the ISFSI is located inside the (b) Any licensee who is required to
collocated protected area, for a reactor submit routine material status reports
licensed under part 50 of this chapter) pursuant to § 75.35 of this chapter (per-
or after the licensee has transferred taining to implementation of the US/
spent fuel waste outside the reactor li- IAEA Safeguards Agreement) shall pre-
censee’s protected area to the ISFSI pare and submit such reports only as
storage pad (if the ISFSI is located provided in that section instead of as
outside the collocated protected area,
provided in paragraph (a) of this sec-
for a reactor licensed under part 50 of
tion.
this chapter).
(2) Those non-emergency events spec- [53 FR 31658, Aug. 19, 1988, as amended at 59
ified in paragraphs (b), (c), and (d) of FR 35620, July 13, 1994; 66 FR 51841, Oct. 11,
this section that occurred within 3 2001; 67 FR 78143, Dec. 23, 2002; 68 FR 58819,
years of the date of discovery. Oct. 10, 2003; 73 FR 32462, June 9, 2008]
[68 FR 33615, June 5, 2003] § 72.78 Nuclear material transaction
§ 72.76 Material status reports. reports.
(a) Except as provided in paragraph (a) Except as provided in paragraph
(b) of this section, each licensee shall (b) of this section, whenever the li-
complete in computer-readable format censee transfers or receives or adjusts
and submit to the Commission a Mate- the inventory, in any manner, of spe-
rial Balance Report and a Physical In- cial nuclear material as specified by
ventory Listing Report as specified in § 74.15 and/or source material as speci-
the instructions in NUREG/BR–0007 and fied by § 40.64 of this chapter, the li-
NMMSS Report D–24 ‘‘Personal Com- censee shall complete in computer-
puter Data Input for NRC Licensees.’’ readable format a Nuclear Material
Copies of these instructions may be ob- Transaction Report as specified in the
tained either by writing to the U.S. instructions in NUREG/BR–0006 and
Nuclear Regulatory Commission, Divi- NMMSS Report D–24, ‘‘Personal Com-
sion of Fuel Cycle Safety and Safe- puter Data Input for NRC Licensees.’’
guards, Washington, DC 20555–0001, or Copies of these instructions may be ob-
by e-mail to RidsNmssFcss@nrc.gov. tained either by writing to the U.S.
These reports, as specified by § 74.13 or Nuclear Regulatory Commission, Divi-
40.64 of this chapter, provide informa-
sion of Fuel Cycle Safety and Safe-
tion concerning the special nuclear
guards, Washington, DC 20555–0001, or
material and/or source material pos-
sessed, received, transferred, disposed by e-mail to RidsNmssFcss@nrc.gov.
of, or lost by the licensee. Each report Each licensee who transfers the mate-
must be submitted within 60 days of rial shall submit a Nuclear Material
the beginning of the physical inventory
415
§ 72.79 10 CFR Ch. I (1–1–11 Edition)
Transaction Report in computer-read- § 72.80 Other records and reports.

able format as specified in the instruc-
(a) Each licensee shall maintain any
tions no later than the close of busi-
records and make any reports that may
ness the next working day. Each li-
be required by the conditions of the li-
censee who receives the material shall
cense or by the rules, regulations, and
submit a Nuclear Material Transaction
orders of the Commission in effec-
Report in computer-readable format in
tuating the purposes of the Act.
accordance with instructions within
(b) Each licensee shall furnish a copy
ten (10) days after the material is re-
of its annual financial report, including
ceived. Each ISFSI licensee who re-
the certified financial statements, to
ceives spent fuel from a foreign source
the Commission. However, licensees
shall complete both the supplier’s and
who submit a Form 10–Q with the Secu-
the receiver’s portion of the Nuclear
rities and Exchange Commission or a
Material Transaction Report, verify
Form 1 with the Federal Energy Regu-
the identity of the spent fuel, and indi-
latory Commission, need not submit
cate the results on the receiver’s por-
the annual financial report or a cer-
tion of the form. These prescribed com-
tified financial statement under this
puter-readable forms replace the DOE/
paragraph.
NRC Form 741 which have been pre-
viously submitted in paper form. (c) Records that are required by the
regulations in this part or by the li-
(b) Any licensee who is required to
submit Nuclear Material Transactions cense conditions must be maintained
Reports pursuant to § 75.34 of this chap- for the period specified by the appro-
ter (pertaining to implementation of priate regulation or license condition.
the US/IAEA Safeguards Agreement) If a retention period is not otherwise
shall prepare and submit the reports specified, the above records must be
only as provided in that section instead maintained until the Commission ter-
of as provided in paragraph (a) of this minates the license.
section. (d) Any record that must be main-
tained pursuant to this part may be ei-
[59 FR 35621, July 13, 1994, as amended at 66 ther the original or a reproduced copy
FR 51841, Oct. 11, 2001; 68 FR 58819, Oct. 10, by any state of the art method pro-
2003; 73 FR 32463, June 9, 2008]
vided that any reproduced copy is duly
§ 72.79 Facility information and authenticated by authorized personnel
verification. and is capable of producing a clear and
legible copy after storage for the pe-
(a) In response to a written request
riod specified by Commission regula-
by the Commission, each applicant for
tions.
a certificate of compliance or license
(e) Prior to license termination, the
and each recipient of a certificate of
licensee shall forward records required
compliance or specific or general li-
by §§ 20.2103(b)(4) and 72.30(d) to the ap-
cense shall submit facility informa-
propriate NRC Regional Office.
tion, as described in § 75.10 of this chap-
ter, on Form N–71 and associated forms (f) If licensed activities are trans-
and site information on DOC/NRC ferred or assigned in accordance with
Form AP–A and associated forms; § 72.44(b)(1), the licensee shall transfer
the records required by §§ 20.2103(b)(4)
(b) Shall submit location information
described in § 75.11 of this chapter on and 72.30(d) to the new licensee and the
DOC/NRC Form AP–1 and associated new licensee will be responsible for
forms; and maintaining these records until the li-
cense is terminated.
(c) Shall permit verification thereof
by the International Atomic Energy (g) Each specific licensee shall notify
Agency (IAEA) and take other action the Commission, in accordance with
as necessary to implement the US/ § 72.4, of its readiness to begin oper-
ation at least 90 days prior to the first
IAEA Safeguards Agreement, as de-

scribed in part 75 of this chapter. storage of spent fuel, high-level waste,
[73 FR 78607, Dec. 23, 2008]
416
or reactor-related GTCC waste in an equipment will be furnished by the

ISFSI or an MRS. Commission.
[53 FR 31658, Aug. 19, 1988, as amended at 61 (3) Each licensee under this part shall
FR 24675, May 16, 1996; 64 FR 53616, Oct. 4, afford any NRC resident inspector as-
1999; 66 FR 51841, Oct. 11, 2001; 71 FR 29247, signed to that site, or other NRC in-
May 22, 2006] spectors identified by the Regional Ad-
ministrator as likely to inspect the in-
§ 72.82 Inspections and tests. stallation, immediate unfettered ac-
(a) Each licensee under this part cess, equivalent to access provided reg-
shall permit duly authorized represent- ular plant employees, following proper
atives of the Commission to inspect its identification and compliance with ap-
records, premises, and activities and of plicable access control measures for se-
spent fuel, high-level radioactive curity, radiological protection, and
waste, or reactor-related GTCC waste personal safety.
in its possession related to the specific (d) Each licensee shall perform, or
license as may be necessary to meet permit the Commission to perform,
the objectives of the Act, including such tests as the Commission deems
section 105 of the Act.
appropriate or necessary for the admin-
(b) Each licensee under this part
istrator of the regulations in this part.
shall make available to the Commis-
sion for inspection, upon reasonable [53 FR 31658, Aug. 19, 1988, as amended at 64
notice, records kept by the licensee FR 17512, Apr. 12, 1999; 66 FR 51842, Oct. 11,
pertaining to its receipt, possession, 2001]
packaging, or transfer of spent fuel,
high-level radioactive waste, or reac- § 72.84 Violations.
tor-related GTCC waste. (a) The Commission may obtain an
(c)(1) Each licensee under this part injunction or other court order to pre-
shall upon request by the Director, Of- vent a violation of the provisions of—
fice of Nuclear Material Safety and (1) The Atomic Energy Act of 1954, as
Safeguards or the appropriate NRC Re- amended;
gional Administrator provide rent-free (2) Title II of the Energy Reorganiza-
office space for the exclusive use of the tion Act of 1974, as amended; or
Commission inspection personnel.
(3) A regulation or order issued pur-
Heat, air conditioning, light, electrical
suant to those Acts.
outlets and janitorial services shall be
furnished by each licensee. The office (b) The Commission may obtain a
shall be convenient to and have full ac- court order for the payment of a civil
cess to the installation and shall pro- penalty imposed under section 234 of
vide the inspector both visual and the Atomic Energy Act:
acoustic privacy. (1) For violations of—
(2) For a site with a single storage in- (i) Sections 53, 57, 62, 63, 81, 82, 101,
stallation the space provided shall be 103, 104, 107, or 109 of the Atomic En-
adequate to accommodate a full-time ergy Act of 1954, as amended;
inspector, a part-time secretary, and (ii) Section 206 of the Energy Reorga-
transient NRC personnel and will be nization Act;
generally commensurate with other of- (iii) Any rule, regulation, or order
fice facilities at the site. A space of 250 issued pursuant to the sections speci-
sq. ft., either within the site’s office fied in paragraph (b)(1)(i) of this sec-
complex or in an office trailer, or other tion;
onsite space, is suggested as a guide. (iv) Any term, condition, or limita-
For sites containing multiple facilities, tion of any license issued under the
additional space may be requested to sections specified in paragraph (b)(1)(i)
accommodate additional full-time in- of this section.
spectors. The office space that is pro- (2) For any violation for which a li-
vided shall be subject to the approval cense may be revoked under Section
of the Director, Office of Nuclear Mate-
186 of the Atomic Energy Act of 1954, as

rial Safety and Safeguards or the ap-
amended.
propriate NRC Regional Administrator.
All furniture, supplies and Commission [57 FR 55078, Nov. 24, 1992]
417
§ 72.86 10 CFR Ch. I (1–1–11 Edition)
§ 72.86 Criminal penalties. an MRS, the potential for radiological

(a) Section 223 of the Atomic Energy and other environmental impacts on
Act of 1954, as amended, provides for the region must be evaluated with due
criminal sanctions for willful violation consideration of the characteristics of
of, attempted violation of, or con- the population, including its distribu-
spiracy to violate, any regulation tion, and of the regional environs, in-
issued under sections 161b, 161i, or 161o cluding its historical and esthetic val-
of the Act. For purposes of section 223, ues.
all the regulations in part 72 are issued (f) The facility must be sited so as to
under one or more of sections 161b, 161i, avoid to the extent possible the long-
or 161o, except for the sections listed in term and short-term adverse impacts
paragraph (b) of this section. associated with the occupancy and
(b) The regulations in Part 72 that modification of floodplains.
or 161o for the purposes of section 223 § 72.92 Design basis external natural
are as follows: §§ 72.1, 72.2, 72.3, 72.4, events.
72.5, 72.7, 72.8, 72.9, 72.13, 72.16, 72.18, (a) Natural phenomena that may
72.20, 72.22, 72.24, 72.26, 72.28, 72.32, 72.34, exist or that can occur in the region of
72.40, 72.46, 72.56, 72.58, 72.60, 72.62, 72.84, a proposed site must be identified and
72.86, 72.90, 72.96, 72.108, 72.120, 72.122, assessed according to their potential
72.124, 72.126, 72.128, 72.130, 72.182, 72.194, effects on the safe operation of the
72.200, 72.202, 72.204, 72.206, 72.210, 72.214, ISFSI or MRS. The important natural
72.220, 72.230, 72.238, and 72.240. phenomena that affect the ISFSI or
[57 FR 55078, Nov. 24, 1992, as amended at 59 MRS design must be identified.
FR 36040, July 13, 1994; 64 FR 53616, Oct. 4, (b) Records of the occurrence and se-
1999; 64 FR 56122, Oct. 15, 1999; 65 FR 50617, verity of those important natural phe-
Aug. 21, 2000]
nomena must be collected for the re-
gion and evaluated for reliability, ac-
Subpart E—Siting Evaluation curacy, and completeness. The appli-
Factors cant shall retain these records until
the license is issued.
(c) Appropriate methods must be
(a) Site characteristics that may di- adopted for evaluating the design basis
rectly affect the safety or environ- external natural events based on the
mental impact of the ISFSI or MRS characteristics of the region and the
must be investigated and assessed. current state of knowledge about such
(b) Proposed sites for the ISFSI or events.
MRS must be examined with respect to
the frequency and the severity of exter- § 72.94 Design basis external man-in-
nal natural and man-induced events duced events.
that could affect the safe operation of
(a) The region must be examined for
the ISFSI or MRS.
both past and present man-made facili-
(c) Design basis external events must
be determined for each combination of ties and activities that might endanger
proposed site and proposed ISFSI or the proposed ISFSI or MRS. The im-
MRS design. portant potential man-induced events
(d) Proposed sites with design basis that affect the ISFSI or MRS design
external events for which adequate pro- must be identified.
tection cannot be provided through (b) Information concerning the po-
ISFSI or MRS design shall be deemed tential occurrence and severity of such
unsuitable for the location of the events must be collected and evaluated
ISFSI or MRS. for reliability, accuracy, and complete-
(e) Pursuant to subpart A of part 51 ness.
of this chapter for each proposed site (c) Appropriate methods must be
for an ISFSI and pursuant to sections adopted for evaluating the design basis
141 or 148 of NWPA, as appropriate (96 external man-induced events, based on

Stat. 2241, 101 Stat. 1330–235, 42 U.S.C. the current state of knowledge about
10161, 10168) for each proposed site for such events.
418
§ 72.96 Siting limitations. gional impacts must be determined on

(a) An ISFSI which is owned and op- the basis of potential measurable ef-
erated by DOE must not be located at fects on the population or the environ-
any site within which there is a can- ment from ISFSI or MRS activities.
didate site for a HLW repository. This (c) Those regions identified pursuant
limitation shall apply until such time to paragraphs (a) and (b) of this section
as DOE decides that such candidate must be investigated as appropriate
site is no longer a candidate site under with respect to:
(1) The present and future character
consideration for development as a
and the distribution of population,
HLW repository.
(2) Consideration of present and pro-
(b) An MRS must not be sited in any
jected future uses of land and water
State in which there is located any site
within the region, and
approved for site characterization for a
(3) Any special characteristics that
HLW repository. This limitation shall
may influence the potential con-
apply until such time as DOE decides
sequences of a release of radioactive
that the candidate site is no longer a
material during the operational life-
candidate site under consideration for
time of the ISFSI or MRS.
development as a repository. This limi-
tation shall continue to apply to any § 72.100 Defining potential effects of
site selected for construction as a re- the ISFSI or MRS on the region.
pository.
(a) The proposed site must be evalu-
(c) If an MRS is located, or is planned
ated with respect to the effects on pop-
to be located, within 50 miles of the
ulations in the region resulting from
first HLW repository, any Commission
the release of radioactive materials
decision approving the first HLW re-
under normal and accident conditions
pository application must limit the
during operation and decommissioning
quantity of spent fuel or high-level ra-
of the ISFSI or MRS; in this evaluation
dioactive waste that may be stored.
both usual and unusual regional and
This limitation shall prohibit the stor-
site characteristics shall be taken into
age of a quantity of spent fuel con-
account.
taining in excess of 70,000 metric tons
(b) Each site must be evaluated with
of heavy metal, or a quantity of solidi-
respect to the effects on the regional
fied high-level radioactive waste re-
environment resulting from construc-
sulting from the reprocessing of such a
tion, operation, and decommissioning
quantity of spent fuel, in both the re-
for the ISFSI or MRS; in this evalua-
pository and the MRS until such time
tion both usual and unusual regional
as a second repository is in operation. and site characteristics must be taken
(d) An MRS authorized by section into account.
142(b) of NWPA (101 Stat. 1330–232, 42
U.S.C. 10162(b)) may not be constructed § 72.102 Geological and seismological
in the State of Nevada. The quantity of characteristics for applications be-
spent nuclear fuel or high-level radio- fore October 16, 2003 and applica-
active waste that may be stored at an tions for other than dry cask modes
MRS authorized by section 142(b) of of storage.
NWPA shall be subject to the limita- (a)(1) East of the Rocky Mountain
tions in § 72.44(g) of this part instead of Front (east of approximately 104° west
the limitations in paragraph (c) of this longitude), except in areas of known
section. seismic activity including but not lim-
ited to the regions around New Madrid,
§ 72.98 Identifying regions around an MO, Charleston, SC, and Attica, NY,
ISFSI or MRS site. sites will be acceptable if the results
(a) The regional extent of external from onsite foundation and geological
phenomena, man-made or natural, that investigation, literature review, and
are used as a basis for the design of the regional geological reconnaissance
ISFSI or MRS must be identified. show no unstable geological character-
(b) The potential regional impact due istics, soil stability problems, or poten-
to the construction, operation or de- tial for vibratory ground motion at the
commissioning of the ISFSI or MRS site in excess of an appropriate re-
must be identified. The extent of response spectrum anchored at 0.2 g.
419
§ 72.103 10 CFR Ch. I (1–1–11 Edition)
(2) For those sites that have been seismic activity including but not lim-
evaluated under paragraph (a)(1) of this ited to the regions around New Madrid,
section that are east of the Rocky MO; Charleston, SC; and Attica, NY;
Mountain Front, and that are not in sites will be acceptable if the results
areas of known seismic activity, a from onsite foundation and geological
standardized design earthquake (DE) investigation, literature review, and
described by an appropriate response regional geological reconnaissance
spectrum anchored at 0.25 g may be show no unstable geological character-
used. Alternatively, a site-specific DE istics, soil stability problems, or poten-
may be determined by using the cri- tial for vibratory ground motion at the
teria and level of investigations re- site in excess of an appropriate re-
quired by appendix A of part 100 of this sponse spectrum anchored at 0.2 g.
chapter. (2) For those sites that have been
(b) West of the Rocky Mountain evaluated under paragraph (a)(1) of this
Front (west of approximately 104° west section that are east of the Rocky
longitude), and in other areas of known Mountain Front, and that are not in
potential seismic activity, seismicity areas of known seismic activity, a
will be evaluated by the techniques of standardized design earthquake ground
appendix A of part 100 of this chapter. motion (DE) described by an appro-
Sites that lie within the range of priate response spectrum anchored at
strong near-field ground motion from 0.25 g may be used. Alternatively, a
historical earthquakes on large capable site-specific DE may be determined by
faults should be avoided. using the criteria and level of inves-
(c) Sites other than bedrock sites tigations required by paragraph (f) of
must be evaluated for their lique- this section. For a site with a co-lo-
faction potential or other soil insta- cated nuclear power plant (NPP), the
bility due to vibratory ground motion. existing geological and seismological
(d) Site-specific investigations and design criteria for the NPP may be
laboratory analyses must show that used. If the existing design criteria for
soil conditions are adequate for the the NPP is used and the site has mul-
proposed foundation loading. tiple NPPs, then the criteria for the
(e) In an evaluation of alternative most recent NPP must be used.
sites, those which require a minimum (b) West of the Rocky Mountain
of engineered provisions to correct site Front (west of approximately 104° west
deficiencies are preferred. Sites with longitude), and in other areas of known
unstable geologic characteristics potential seismic activity east of the
should be avoided. Rocky Mountain Front, seismicity
(f) The design earthquake (DE) for must be evaluated by the techniques
use in the design of structures must be presented in paragraph (f) of this sec-
determined as follows: tion. If an ISFSI or MRS is located on
(1) For sites that have been evaluated an NPP site, the existing geological
under the criteria of appendix A of 10 and seismological design criteria for
CFR part 100, the DE must be equiva- the NPP may be used. If the existing
lent to the safe shutdown earthquake design criteria for the NPP is used and
(SSE) for a nuclear power plant. the site has multiple NPPs, then the
(2) Regardless of the results of the in- criteria for the most recent NPP must
vestigations anywhere in the conti- be used.
nental U.S., the DE must have a value (c) Sites other than bedrock sites
for the horizontal ground motion of no must be evaluated for their lique-
less than 0.10 g with the appropriate re- faction potential or other soil insta-
sponse spectrum. bility due to vibratory ground motion.
(d) Site-specific investigations and
§ 72.103 Geological and seismological laboratory analyses must show that
characteristics for applications for soil conditions are adequate for the
dry cask modes of storage on or proposed foundation loading.
after October 16, 2003. (e) In an evaluation of alternative
(a)(1) East of the Rocky Mountain sites, those which require a minimum
Front (east of approximately 104° west of engineered provisions to correct site
longitude), except in areas of known deficiencies are preferred. Sites with
420
unstable geologic characteristics ally will be appropriate that the design

should be avoided. response spectra be smoothed spectra.
(f) Except as provided in paragraphs The DE for the site is determined con-
(a)(2) and (b) of this section, the DE for sidering the results of the investiga-
use in the design of structures, sys- tions required by paragraph (f)(1) of
tems, and components must be deter- this section. Uncertainties are inherent
mined as follows: in these estimates and must be ad-
(1) Geological, seismological, and engi- dressed through an appropriate anal-
neering characteristics. The geological, ysis, such as a probabilistic seismic
seismological, and engineering charac- hazard analysis (PSHA) or suitable sen-
teristics of a site and its environs must sitivity analyses.
be investigated in sufficient scope and (ii) Determination of the potential
detail to permit an adequate evalua- for surface tectonic and nontectonic
tion of the proposed site, to provide deformations. Sufficient geological,
sufficient information to support eval- seismological, and geophysical data
uations performed to arrive at esti- must be provided to clearly establish if
mates of the DE, and to permit ade- there is a potential for surface defor-
quate engineering solutions to actual mation.
or potential geologic and seismic ef- (iii) Determination of design bases
fects at the proposed site. The size of for seismically induced floods and
the region to be investigated and the water waves. The size of seismically in-
type of data pertinent to the investiga- duced floods and water waves that
tions must be determined based on the could affect a site from either locally
nature of the region surrounding the or distantly generated seismic activity
proposed site. Data on the vibratory must be determined.
ground motion, tectonic surface defor- (iv) Determination of siting factors
mation, nontectonic deformation, for other design conditions. Siting fac-
earthquake recurrence rates, fault ge- tors for other design conditions that
ometry and slip rates, site foundation must be evaluated include soil and
material, and seismically induced rock stability, liquefaction potential,
floods and water waves must be ob- and natural and artificial slope sta-
tained by reviewing pertinent lit- bility. Each applicant shall evaluate
erature and carrying out field inves- all siting factors and potential causes
tigations. However, each applicant of failure, such as, the physical prop-
shall investigate all geologic and seis- erties of the materials underlying the
mic factors (for example, volcanic ac- site, ground disruption, and the effects
tivity) that may affect the design and of vibratory ground motion that may
operation of the proposed ISFSI or affect the design and operation of the
MRS facility irrespective of whether proposed ISFSI or MRS.
these factors are explicitly included in (3) Regardless of the results of the in-
this section. vestigations anywhere in the conti-
(2) Geologic and seismic siting factors. nental U.S., the DE must have a value
The geologic and seismic siting factors for the horizontal ground motion of no
considered for design must include a less than 0.10 g with the appropriate re-
determination of the DE for the site, sponse spectrum.
the potential for surface tectonic and [68 FR 54159, Sept. 16, 2003]
nontectonic deformations, the design
bases for seismically induced floods § 72.104 Criteria for radioactive mate-
and water waves, and other design con- rials in effluents and direct radi-
ditions as stated in paragraph (f)(2)(iv) ation from an ISFSI or MRS.
of this section. (a) During normal operations and an-
(i) Determination of the Design ticipated occurrences, the annual dose
Earthquake Ground Motion (DE). The equivalent to any real individual who
DE for the site is characterized by both is located beyond the controlled area
horizontal and vertical free-field must not exceed 0.25 mSv (25 mrem) to
ground motion response spectra at the the whole body, 0.75 mSv (75 mrem) to
free ground surface. In view of the lim- the thyroid and 0.25 mSv (25 mrem) to
ited data available on vibratory ground any other critical organ as a result of
motions for strong earthquakes, it usu- exposure to:
421
§ 72.106 10 CFR Ch. I (1–1–11 Edition)
(1) Planned discharges of radioactive § 72.108 Spent fuel, high-level radio-

materials, radon and its decay products active waste, or reactor-related
excepted, to the general environment, greater than Class C waste trans-
(2) Direct radiation from ISFSI or portation.
MRS operations, and The proposed ISFSI or MRS must be
(3) Any other radiation from uranium evaluated with respect to the potential
fuel cycle operations within the region. impact on the environment of the
(b) Operational restrictions must be transportation of spent fuel, high-level
established to meet as low as is reason- radioactive waste, or reactor-related
ably achievable objectives for radio- GTCC waste within the region.
active materials in effluents and direct
[66 FR 51842, Oct. 11, 2001]
radiation levels associated with ISFSI
or MRS operations.
(c) Operational limits must be estab- Subpart F—General Design
lished for radioactive materials in Criteria
effluents and direct radiation levels as-
sociated with ISFSI or MRS operations
to meet the limits given in paragraph (a) As required by § 72.24, an applica-
(a) of this section. tion to store spent fuel or reactor-re-
lated GTCC waste in an ISFSI or to
store spent fuel, high-level radioactive
FR 54562, Oct. 13, 1998]
waste, or reactor-related GTCC waste
§ 72.106 Controlled area of an ISFSI or in an MRS must include the design cri-
MRS. teria for the proposed storage installa-
tion. These design criteria establish
(a) For each ISFSI or MRS site, a
the design, fabrication, construction,
controlled area must be established.
testing, maintenance and performance
(b) Any individual located on or be-
requirements for structures, systems,
yond the nearest boundary of the con-
and components important to safety as
trolled area may not receive from any
defined in § 72.3. The general design cri-
design basis accident the more limiting
teria identified in this subpart estab-
of a total effective dose equivalent of
lish minimum requirements for the de-
0.05 Sv (5 rem), or the sum of the deep-
sign criteria for an ISFSI or an MRS.
dose equivalent and the committed
Any omissions in these general design
dose equivalent to any individual organ
criteria do not relieve the applicant
or tissue (other than the lens of the
from the requirement of providing the
eye) of 0.5 Sv (50 rem). The lens dose
necessary safety features in the design
equivalent may not exceed 0.15 Sv (15
of the ISFSI or MRS.
rem) and the shallow dose equivalent
(b) The ISFSI must be designed to
to skin or any extremity may not ex-
store spent fuel and/or solid reactor-re-
ceed 0.5 Sv (50 rem). The minimum dis-
lated GTCC waste.
tance from the spent fuel, high-level
(1) Reactor-related GTCC waste may
radioactive waste, or reactor-related
not be stored in a cask that also con-
GTCC waste handling and storage fa-
tains spent fuel. This restriction does
cilities to the nearest boundary of the
not include radioactive materials that
controlled area must be at least 100
are associated with fuel assemblies
meters.
(e.g., control rod blades or assemblies,
(c) The controlled area may be tra-
thimble plugs, burnable poison rod as-
versed by a highway, railroad or water-
semblies, or fuel channels);
way, so long as appropriate and effec-
(2) Liquid reactor-related GTCC
tive arrangements are made to control
wastes may not be received or stored in
traffic and to protect public health and
an ISFSI; and
safety.
(3) If the ISFSI is a water-pool type
[53 FR 31658, Aug. 19, 1988, as amended at 63 facility, the reactor-related GTCC
FR 54562, Oct. 13, 1998; 66 FR 51842, Oct. 11, waste must be in a durable solid form
2001] with demonstrable leach resistance.
422
(c) The MRS must be designed to tenance, and testing of the ISFSI or
store spent fuel, solid high-level radio- MRS and to withstand postulated acci-
active waste, and/or solid reactor-re- dents.
lated GTCC waste. (2)(i) Structures, systems, and com-
(1) Reactor-related GTCC waste may ponents important to safety must be
not be stored in a cask that also con- designed to withstand the effects of
tains spent fuel. This restriction does natural phenomena such as earth-
not include radioactive materials asso- quakes, tornadoes, lightning, hurri-
ciated with fuel assemblies (e.g., con- canes, floods, tsunami, and seiches,
trol rod blades or assemblies, thimble without impairing their capability to
plugs, burnable poison rod assemblies, perform their intended design func-
or fuel channels); tions. The design bases for these struc-
(2) Liquid high-level radioactive tures, systems, and components must
wastes or liquid reactor-related GTCC reflect:
wastes may not be received or stored in
(A) Appropriate consideration of the
an MRS; and
most severe of the natural phenomena
(3) If the MRS is a water-pool type fa-
reported for the site and surrounding
cility, the high-level waste and reac-
tor-related GTCC waste must be in a area, with appropriate margins to take
durable solid form with demonstrable into account the limitations of the
leach resistance. data and the period of time in which
(d) The ISFSI or MRS must be de- the data have accumulated, and
signed, made of materials, and con- (B) Appropriate combinations of the
structed to ensure that there will be no effects of normal and accident condi-
significant chemical, galvanic, or other tions and the effects of natural phe-
reactions between or among the stor- nomena.
age system components, spent fuel, re- (ii) The ISFSI or MRS also should be
actor-related GTCC waste, and/or high designed to prevent massive collapse of
level waste including possible reaction building structures or the dropping of
with water during wet loading and un- heavy objects as a result of building
loading operations or during storage in structural failure on the spent fuel,
a water-pool type ISFSI or MRS. The high-level radioactive waste, or reac-
behavior of materials under irradiation tor-related GTCC waste or on to struc-
and thermal conditions must be taken tures, systems, and components impor-
into account. tant to safety.
(e) The NRC may authorize excep- (3) Capability must be provided for
tions, on a case-by-case basis, to the determining the intensity of natural
restrictions in paragraphs (b) and (c) of phenomena that may occur for com-
this section regarding the commingling parison with design bases of structures,
of spent fuel and reactor-related GTCC systems, and components important to
waste in the same cask. safety.
[66 FR 51842, Oct. 11, 2001] (4) If the ISFSI or MRS is located
over an aquifer which is a major water
§ 72.122 Overall requirements. resource, measures must be taken to
(a) Quality Standards. Structures, sys- preclude the transport of radioactive
tems, and components important to materials to the environment through
safety must be designed, fabricated, this potential pathway.
erected, and tested to quality stand- (c) Protection against fires and explo-
ards commensurate with the impor- sions. Structures, systems, and compo-
tance to safety of the function to be nents important to safety must be de-
performed. signed and located so that they can
(b) Protection against environmental continue to perform their safety func-
conditions and natural phenomena. (1) tions effectively under credible fire and
Structures, systems, and components explosion exposure conditions. Non-
important to safety must be designed combustible and heat-resistant mate-
to accommodate the effects of, and to rials must be used wherever practical
be compatible with, site characteris- throughout the ISFSI or MRS, particu-

tics and environmental conditions as- larly in locations vital to the control
sociated with normal operation, main- of radioactive materials and to the
423
§ 72.122 10 CFR Ch. I (1–1–11 Edition)
maintenance of safety control func- the pool water serves as a shield and a
tions. Explosion and fire detection, confinement medium for radioactive
alarm, and suppression systems shall materials, systems for maintaining
be designed and provided with suffi- water purity and the pool water level
cient capacity and capability to mini- must be designed so that any abnormal
mize the adverse effects of fires and ex- operations or failure in those systems
plosions on structures, systems, and from any cause will not cause the
components important to safety. The water level to fall below safe limits.
design of the ISFSI or MRS must in- The design must preclude installations
clude provisions to protect against ad- of drains, permanently connected sys-
verse effects that might result from ei- tems, and other features that could, by
ther the operation or the failure of the abnormal operations or failure, cause a
fire suppression system. significant loss of water. Pool water
(d) Sharing of structures, systems, and level equipment must be provided to
components. Structures, systems, and alarm in a continuously manned loca-
components important to safety must tion if the water level in the storage
not be shared between an ISFSI or pools falls below a predetermined level.
MRS and other facilities unless it is (3) Ventilation systems and off-gas
shown that such sharing will not im- systems must be provided where nec-
pair the capability of either facility to essary to ensure the confinement of
perform its safety functions, including airborne radioactive particulate mate-
the ability to return to a safe condition rials during normal or off-normal con-
in the event of an accident. ditions.
(e) Proximity of sites. An ISFSI or
(4) Storage confinement systems
MRS located near other nuclear facili-
must have the capability for contin-
ties must be designed and operated to
uous monitoring in a manner such that
ensure that the cumulative effects of
the licensee will be able to determine
their combined operations will not con-
when corrective action needs to be
stitute an unreasonable risk to the
taken to maintain safe storage condi-
health and safety of the public.
tions. For dry spent fuel storage, peri-
(f) Testing and maintenance of systems
odic monitoring is sufficient provided
and components. Systems and compo-
that periodic monitoring is consistent
nents that are important to safety
must be designed to permit inspection, with the dry spent fuel storage cask de-
maintenance, and testing. sign requirements. The monitoring pe-
(g) Emergency capability. Structures, riod must be based upon the spent fuel
systems, and components important to storage cask design requirements.
safety must be designed for emer- (5) The high-level radioactive waste
gencies. The design must provide for and reactor-related GTCC waste must
accessibility to the equipment of on- be packaged in a manner that allows
site and available offsite emergency fa- handling and retrievability without the
cilities and services such as hospitals, release of radioactive materials to the
fire and police departments, ambulance environment or radiation exposures in
service, and other emergency agencies. excess of part 20 limits. The package
(h) Confinement barriers and systems. must be designed to confine the high-
(1) The spent fuel cladding must be pro- level radioactive waste for the duration
tected during storage against degrada- of the license.
tion that leads to gross ruptures or the (i) Instrumentation and control systems.
fuel must be otherwise confined such Instrumentation and control systems
that degradation of the fuel during for wet spent fuel and reactor-related
storage will not pose operational safety GTCC waste storage must be provided
problems with respect to its removal to monitor systems that are important
from storage. This may be accom- to safety over anticipated ranges for
plished by canning of consolidated fuel normal operation and off-normal oper-
rods or unconsolidated assemblies or ation. Those instruments and control
other means as appropriate. systems that must remain operational
(2) For underwater storage of spent under accident conditions must be

fuel, high-level radioactive waste, or identified in the Safety Analysis Re-
reactor-related GTCC waste in which port. Instrumentation systems for dry
424
storage casks must be provided in ac- (ii) Reduce the margin of safety as
cordance with cask design require- defined in the basis for any technical
ments to monitor conditions that are specifications of either facility.
important to safety over anticipated (l) Retrievability. Storage systems
ranges for normal conditions and off- must be designed to allow ready re-
normal conditions. Systems that are trieval of spent fuel, high-level radio-
required under accident conditions active waste, and reactor-related GTCC
must be identified in the Safety Anal- waste for further processing or dis-
ysis Report. posal.
(j) Control room or control area. A con- [53 FR 31658, Aug. 19, 1988, as amended at 64
trol room or control area, if appro- FR 33184, June 22, 1999; 66 FR 51842, Oct. 11,
priate for the ISFSI or MRS design, 2001]
must be designed to permit occupancy
and actions to be taken to monitor the § 72.124 Criteria for nuclear criticality
ISFSI or MRS safely under normal con- safety.
ditions, and to provide safe control of (a) Design for criticality safety. Spent
the ISFSI or MRS under off-normal or fuel handling, packaging, transfer, and
accident conditions. storage systems must be designed to be
(k) Utility or other services. (1) Each maintained subcritical and to ensure
utility service system must be designed that, before a nuclear criticality acci-
to meet emergency conditions. The de- dent is possible, at least two unlikely,
sign of utility services and distribution independent, and concurrent or sequen-
systems that are important to safety tial changes have occurred in the con-
must include redundant systems to the ditions essential to nuclear criticality
extent necessary to maintain, with safety. The design of handling, pack-
adequate capacity, the ability to per- aging, transfer, and storage systems
form safety functions assuming a sin- must include margins of safety for the
gle failure. nuclear criticality parameters that are
(2) Emergency utility services must commensurate with the uncertainties
be designed to permit testing of the in the data and methods used in cal-
functional operability and capacity, in- culations and demonstrate safety for
cluding the full operational sequence, the handling, packaging, transfer and
of each system for transfer between storage conditions and in the nature of
normal and emergency supply sources; the immediate environment under ac-
and to permit the operation of associ- cident conditions.
ated safety systems. (b) Methods of criticality control. When
(3) Provisions must be made so that, practicable, the design of an ISFSI or
in the event of a loss of the primary MRS must be based on favorable geom-
electric power source or circuit, reli- etry, permanently fixed neutron ab-
able and timely emergency power will sorbing materials (poisons), or both.
be provided to instruments, utility Where solid neutron absorbing mate-
service systems, the central security rials are used, the design must provide
alarm station, and operating systems, for positive means of verifying their
in amounts sufficient to allow safe continued efficacy. For dry spent fuel
storage conditions to be maintained storage systems, the continued efficacy
and to permit continued functioning of may be confirmed by a demonstration
all systems essential to safe storage. or analysis before use, showing that
(4) An ISFSI or MRS which is located significant degradation of the neutron
on the site of another facility may absorbing materials cannot occur over
share common utilities and services the life of the facility.
with such a facility and be physically (c) Criticality monitoring. A criticality
connected with the other facility; how- monitoring system shall be maintained
ever, the sharing of utilities and serv- in each area where special nuclear ma-
ices or the physical connection must terial is handled, used, or stored which
not significantly: will energize clearly audible alarm sig-
(i) Increase the probability or con- nals if accidental criticality occurs.
sequences of an accident or malfunc- Underwater monitoring is not required

tion of components, structures, or sys- when special nuclear material is han-
tems that are important to safety; or dled or stored beneath water shielding.
425
§ 72.126 10 CFR Ch. I (1–1–11 Edition)
Monitoring of dry storage areas where in effluents during normal operations

special nuclear material is packaged in and under accident conditions must be
its stored configuration under a license provided for these systems. A means of
issued under this subpart is not re- measuring the flow of the diluting me-
quired. dium, either air or water, must also be
[53 FR 31658, Aug. 19, 1988, as amended at 64 provided.
FR 33184, June 22, 1999] (2) Areas containing radioactive ma-
terials must be provided with systems
§ 72.126 Criteria for radiological pro- for measuring the direct radiation lev-
tection. els in and around these areas.
(a) Exposure control. Radiation pro- (d) Effluent control. The ISFSI or
tection systems must be provided for MRS must be designed to provide
all areas and operations where onsite means to limit to levels as low as is
personnel may be exposed to radiation reasonably achievable the release of ra-
or airborne radioactive materials. dioactive materials in effluents during
Structures, systems, and components normal operations; and control the re-
for which operation, maintenance, and lease of radioactive materials under ac-
required inspections may involve occu- cident conditions. Analyses must be
pational exposure must be designed, made to show that releases to the gen-
fabricated, located, shielded, con- eral environment during normal oper-
trolled, and tested so as to control ex- ations and anticipated occurrences will
ternal and internal radiation exposures be within the exposure limit given in
to personnel. The design must include § 72.104. Analyses of design basis acci-
means to: dents must be made to show that re-
(1) Prevent the accumulation of ra- leases to the general environment will
dioactive material in those systems re- be within the exposure limits given in
quiring access; § 72.106. Systems designed to monitor
(2) Decontaminate those systems to the release of radioactive materials
which access is required; must have means for calibration and
(3) Control access to areas of poten- testing their operability.
tial contamination or high radiation
within the ISFSI or MRS; § 72.128 Criteria for spent fuel, high-
(4) Measure and control contamina- level radioactive waste, reactor-re-
tion of areas requiring access; lated greater than Class C waste,
and other radioactive waste storage
(5) Minimize the time required to and handling.
perform work in the vicinity of radio-
active components; for example, by (a) Spent fuel, high-level radioactive
providing sufficient space for ease of waste, and reactor-related GTCC waste
operation and designing equipment for storage and handling systems. Spent fuel
ease of repair and replacement; and storage, high-level radioactive waste
(6) Shield personnel from radiation storage, reactor-related GTCC waste
exposure. storage and other systems that might
(b) Radiological alarm systems. Radio- contain or handle radioactive mate-
logical alarm systems must be pro- rials associated with spent fuel, high-
vided in accessible work areas as ap- level radioactive waste, or reactor-re-
propriate to warn operating personnel lated GTCC waste, must be designed to
of radiation and airborne radioactive ensure adequate safety under normal
material concentrations above a given and accident conditions. These systems
setpoint and of concentrations of radio- must be designed with—
active material in effluents above con- (1) A capability to test and monitor
trol limits. Radiation alarm systems components important to safety,
must be designed with provisions for (2) Suitable shielding for radioactive
calibration and testing their oper- protection under normal and accident
ability. conditions,
(c) Effluent and direct radiation moni- (3) Confinement structures and sys-
toring. (1) As appropriate for the han- tems,
dling and storage system, effluent sys- (4) A heat-removal capability having
tems must be provided. Means for testability and reliability consistent
measuring the amount of radionuclides with its importance to safety, and
426
(5) means to minimize the quantity censee and the certificate holder are
of radioactive wastes generated. also simultaneously responsible for
(b) Waste treatment. Radioactive these quality assurance requirements
waste treatment facilities must be pro- through the oversight of contractors
vided. Provisions must be made for the and subcontractors.
packing of site-generated low-level (b) Establishment of program. Each li-
wastes in a form suitable for storage censee, applicant for a license, certifi-
onsite awaiting transfer to disposal cate holder, applicant for a CoC shall
sites. establish, maintain, and execute a
quality assurance program satisfying
FR 51843, Oct. 11, 2001]
each of the applicable criteria of this
subpart, and satisfying any specific
§ 72.130 Criteria for decommissioning. provisions which are applicable to the
licensee’s, applicant’s for a license, cer-
The ISFSI or MRS must be designed tificate holder’s, and applicant’s for a
for decommissioning. Provisions must CoC activities. The licensee, applicant
be made to facilitate decontamination for a license, certificate holder, and ap-
of structures and equipment, minimize plicant for a CoC shall execute the ap-
the quantity of radioactive wastes and plicable criteria in a graded approach
contaminated equipment, and facili- to an extent that is commensurate
tate the removal of radioactive wastes with the quality assurance require-
and contaminated materials at the ments’ importance to safety. The qual-
time the ISFSI or MRS is permanently ity assurance program must cover the
decommissioned. activities identified in this subpart
throughout the life of the activity. For
Subpart G—Quality Assurance licensees, this includes activities from
the site selection through decommis-
SOURCE: 64 FR 56122, Oct. 15, 1999, unless sioning prior to termination of the li-
otherwise noted. cense. For certificate holders, this in-
cludes activities from development of
§ 72.140 Quality assurance require- the spent fuel storage cask design
ments. through termination of the CoC.
(a) Purpose. This subpart describes (c) Approval of program. (1) Each li-
quality assurance requirements that censee, applicant for a license, certifi-
apply to design, purchase, fabrication, cate holder, or applicant for a CoC
handling, shipping, storing, cleaning, shall file a description of its quality as-
assembly, inspection, testing, oper- surance program, including a discus-
ation, maintenance, repair, modifica- sion of which requirements of this sub-
tion of structures, systems, and compo- part are applicable and how they will
nents, and decommissioning that are be satisfied, in accordance with § 72.4.
important to safety. As used in this (2) Each licensee shall obtain Com-
subpart, ‘‘quality assurance’’ comprises mission approval of its quality assur-
all those planned and systematic ac- ance program prior to receipt of spent
tions necessary to provide adequate fuel and/or reactor-related GTCC waste
confidence that a structure, system, or at the ISFSI or spent fuel, high-level
component will perform satisfactorily radioactive waste, and/or reactor-re-
in service. Quality assurance includes lated GTCC waste at the MRS. Each li-
quality control, which comprises those censee or applicant for a specific li-
quality assurance actions related to cense shall obtain Commission ap-
control of the physical characteristics proval of its quality assurance program
and quality of the material or compo- before commencing fabrication or test-
nent to predetermined requirements. ing of a spent fuel storage cask.
The certificate holder and applicant for (3) Each certificate holder or appli-
a CoC are responsible for the quality cant for a CoC shall obtain Commission
assurance requirements as they apply approval of its quality assurance pro-
to the design, fabrication, and testing gram before commencing fabrication or
of a spent fuel storage cask until pos- testing of a spent fuel storage cask.
session of the spent fuel storage cask is (d) Previously-approved programs. A
transferred to the licensee. The li- quality assurance program previously
427
§ 72.142 10 CFR Ch. I (1–1–11 Edition)
approved by the Commission as satis- (1) Assuring that an appropriate

fying the requirements of Appendix B quality assurance program is estab-
to part 50 of this chapter, subpart H to lished and effectively executed; and
part 71 of this chapter, or subpart G to (2) Verifying, by procedures such as
this part will be accepted as satisfying checking, auditing, and inspection,
the requirements of paragraph (b) of that activities affecting the functions
this section, except that a licensee, ap- that are important to safety have been
plicant for a license, certificate holder, correctly performed. The persons and
and applicant for a CoC who is using an organizations performing quality as-
Appendix B or subpart H quality assur- surance functions shall have sufficient
ance program shall also meet the rec- authority and organizational freedom
ordkeeping requirements of § 72.174. In to identify quality problems; to ini-
filing the description of the quality as- tiate, recommend, or provide solutions;
surance program required by paragraph and to verify implementation of solu-
(c) of this section, each licensee, appli- tions.
cant for a license, certificate holder, (c) The persons and organizations
and applicant for a CoC shall notify the performing quality assurance functions
NRC, in accordance with § 72.4, of its shall report to a management level
intent to apply its previously-approved that ensures that the required author-
quality assurance program to ISFSI ac- ity and organizational freedom, includ-
tivities or spent fuel storage cask ac- ing sufficient independence from cost
tivities. The notification shall identify and schedule considerations when these
the previously-approved quality assur- considerations are opposed to safety
ance program by date of submittal to considerations, are provided. Because
the Commission, docket number, and of the many variables involved, such as
date of Commission approval. the number of personnel, the type of
activity being performed, and the loca-
[53 FR 31658, Aug. 19, 1988, as amended at 65 tion or locations where activities are
FR 50617, Aug. 21, 2000; 66 FR 51843, Oct. 11, performed, the organizational struc-
2001] ture for executing the quality assur-
ance program may take various forms,
§ 72.142 Quality assurance organiza-
provided that the persons and organiza-
tion.
tions assigned the quality assurance
(a) The licensee, applicant for a li- functions have the required authority
cense, certificate holder, and applicant and organizational freedom. Irrespec-
for a CoC shall be responsible for the tive of the organizational structure,
establishment and execution of the the individual(s) assigned the responsi-
quality assurance program. The li- bility for assuring effective execution
censee and certificate holder may dele- of any portion of the quality assurance
gate to others, such as contractors, program, at any location where activi-
agents, or consultants, the work of es- ties subject to this section are being
tablishing and executing the quality performed, must have direct access to
assurance program, but the licensee the levels of management necessary to
and the certificate holder shall retain perform this function.
responsibility for the program. The li-
censee, applicant for a license, certifi- § 72.144 Quality assurance program.
cate holder, and applicant for a CoC (a) The licensee, applicant for a li-
shall clearly establish and delineate in cense, certificate holder, and applicant
writing the authority and duties of per- for a CoC shall establish, at the ear-
sons and organizations performing ac- liest practicable time consistent with
tivities affecting the functions of the schedule for accomplishing the ac-
structures, systems, and components tivities, a quality assurance program
which are important to safety. These which complies with the requirements
activities include performing the func- of this subpart. The licensee, applicant
tions associated with attaining quality for a license, certificate holder, and ap-
objectives and the quality assurance plicant for a CoC shall document the
functions. quality assurance program by written

(b) The quality assurance functions procedures or instructions and shall
are— carry out the program in accordance
428
with these procedures throughout the (4) The degree to which functional
period during which the ISFSI or MRS compliance can be demonstrated by in-
is licensed or the spent fuel storage spection or test; and
cask is certified. The licensee, appli- (5) The quality history and degree of
cant for a license, certificate holder, standardization of the item.
and applicant for a CoC shall identify (d) The licensee, applicant for a li-
the structures, systems, and compo- cense, certificate holder, and applicant
nents to be covered by the quality as- for a CoC shall provide for indoctrina-
surance program, the major organization and training of personnel per-
tions participating in the program, and forming activities affecting quality as
the designated functions of these orga- necessary to ensure that suitable pro-
nizations. ficiency is achieved and maintained.
(e) The licensee, applicant for a li-
(b) The licensee, applicant for a li-
cense, certificate holder, and applicant
for a CoC shall review the status and
for a CoC, through their quality assur- adequacy of the quality assurance pro-
ance program(s), shall provide control gram at established intervals. Manage-
over activities affecting the quality of ment of other organizations partici-
the identified structures, systems, and pating in the quality assurance pro-
components to an extent commensu- gram must regularly review the status
rate with the importance to safety and, and adequacy of that part of the qual-
as necessary, to ensure conformance ity assurance program which they are
with the approved design of each executing.
ISFSI, MRS, or spent fuel storage cask.
The licensee, applicant for a license, § 72.146 Design control.
certificate holder, and applicant for a (a) The licensee, applicant for a li-
CoC shall ensure that activities affect- cense, certificate holder, and applicant
ing quality are accomplished under for a CoC shall establish measures to
suitably controlled conditions. Con- ensure that applicable regulatory re-
trolled conditions include the use of quirements and the design basis, as
appropriate equipment; suitable envi- specified in the license or CoC applica-
ronmental conditions for accom- tion for those structures, systems, and
plishing the activity, such as adequate components to which this section ap-
cleanliness; and assurance that all pre- plies, are correctly translated into
requisites for the given activity have specifications, drawings, procedures,
been satisfied. The licensee, applicant and instructions. These measures must
for a license, certificate holder, and ap- include provisions to ensure that ap-
plicant for a CoC shall take into ac- propriate quality standards are speci-
count the need for special controls, fied and included in design documents
processes, test equipment, tools and and that deviations from standards are
skills to attain the required quality controlled. Measures must be estab-
and the need for verification of quality lished for the selection and review for
by inspection and test. suitability of application of materials,
parts, equipment, and processes that
(c) The licensee, applicant for a li-
are essential to the functions of the
structures, systems, and components
for a CoC shall base the requirements
which are important to safety.
and procedures of their quality assur- (b) The licensee, applicant for a li-
ance program(s) on the following con- cense, certificate holder, and applicant
siderations concerning the complexity for a CoC shall establish measures for
and proposed use of the structures, sys- the identification and control of design
tems, or components: interfaces and for coordination among
(1) The impact of malfunction or fail- participating design organizations.
ure of the item on safety; These measures must include the es-
(2) The design and fabrication com- tablishment of written procedures
plexity or uniqueness of the item; among participating design organiza-
(3) The need for special controls and tions for the review, approval, release,
surveillance over processes and equip- distribution, and revision of documents
ment; involving design interfaces. The design
429
§ 72.148 10 CFR Ch. I (1–1–11 Edition)
control measures must provide for vide a quality assurance program con-
verifying or checking the adequacy of sistent with the applicable provisions
design by methods such as design re- of this subpart.
views, alternate or simplified
calculational methods, or by a suitable § 72.150 Instructions, procedures, and
testing program. For the verifying or drawings.
checking process, the licensee and cer- The licensee, applicant for a license,
tificate holder shall designate individ- certificate holder, and applicant for a
uals or groups other than those who CoC shall prescribe activities affecting
were responsible for the original de- quality by documented instructions,
sign, but who may be from the same or- procedures, or drawings of a type ap-
ganization. Where a test program is propriate to the circumstances and
used to verify the adequacy of a spe- shall require that these instructions,
cific design feature in lieu of other procedures, and drawings be followed.
verifying or checking processes, the li- The instructions, procedures, and
censee and certificate holder shall in- drawings must include appropriate
clude suitable qualification testing of a quantitative or qualitative acceptance
prototype or sample unit under the criteria for determining that impor-
most adverse design conditions. The li- tant activities have been satisfactorily
censee, applicant for a license, certifi- accomplished.
cate holder, and applicant for a CoC
shall apply design control measures to § 72.152 Document control.
items such as the following: criticality The licensee, applicant for a license,
physics, radiation, shielding, stress, certificate holder, and applicant for a
thermal, hydraulic, and accident anal- CoC shall establish measures to control
yses; compatibility of materials; acces- the issuance of documents such as in-
sibility for inservice inspection, main- structions, procedures, and drawings,
tenance, and repair; features to facili- including changes, which prescribe all
tate decontamination; and delineation activities affecting quality. These
of acceptance criteria for inspections measures must assure that documents,
and tests. including changes, are reviewed for
(c) The licensee, applicant for a li- adequacy, approved for release by au-
cense, certificate holder, and applicant thorized personnel, and distributed and
for a CoC shall subject design changes, used at the location where the pre-
including field changes, to design con- scribed activity is performed. These
trol measures commensurate with measures must ensure that changes to
those applied to the original design. documents are reviewed and approved.
Changes in the conditions specified in
the license or CoC require prior NRC § 72.154 Control of purchased material,
approval. equipment, and services.
(a) The licensee, applicant for a li-
§ 72.148 Procurement document con- cense, certificate holder, and applicant
trol. for a CoC shall establish measures to
The licensee, applicant for a license, ensure that purchased material, equip-
certificate holder, and applicant for a ment, and services, whether purchased
CoC shall establish measures to assure directly or through contractors and
that applicable regulatory require- subcontractors, conform to the pro-
ments, design bases, and other require- curement documents. These measures
ments which are necessary to assure must include provisions, as appro-
adequate quality are included or ref- priate, for source evaluation and selec-
erenced in the documents for procure- tion, objective evidence of quality fur-
ment of material, equipment, and serv- nished by the contractor or subcon-
ices, whether purchased by the li- tractor, inspection at the contractor or
censee, certificate holder, or by their subcontractor source, and examination
contractors and subcontractors. To the of products upon delivery.
extent necessary, the licensee, appli- (b) The licensee, applicant for a li-
cant for a license, certificate holder, cense, certificate holder, and applicant
and applicant for a CoC, shall require for a CoC shall have available docu-
contractors or subcontractors to pro- mentary evidence that material and
430
equipment conform to the procurement ing quality by or for the organization

specifications prior to installation or performing the activity to verify con-
use of the material and equipment. The formance with the documented instruc-
licensee and certificate holder shall re- tions, procedures, and drawings for ac-
tain or have available this documen- complishing the activity. The inspec-
tary evidence for the life of the ISFSI, tion must be performed by individuals
MRS, or spent fuel storage cask. The other than those who performed the ac-
licensee and certificate holder shall en- tivity being inspected. Examinations,
sure that the evidence is sufficient to measurements, or tests of material or
identify the specific requirements met products processed must be performed
by the purchased material and equip- for each work operation where nec-
ment. essary to assure quality. If direct in-
(c) The licensee, applicant for a li- spection of processed material or prod-
cense, certificate holder, and applicant ucts cannot be carried out, indirect
for a CoC, or a designee of either, shall control by monitoring processing
assess the effectiveness of the control methods, equipment, and personnel
of quality by contractors and sub- must be provided. Both inspection and
contractors at intervals consistent process monitoring must be provided
with the importance, complexity, and when quality control is inadequate
quantity of the product or services. without both. If mandatory inspection
hold points that require witnessing or
§ 72.156 Identification and control of inspecting by the licensee’s or certifi-
materials, parts, and components. cate holder’s designated representa-
The licensee, applicant for a license, tive, and beyond which work should
certificate holder, and applicant for a not proceed without the consent of its
CoC shall establish measures for the designated representative, are re-
identification and control of materials, quired, the specific hold points must be
parts, and components. These measures indicated in appropriate documents.
must ensure that identification of the
item is maintained by heat number, § 72.162 Test control.
part number, serial number, or other The licensee, applicant for a license,
appropriate means, either on the item certificate holder, and applicant for a
or on records traceable to the item as CoC shall establish a test program to
required, throughout fabrication, in- ensure that all testing, required to
stallation, and use of the item. These demonstrate that the structures, sys-
identification and control measures tems, and components will perform sat-
must be designed to prevent the use of isfactorily in service, is identified and
incorrect or defective materials, parts, performed in accordance with written
and components. test procedures that incorporate the
requirements of this part and the re-
§ 72.158 Control of special processes. quirements and acceptance limits con-
The licensee, applicant for a license, tained in the ISFSI, MRS, or spent fuel
certificate holder, and applicant for a storage cask license or CoC. The test
CoC shall establish measures to ensure procedures must include provisions to
that special processes, including weld- ensure that all prerequisites for the
ing, heat treating, and nondestructive given test are met, that adequate test
testing, are controlled and accom- instrumentation is available and used,
plished by qualified personnel using and that the test is performed under
qualified procedures in accordance suitable environmental conditions. The
with applicable codes, standards, speci- licensee, applicant for a license, certifi-
fications, criteria, and other special re- cate holder, and applicant for a CoC
quirements. shall document and evaluate the test
results to ensure that test require-
§ 72.160 Licensee and certificate hold- ments have been satisfied.
er inspection.
The licensee, applicant for a license, § 72.164 Control of measuring and test
certificate holder, and applicant for a equipment.

CoC shall establish and execute a pro- The licensee, applicant for a license,
gram for inspection of activities affect- certificate holder, and applicant for a
431
§ 72.166 10 CFR Ch. I (1–1–11 Edition)
CoC shall establish measures to ensure tion, segregation, disposition, and noti-
that tools, gauges, instruments, and fication to affected organizations. Non-
other measuring and testing devices conforming items must be reviewed
used in activities affecting quality are and accepted, rejected, repaired, or re-
properly controlled, calibrated, and ad- worked in accordance with documented
justed at specified periods to maintain procedures.
accuracy within necessary limits.
§ 72.172 Corrective action.
§ 72.166 Handling, storage, and ship- The licensee, applicant for a license,
ping control. certificate holder, and applicant for a
The licensee, applicant for a license, CoC shall establish measures to ensure
certificate holder, and applicant for a that conditions adverse to quality,
CoC shall establish measures to con- such as failures, malfunctions, defi-
trol, in accordance with work and in- ciencies, deviations, defective material
spection instructions, the handling, and equipment, and nonconformances,
storage, shipping, cleaning, and preser- are promptly identified and corrected.
vation of materials and equipment to In the case of a significant condition
prevent damage or deterioration. When identified as adverse to quality, the
necessary for particular products, spe- measures must ensure that the cause of
cial protective environments, such as the condition is determined and correc-
inert gas atmosphere, and specific tive action is taken to preclude repeti-
moisture content and temperature lev- tion. The identification of the signifi-
els must be specified and provided. cant condition adverse to quality, the
cause of the condition, and the correc-
§ 72.168 Inspection, test, and operating tive action taken must be documented
status. and reported to appropriate levels of
(a) The licensee, applicant for a li- management.
for a CoC shall establish measures to § 72.174 Quality assurance records.
indicate, by the use of markings such The licensee, applicant for a license,
as stamps, tags, labels, routing cards, certificate holder, and applicant for a
or other suitable means, the status of CoC shall maintain sufficient records
inspections and tests performed upon to furnish evidence of activities affect-
individual items of the ISFSI, MRS, or ing quality. The records must include
spent fuel storage cask. These meas- the following: design records, records
ures must provide for the identification of use, and the results of reviews, in-
of items which have satisfactorily spections, tests, audits, monitoring of
passed required inspections and tests work performance, and materials anal-
where necessary to preclude inad- yses. The records must include closely
vertent bypassing of the inspections related data such as qualifications of
and tests. personnel, procedures, and equipment.
(b) The licensee shall establish meas- Inspection and test records must, at a
ures to identify the operating status of minimum, identify the inspector or
structures, systems, and components of data recorder, the type of observation,
the ISFSI or MRS, such as tagging the results, the acceptability, and the
valves and switches, to prevent inad- action taken in connection with any
vertent operation. noted deficiencies. Records must be
identifiable and retrievable. Records
§ 72.170 Nonconforming materials, pertaining to the design, fabrication,
parts, or components. erection, testing, maintenance, and use
The licensee, applicant for a license, of structures, systems, and components
certificate holder, and applicant for a important to safety must be main-
CoC shall establish measures to control tained by or under the control of the li-
materials, parts, or components that censee or certificate holder until the
do not conform to their requirements NRC terminates the license or CoC.
in order to prevent their inadvertent
use or installation. These measures § 72.176 Audits.

must include, as appropriate, proce- The licensee, applicant for a license,
dures for identification, documenta- certificate holder, and applicant for a
432
CoC shall carry out a comprehensive teria submitted pursuant to paragraph

system of planned and periodic audits (a) of this section; and
to verify compliance with all aspects of (c) Information relative to materials
the quality assurance program and to of construction, equipment, general ar-
determine the effectiveness of the pro- rangement, and proposed quality assur-
gram. The audits must be performed in ance program sufficient to provide rea-
accordance with written procedures or sonable assurance that the final secu-
checklists by appropriately trained rity system will conform to the design
personnel not having direct respon- bases for the principal design criteria
sibilities in the areas being audited. submitted pursuant to paragraph (a) of
Audited results must be documented this section.
and reviewed by management having
responsibility in the area audited. Fol- § 72.184 Safeguards contingency plan.
low-up action, including reaudit of de- (a) The requirements of the licensee’s
ficient areas, must be taken where in- safeguards contingency plan for re-
dicated. sponding to threats and radiological
sabotage must be as defined in appen-
Subpart H—Physical Protection dix C to part 73 of this chapter. This
plan must include Background, Generic
§ 72.180 Physical protection plan. Planning Base, Licensee Planning
The licensee shall establish, main- Base, and Responsibility Matrix, the
tain, and follow a detailed plan for first four categories of information re-
physical protection as described in lating to nuclear facilities licensed
§ 73.51 of this chapter. The licensee under part 50 of this chapter. (The fifth
shall retain a copy of the current plan and last category of information, Pro-
as a record until the Commission ter- cedures, does not have to be submitted
minates the license for which the pro- for approval.)
cedures were developed and, if any por- (b) The licensee shall prepare and
tion of the plan is superseded, retain maintain safeguards contingency plan
the superseded material for 3 years procedures in accordance with appen-
after each change or until termination dix C to 10 CFR part 73 for effecting the
of the license. The plan must describe actions and decisions contained in the
how the applicant will meet the re- Responsibility Matrix of the licensee’s
quirements of § 73.51 of this chapter and safeguards contingency plan. The li-
provide physical protection during on- censee shall retain a copy of the cur-
site transportation to and from the rent procedures as a record until the
proposed ISFSI or MRS and include Commission terminates the license for
within the plan the design for physical which the procedures were developed
protection, the licensee’s safeguards and, if any portion of the procedures is
contingency plan, and the security or- superseded, retain the superseded ma-
ganization personnel training and qual- terial for three years after each
ification plan. The plan must list tests, change.
inspections, audits, and other means to
be used to demonstrate compliance
FR 33429, July 29, 1992]
with such requirements.
[63 FR 26961, May 15, 1998] § 72.186 Change to physical security
and safeguards contingency plans.
§ 72.182 Design for physical protection. (a) The licensee shall make no
The design for physical protection change that would decrease the safe-
must show the site layout and the de- guards effectiveness of the physical se-
sign features provided to protect the curity plan, guard training plan or the
ISFSI or MRS from sabotage. It must first four categories of information
include: (Background, Generic Planning Base,
(a) The design criteria for the phys- Licensee Planning Base, and Responsi-
ical protection of the proposed ISFSI bility Matrix) contained in the licensee
or MRS; safeguards contingency plan without

(b) The design bases and the relation prior approval of the Commission. A li-
of the design bases to the design cri- censee desiring to make a change must
433
§ 72.190 10 CFR Ch. I (1–1–11 Edition)
submit an application for a license § 72.194 Physical requirements.

amendment pursuant to § 72.56. The physical condition and the gen-
(b) The licensee may, without prior eral health of personnel certified for
Commission approval, make changes to the operation of equipment and con-
the physical security plan, guard train- trols that are important to safety must
ing plan, or the safeguards contingency not be such as might cause operational
plan, if the changes do not decrease the errors that could endanger other in-
safeguards effectiveness of these plans. plant personnel or the public health
The licensee shall maintain records of and safety. Any condition that might
changes to any such plan made without cause impaired judgment or motor co-
prior approval for a period of three ordination must be considered in the
years from the date of the change, and selection of personnel for activities
shall, within two months after the that are important to safety. These
change is made, submit a report ad- conditions need not categorically dis-
dressed to Director, Division of Spent qualify a person, if appropriate provi-
sions are made to accommodate such
Fuel Storage and Transportation, Of-
defect.
fice of Nuclear Material Safety and
Safeguards, U.S. Nuclear Regulatory
Commission, in accordance with § 72.4, Subpart J—Provision of MRS Infor-
containing a description of each mation to State Governments
change. A copy of the report must be and Indian Tribes
sent to the Regional Administrator of § 72.200 Provision of MRS information.
the appropriate NRC Regional Office
specified in appendix A to part 73 of (a) The Director, Office of Nuclear
this chapter. Material Safety and Safeguards, or the
Director’s designee shall provide to the
[53 FR 31658, Aug. 19, 1988, as amended at 67 Governor and legislature of any State
FR 3586, Jan. 25, 2002; 68 FR 58819, Oct. 10, in which an MRS authorized under the
2003; 75 FR 73945, Nov. 30, 2010] Nuclear Waste Policy Act of 1982, as
amended, is or may be located, to the
Subpart I—Training and Governors of any contiguous States, to
Certification of Personnel each affected unit of local government
and to the governing body of any af-
§ 72.190 Operator requirements. fected Indian tribe, timely and com-
plete information regarding determina-
Operation of equipment and controls
tions or plans made by the Commission
that have been identified as important with respect to siting, development, de-
to safety in the Safety Analysis Report sign, licensing, construction, oper-
and in the license must be limited to ation, regulation or decommissioning
trained and certified personnel or be of such monitored retrievable storage
under the direct visual supervision of facility.
an individual with training and certifi- (b) Notwithstanding paragraph (a) of
cation in the operation. Supervisory this section, the Director or the Direc-
personnel who personally direct the op- tor’s designee is not required to dis-
eration of equipment and controls that tribute any document to any entity if,
are important to safety must also be with respect to such document, that
certified in such operations. entity or its counsel is included on a
service list prepared pursuant to part 2
§ 72.192 Operator training and certifi- of this chapter.
cation program. (c) Copies of all communications by
The applicant for a license under this the Director or the Director’s designee
part shall establish a program for under this section must be made avail-
training, proficiency testing, and cer- able at the NRC Web site, http://
tification of ISFSI or MRS personnel. www.nrc.gov, and/or at the NRC Public
Document Room, and must be fur-
This program must be submitted to the
nished to DOE.
Commission for approval with the li-
cense application. [53 FR 31658, Aug. 19, 1988, as amended at 64
FR 48954, Sept. 9, 1999]
434
§ 72.202 Participation in license re- (2) This general license is limited to

views. storage of spent fuel in casks approved
States, local governmental bodies under the provisions of this part.
and affected, Federally-recognized In- (3) The general license for the storage
dian Tribes may participate in license of spent fuel in each cask fabricated
reviews as provided in Subpart C of under a Certificate of Compliance ter-
Part 2 of this chapter. minates 20 years after the date that
the particular cask is first used by the
[69 FR 2280, Jan. 14, 2004] general licensee to store spent fuel, un-
less the cask’s Certificate of Compli-
§ 72.204 Notice to States. ance is renewed, in which case the gen-
If the Governor and legislature of a eral license terminates 20 years after
State have jointly designated on their the cask’s Certificate of Compliance re-
behalf a single person or entity to renewal date. In the event that a cask
ceive notice and information from the vendor does not apply for a cask model
Commission under this part, the Com- reapproval under § 72.240, any cask user
mission will provide such notice and or user’s representative may apply for
information to the jointly designated a cask design reapproval. If a Certifi-
person or entity instead of the Gov- cate of Compliance expires, casks of
ernor and the legislature separately. that design must be removed from
service after a storage period not to ex-
§ 72.206 Representation. ceed 20 years.
Any person who acts under this sub- (b) The general licensee shall:
part as a representative for a State (or (1)(i) Notify the Nuclear Regulatory
for the Governor or legislature thereof) Commission using instructions in § 72.4
or for an affected Indian tribe shall in- at least 90 days prior to first storage of
clude in the request or other submis- spent fuel under this general license.
sion, or at the request of the Commis- The notice may be in the form of a let-
sion, a statement of the basis of his or ter, but must contain the licensee’s
her authority to act in such represent- name, address, reactor license and
ative capacity. docket numbers, and the name and
means of contacting a person respon-
sible for providing additional informa-
Subpart K—General License for tion concerning spent fuel under this
Storage of Spent Fuel at general license. A copy of the sub-
Power Reactor Sites mittal must be sent to the adminis-
trator of the appropriate Nuclear Regu-
SOURCE: 55 FR 29191, July 18, 1990, unless latory Commission regional office list-
otherwise noted. ed in appendix D to part 20 of this
chapter.
§ 72.210 General license issued. (ii) Register use of each cask with
A general license is hereby issued for the Nuclear Regulatory Commission no
the storage of spent fuel in an inde- later than 30 days after using that cask
pendent spent fuel storage installation to store spent fuel. This registration
at power reactor sites to persons au- may be accomplished by submitting a
thorized to possess or operate nuclear letter using instructions in § 72.4 con-
power reactors under 10 CFR part 50 or taining the following information: the
10 CFR part 52. licensee’s name and address, the licens-
ee’s reactor license and docket num-
[72 FR 49561, Aug. 28, 2007] bers, the name and title of a person re-
sponsible for providing additional in-
§ 72.212 Conditions of general license formation concerning spent fuel stor-
issued under § 72.210. age under this general license, the cask
(a)(1) The general license is limited certificate and model numbers, and the
to that spent fuel which the general li- cask identification number. A copy of
censee is authorized to possess at the each submittal must be sent to the ad-
site under the specific license for the ministrator of the appropriate Nuclear
site. Regulatory Commission regional office
435
§ 72.212 10 CFR Ch. I (1–1–11 Edition)
listed in appendix D to part 20 of this forth in the licensee’s physical security

chapter. plan pursuant to § 73.55 of this chapter
(iii) Fee. Fees for inspections related with the following additional condi-
to spent fuel storage under this general tions and exceptions.
license are those shown in § 170.31 of (i) The physical security organization
this chapter. and program for the facility must be
(2)(i) Perform written evaluations, modified as necessary to assure that
prior to use, that establish that: activities conducted under this general
(A) conditions set forth in the Cer- license do not decrease the effective-
tificate of Compliance have been met; ness of the protection of vital equip-
(B) Cask storage pads and areas have ment in accordance with § 73.55 of this
been designed to adequately support chapter.
the static and dynamic loads of the (ii) Storage of spent fuel must be
stored casks, considering potential am- within a protected area, in accordance
plification of earthquakes through soil- with § 73.55(e) of this chapter, but need
structure interaction, and soil lique- not be within a separate vital area. Ex-
faction potential or other soil insta- isting protected areas may be expanded
bility due to vibratory ground motion; or new protected areas added for the
and purpose of storage of spent fuel in ac-
(C) the requirements of § 72.104 have cordance with this general license.
been met. A copy of this record shall be
(iii) For purposes of this general li-
retained until spent fuel is no longer
cense, personnel searches required by
stored under the general license issued
§ 73.55(h) of this chapter before admis-
under § 72.210.
sion to a new protected area may be
(ii) The licensee shall evaluate any
performed by physical pat-down
changes to the written evaluations re-
searches of persons in lieu of firearms
quired by this paragraph using the re-
and explosives detection equipment.
quirements of § 72.48(c). A copy of this
(iv) The observational capability re-
record shall be retained until spent fuel
quired by § 73.55(i)(3) of this chapter as
is no longer stored under the general li-
applied to a new protected area may be
cense issued under § 72.210.
provided by a guard or watchman on
(3) Review the Safety Analysis Re-
patrol in lieu of video surveillance
port (SAR) referenced in the Certifi-
technology.
cate of Compliance and the related
NRC Safety Evaluation Report, prior (v) For the purpose of this general li-
to use of the general license, to deter- cense, the licensee is exempt from re-
mine whether or not the reactor site quirements to interdict and neutralize
parameters, including analyses of threats in § 73.55 of this chapter.
earthquake intensity and tornado mis- (vi) For the purpose of this general li-
siles, are enveloped by the cask design cense, the licensee is exempt from
bases considered in these reports. The §§ 73.55(h)(4)(iii)(A) and 73.55(h)(5) of
results of this review must be docu- this chapter.
mented in the evaluation made in para- (6) Review the reactor emergency
graph (b)(2) of this section. plan, quality assurance program, train-
(4) Prior to use of this general li- ing program, and radiation protection
cense, determine whether activities re- program to determine if their effective-
lated to storage of spent fuel under this ness is decreased and, if so, prepare the
general license involve a change in the necessary changes and seek and obtain
facility Technical Specifications or re- the necessary approvals.
quire a license amendment for the fa- (7) Maintain a copy of the Certificate
cility pursuant to § 50.59(c)(2) of this of Compliance and documents ref-
chapter. Results of this determination erenced in the certificate for each cask
must be documented in the evaluation model used for storage of spent fuel,
made in paragraph (b)(2) of this sec- until use of the cask model is discon-
tion. tinued. The licensee shall comply with
(5) Protect the spent fuel against the the terms and conditions of the certifi-
design basis threat of radiological sab- cate.

otage in accordance with the same pro- (8)(i) Accurately maintain the record
visions and requirements as are set provided by the cask supplier for each
436
cask that shows, in addition to the in- Docket Number: 72–1002

formation provided by the cask vendor, Certification Expiration Date: August 17,
the following: 2010
Model Number: NAC S/T
(A) The name and address of the cask
vendor or lessor; Certificate Number: 1003
(B) The listing of spent fuel stored in SAR Submitted by: Nuclear Assurance Cor-
the cask; and poration
(C) Any maintenance performed on SAR Title: Topical Safety Analysis Report
for the NAC Storage/Transport Cask Con-
the cask. taining Consolidated Fuel for Use at an
(ii) This record must include suffi- Independent Spent Fuel Storage Installa-
cient information to furnish documen- tion
tary evidence that any testing and Docket Number: 72–1003
maintenance of the cask has been con- Certification Expiration Date: August 17,
ducted under an NRC-approved quality 2010
assurance program. Model Number: NAC-C28 S/T
(iii) In the event that a cask is sold, Certificate Number: 1004.
leased, loaned, or otherwise transferred Initial Certificate Effective Date: January
to another registered user, this record 23, 1995.
must also be transferred to and must Amendment Number 1 Effective Date: April
be accurately maintained by the new 27, 2000.
registered user. This record must be Amendment Number 2 Effective Date: Sep-
tember 5, 2000.
maintained by the current cask user Amendment Number 3 Effective Date: Sep-
during the period that the cask is used tember 12, 2001.
for storage of spent fuel and retained Amendment Number 4 Effective Date: Feb-
by the last user until decommissioning ruary 12, 2002.
of the cask is complete. Amendment Number 5 Effective Date: Janu-
(9) Conduct activities related to stor- ary 7, 2004.
age of spent fuel under this general li- Amendment Number 6 Effective Date: De-
cense only in accordance with written cember 22, 2003.
Amendment Number 7 Effective Date: March
procedures.
2, 2004.
(10) Make records and casks available Amendment Number 8 Effective Date: De-
to the Commission for inspection. cember 5, 2005.
[55 FR 29191, July 18, 1990, as amended at 64 Amendment Number 9 Effective Date: April
FR 53616, Oct. 4, 1999; 68 FR 54160, Sept. 16, 17, 2007.
2003; 73 FR 63573, Oct. 24, 2008; 74 FR 13970, Amendment Number 10 Effective Date: Au-
Mar. 27, 2009] gust 24, 2009.
SAR Submitted by: Transnuclear, Inc.
§ 72.214 List of approved spent fuel SAR Title: Final Safety Analysis Report for
storage casks. the Standardized NUHOMS® Horizontal
Modular Storage System for Irradiated Nu-
The following casks are approved for clear Fuel.
storage of spent fuel under the condi- Docket Number: 72–1004.
tions specified in their Certificates of Certificate Expiration Date: January 23, 2015.
Compliance. Model Number: NUHOMS®–24P, –24PHB,
–24PTH, –32PT, –32PTH1, –52B, –61BT, and
Certificate Number: 1000 –61BTH.
SAR Submitted by: General Nuclear Sys-
tems, Inc. Certificate Number: 1005
SAR Title: Topical Safety Analysis Report SAR Submitted by: Transnuclear, Inc.
for the Castor V/21 Cask Independent Spent SAR Title: TN-24 Dry Storage Cask Topical
Fuel Storage Installation (Dry Storage) Report.
Docket Number: 72–1000 Docket Number: 72-1005.
Certification Expiration Date: August 17, Certification Expiration Date: November 4,
2010 2013.
Model Number: CASTOR V/21 Model Number: TN-24.
Certificate Number: 1002 Certificate Number: 1007.
SAR Submitted by: Nuclear Assurance Cor- Initial Certificate Effective Date: May 7,
poration 1993.
SAR Title: Topical Safety Analysis Report Amendment Number 1 Effective Date: May
for the NAC Storage/Transport Cask for 30, 2000.
Use at an Independent Spent Fuel Storage Amendment Number 2 Effective Date: Sep-
Installation tember 5, 2000.
437
§ 72.214 10 CFR Ch. I (1–1–11 Edition)
Amendment Number 3 Effective Date: May SAR Title: Final Safety Analysis Report for
21, 2001. the NAC–UMS Universal Storage System.
Amendment Number 4 Effective Date: Feb- Docket Number: 72–1015.
ruary 3, 2003. Certificate Expiration Date: November 20,
Amendment Number 5 Effective Date: Sep- 2020.
tember 13, 2005. Model Number: NAC–UMS.
Amendment Number 6 Effective Date: June
Certificate Number: 1021.
5, 2006. Initial Certificate Effective Date: April 19,
SAR Submitted by: BNG Fuel Solutions Cor- 2000.
poration. Amendment Number 1 Effective Date: Feb-
SAR Title: Final Safety Analysis Report for ruary 20, 2001.
the Ventilated Storage Cask System. SAR Submitted by: Transnuclear, Inc.
Docket Number: 72–1007. SAR Title: Final Safety Analysis Report for
Certificate Expiration Date: May 7, 2013. the TN–32 Dry Storage Cask.
Model Number: VSC–24. Docket Number: 72–1021.
Certificate Number: 1008. Certificate Expiration Date: April 19, 2020.
Initial Certificate Effective Date: October 4, Model Number: TN–32, TN–32A, TN–32B.
1999. Certificate Number: 1025.
Amendment Number 1 Effective Date: De- Initial Certificate Effective Date: April 10,
cember 26, 2000. 2000.
Amendment Number 2 Effective Date: May Amendment Number 1 Effective Date: No-
29, 2001. vember 13, 2001.
SAR Submitted by: Holtec International. Amendment Number 2 Effective Date: May
SAR Title: Final Safety Analysis Report for 29, 2002.
the HI-STAR 100 Cask System. Amendment Number 3 Effective Date: Octo-
Docket Number: 72–1008. ber 1, 2003.
Certificate Expiration Date: October 4, 2019. Amendment Number 4 Effective Date: Octo-
Model Number: HI-STAR 100. ber 27, 2004.
Certificate Number: 1014. Amendment Number 5 Effective Date: July
Initial Certificate Effective Date: May 31, 24, 2007.
2000. Amendment Number 6 Effective Date: Octo-
Amendment Number 1 Effective Date: July ber 4, 2010.
15, 2002. SAR Submitted by: NAC International, Inc.
Amendment Number 2 Effective Date: June SAR Title: Final Safety Analysis Report for
7, 2005. the NAC Multi-Purpose Canister System
Amendment Number 3 Effective Date: May (NAC–MPC System).
29, 2007. Docket Number: 72–1025.
Amendment Number 4 Effective Date: Janu- Certificate Expiration Date: April 10, 2020.
ary 8, 2008. Model Number: NAC–MPC.
Amendment Number 5 Effective Date: July Certificate Number: 1026.
14, 2008. Initial Certificate Effective Date: February
Amendment Number 6 Effective Date: Au- 15, 2001.
gust 17, 2009. Amendment Number 1 Effective Date: May
Amendment Number 7 Effective Date: De- 14, 2001.
cember 28, 2009. Amendment Number 2 Effective Date: Janu-
SAR Submitted by: Holtec International. ary 28, 2002.
SAR Title: Final Safety Analysis Report for Amendment Number 3 Effective Date: May 7,
the HI–STORM 100 Cask System. 2003.
Docket Number: 72–1014. Amendment Number 4 Effective Date: July 3,
Certificate Expiration Date: May 31, 2020. 2006.
Model Number: HI–STORM 100 Systems. SAR Submitted by: BNG Fuel Solutions Cor-
Certificate Number: 1015. poration.
SAR Title: Final Safety Analysis Report for
Initial Certificate Effective Date: November
the FuelSolutionsTM Spent Fuel Manage-
20, 2000.
ment System.
Amendment Number 1 Effective Date: Feb-
Docket Number: 72–1026.
ruary 20, 2001.
Certificate Expiration Date: February 15,
Amendment Number 2 Effective Date: De-
2021.
cember 31, 2001.
Model Number: WSNF–220, WSNF–221, and
Amendment Number 3 Effective Date: March
WSNF–223 systems; W–150 storage cask; W–
31, 2004.
100 transfer cask; and the W–21 and W–74
Amendment Number 4 Effective Date: Octo-
canisters.
ber 11, 2005.

Amendment Number 5 Effective Date: Janu- Certificate Number: 1027.
ary 12, 2009. Initial Certificate Effective Date: May 30,
SAR Submitted by: NAC International, Inc. 2000.
438
Amendment Number 1 Effective Date: Octo- and components needed for moving, un-
ber 30, 2007. loading, and shipping this spent fuel.
SAR Submitted by: Transnuclear, Inc. (b) An application for termination of
a reactor operating license issued
the TN–68 Dry Storage Cask.
Docket Number: 72–1027. under 10 CFR part 50 and submitted
Certificate Expiration Date: May 28, 2020. under § 50.82 of this chapter, or a com-
Model Number: TN–68. bined license issued under 10 CFR part
52 and submitted under § 52.110 of this
Initial Certificate Effective Date: February
chapter, must contain a description of
5, 2003. how the spent fuel stored under this
Amendment Number 1 Effective Date: May general license will be removed from
16, 2005. the reactor site.
SAR Submitted by: Transnuclear, Inc. (c) The reactor licensee shall send a
SAR Title: Final Safety Analysis Report for copy of submittals under § 72.218(a) and
the Standardized Advanced NUHOMS ® (b) to the administrator of the appro-
Horizontal Modular Storage System for Ir- priate Nuclear Regulatory Commission
radiated Nuclear Fuel.
Docket Number: 72–1029.
regional office shown in appendix D to
Certificate Expiration Date: February 5, 2023. part 20 of this chapter.
Model Number: Standardized Advanced [55 FR 29191, July 18, 1990, as amended at 72
NUHOMS ®–24PT1, NUHOMS ®–24PT4. FR 49561, Aug. 28, 2007]
Initial Certificate Effective Date: January § 72.220 Violations.
10, 2007. This general license is subject to the
SAR Submitted by: Transnuclear, Inc. provisions of § 72.84 for violation of the
regulations under this part.
the NUHOMS® HD Horizontal Modular
Storage System Irradiated Nuclear Fuel.
Docket Number: 72–1030. Subpart L—Approval of Spent Fuel
Certificate Expiration Date: January 10, 2027. Storage Casks
Model Number: NUHOMS® HD–32PTH.
Certificate Number: 1031. SOURCE: 55 FR 29193, July 18, 1990, unless
Initial Certificate Effective Date: February otherwise noted.
4, 2009.
Amendment Number 1 Effective Date: Au- § 72.230 Procedures for spent fuel stor-
gust 30, 2010. age cask submittals.
SAR Submitted by: NAC International, Inc.
SAR Title: Final Safety Analysis Report for (a) An application for approval of a
the MAGNASTOR System. spent fuel storage cask design must be
Docket Number: 72–1031. submitted in accordance with the in-
Certificate Expiration Date: February 4, 2029. structions contained in § 72.4. A safety
Model Number: MAGNASTOR. analysis report describing the proposed
[55 FR 29191, July 18, 1990] cask design and how the cask should be
used to store spent fuel safely must be
included with the application.
tations affecting § 72.214, see the List of CFR
Sections Affected, which appears in the (b) Casks that have been certified for
Finding Aids section of the printed volume transportation of spent fuel under part
and at www.fdsys.gov. 71 of this chapter may be approved for
storage of spent fuel under this sub-
§ 72.216 [Reserved] part. An application must be submitted
in accordance with the instructions
§ 72.218 Termination of licenses. contained in § 72.4. A copy of the Cer-
(a) The notification regarding the tificate of Compliance issued for the
program for the management of spent cask under part 71 of this chapter, and
fuel at the reactor required by drawings and other documents ref-
§ 50.54(bb) of this chapter must include erenced in the certificate, must be in-
a plan for removal of the spent fuel cluded with the application. A safety
stored under this general license from analysis report showing that the cask
the reactor site. The plan must show is suitable for storage of spent fuel for
how the spent fuel will be managed be- a period of at least 20 years must also
fore starting to decommission systems be included.
439
§ 72.232 10 CFR Ch. I (1–1–11 Edition)
(c) Public inspection. An application made to conform to the issued CoC be-
for the approval of a cask for storage of fore being placed in service or before
spent fuel may be made available for spent fuel is loaded.
public inspection under § 72.20. (d)(1) The certificate holder shall en-
(d) Fees. Fees for reviews and evalua- sure that a record is established and
tions related to issuance of a spent fuel maintained for each spent fuel storage
storage cask Certificate of Compliance cask fabricated under the CoC.
and inspections related to storage cask
(2) This record must include:
fabrication are those shown in § 170.31
of this chapter. (i) The NRC CoC number;
(ii) The spent fuel storage cask model
§ 72.232 Inspection and tests. number;
(a) The certificate holder and appli- (iii) The spent fuel storage cask iden-
cant for a CoC shall permit, and make tification number;
provisions for, the NRC to inspect the (iv) Date fabrication was started;
premises and facilities where a spent (v) Date fabrication was completed;
fuel storage cask is designed, fab- (vi) Certification that the spent fuel
ricated, and tested. storage cask was designed, fabricated,
(b) The certificate holder and appli- tested, and repaired in accordance with
cant for a CoC shall make available to a quality assurance program accepted
the NRC for inspection, upon reason- by NRC;
able notice, records kept by them per- (vii) Certification that inspections
taining to the design, fabrication, and required by § 72.236(j) were performed
testing of spent fuel storage casks.
and found satisfactory; and
(c) The certificate holder and appli-
cant for a CoC shall perform, and make (viii) The name and address of the li-
provisions that permit the NRC to per- censee using the spent fuel storage
form, tests that the Commission deems cask.
necessary or appropriate for the admin- (3) The certificate holder shall supply
istration of the regulations in this the original of this record to the licens-
part. ees using the spent fuel storage cask. A
(d) The certificate holder and appli- current copy of a composite record of
cant for a CoC shall submit a notifica- all spent fuel storage casks manufac-
tion under § 72.4 at least 45 days prior tured under a CoC, showing the infor-
to starting fabrication of the first mation in paragraph (d)(2) of this sec-
spent fuel storage cask under a Certifi- tion, must be initiated and maintained
cate of Compliance. by the certificate holder for each
[64 FR 56126, Oct. 15, 1999] model spent fuel storage cask. If the
certificate holder permanently ceases
§ 72.234 Conditions of approval. production of spent fuel storage casks
(a) The certificate holder and appli- under a CoC, the certificate holder
cant for a CoC shall ensure that the de- shall send this composite record to the
sign, fabrication, testing, and mainte- Commission using instructions in § 72.4.
nance of a spent fuel storage cask com- (e) The certificate holder and the li-
ply with the requirements in § 72.236. censees using the spent fuel storage
(b) The certificate holder and appli- cask shall ensure that the composite
cant for a CoC shall ensure that the de- record required by paragraph (d) of this
sign, fabrication, testing, and mainte- section is available to the Commission
nance of spent fuel storage casks are for inspection.
conducted under a quality assurance (f) The certificate holder shall ensure
program that meets the requirements that written procedures and appro-
of subpart G of this part. priate tests are established prior to use
(c) An applicant for a CoC may begin of the spent fuel storage casks. A copy
fabrication of spent fuel storage casks
of these procedures and tests must be
before the Commission issues a CoC for
provided to each licensee using the
the cask; however, applicants who
spent fuel storage cask.

begin fabrication of casks without a
CoC do so at their own risk. A cask fab- [64 FR 56126, Oct. 15, 1999, as amended at 65
ricated before the CoC is issued shall be FR 50617, Aug. 21, 2000]
440
§ 72.236 Specific requirements for (k) The spent fuel storage cask must
spent fuel storage cask approval be conspicuously and durably marked
and fabrication. with—
The certificate holder and applicant (1) A model number;
for a CoC shall ensure that the require- (2) A unique identification number;
ments of this section are met. and
(a) Specifications must be provided (3) An empty weight.
for the spent fuel to be stored in the (l) The spent fuel storage cask and its
spent fuel storage cask, such as, but systems important to safety must be
not limited to, type of spent fuel (i.e., evaluated, by appropriate tests or by
BWR, PWR, both), maximum allowable other means acceptable to the NRC, to
enrichment of the fuel prior to any ir- demonstrate that they will reasonably
radiation, burn-up (i.e., megawatt-days/ maintain confinement of radioactive
MTU), minimum acceptable cooling material under normal, off-normal, and
time of the spent fuel prior to storage credible accident conditions.
in the spent fuel storage cask, max- (m) To the extent practicable in the
imum heat designed to be dissipated, design of spent fuel storage casks, con-
maximum spent fuel loading limit, sideration should be given to compat-
condition of the spent fuel (i.e., intact ibility with removal of the stored spent
assembly or consolidated fuel rods), the fuel from a reactor site, transpor-
tation, and ultimate disposition by the
inerting atmosphere requirements.
Department of Energy.
(b) Design bases and design criteria
(n) Safeguards Information shall be
must be provided for structures, sys-
protected against unauthorized disclo-
tems, and components important to
sure in accordance with the require-
safety.
ments of § 73.21 and the requirements of
(c) The spent fuel storage cask must § 73.22 or § 73.23 of this chapter, as appli-
be designed and fabricated so that the cable.
spent fuel is maintained in a subcrit-
ical condition under credible condi- [64 FR 56126, Oct. 15, 1999, as amended at 65
tions. FR 50617, Aug. 21, 2000; 73 FR 63573, Oct. 24,
2008]
(d) Radiation shielding and confine-
ment features must be provided suffi- § 72.238 Issuance of an NRC Certifi-
cient to meet the requirements in cate of Compliance.
§§ 72.104 and 72.106.
A Certificate of Compliance for a
(e) The spent fuel storage cask must
cask model will be issued by NRC on a
be designed to provide redundant seal-
finding that the requirements in § 72.236
ing of confinement systems. (a) through (i) are met.
(f) The spent fuel storage cask must
be designed to provide adequate heat § 72.240 Conditions for spent fuel stor-
removal capacity without active cool- age cask reapproval.
ing systems. (a) The certificate holder, a licensee
(g) The spent fuel storage cask must using a spent fuel storage cask, or the
be designed to store the spent fuel safe- representative of a licensee using a
ly for a minimum of 20 years and per- spent fuel storage cask shall apply for
mit maintenance as required. reapproval of the design of a spent fuel
(h) The spent fuel storage cask must storage cask.
be compatible with wet or dry spent (b) The application for reapproval of
fuel loading and unloading facilities. the design of a spent fuel storage cask
(i) The spent fuel storage cask must must be submitted not less than 30
be designed to facilitate decontamina- days prior to the expiration date of the
tion to the extent practicable. CoC. When the applicant has submitted
(j) The spent fuel storage cask must a timely application for reapproval,
be inspected to ascertain that there are the existing CoC will not expire until
no cracks, pinholes, uncontrolled voids, the application for reapproval has been
or other defects that could signifi- determined by the NRC. The applica-
cantly reduce its confinement effec- tion must be accompanied by a safety
tiveness. analysis report (SAR). The new SAR
441
§ 72.242 10 CFR Ch. I (1–1–11 Edition)
may reference the SAR originally sub- knowledgeable readers familiar with
mitted for the approved spent fuel stor- the design of the spent fuel storage
age cask design. cask, but not familiar with the details
(c) The design of a spent fuel storage of a particular cask, can understand
cask will be reapproved if the condi- the deficiency. The narrative descrip-
tions in § 72.238 are met, and the appli- tion shall include the following specific
cation includes a demonstration that information as appropriate for the par-
the storage of spent fuel has not sig- ticular event:
nificantly adversely affected struc- (i) Dates and approximate times of
tures, systems, and components impor- discovery;
tant to safety. (ii) The cause of each component or
[64 FR 56127, Oct. 15, 1999]
system failure, if known;
(iii) The failure mode, mechanism,
§ 72.242 Recordkeeping and reports. and effect of each failed component, if
known;
(a) Each certificate holder or appli- (iv) A list of systems or secondary
cant shall maintain any records and
functions that were also affected for
produce any reports that may be re-
failures of components with multiple
quired by the conditions of the CoC or
functions;
by the rules, regulations, and orders of
(v) The method of discovery of each
the NRC in effectuating the purposes of
component or system failure;
the Act.
(vi) The manufacturer and model
(b) Records that are required by the
number (or other identification) of
regulations in this part or by condi-
each component that failed during the
tions of the CoC must be maintained
event;
for the period specified by the appro-
(vii) The model and serial numbers of
priate regulation or the CoC condi-
the affected spent fuel storage casks;
tions. If a retention period is not speci-
(viii) The licensees that have affected
fied, the records must be maintained
spent fuel storage casks;
until the NRC terminates the CoC.
(3) An assessment of the safety con-
(c) Any record maintained under this
sequences and implications of the defi-
part may be either the original or a re-
ciency. This assessment shall include
produced copy by any state-of-the-art
the availability of other systems or
method provided that any reproduced
copy is duly authenticated by author- components that could have performed
ized personnel and is capable of pro- the same function as the components
ducing a clear and legible copy after and systems that were affected;
storage for the period specified by NRC (4) A description of any corrective ac-
regulations. tions planned as a result of the defi-
(d) Each certificate holder shall sub- ciency, including those to reduce the
mit a written report to the NRC within probability of similar occurrences in
30 days of discovery of a design or fab- the future;
rication deficiency, for any spent fuel (5) Reference to any previous similar
storage cask which has been delivered deficiencies at the same facility that
to a licensee, when the design or fab- are known to the certificate holder;
rication deficiency affects the ability and
of structures, systems, and components (6) The name and telephone number
important to safety to perform their of a person within the certificate hold-
intended safety function. The written er’s organization who is knowledgeable
report shall be sent to the NRC in ac- about the deficiency and can provide
cordance with the requirements of additional information.
§ 72.4. The report shall include the fol- [64 FR 56127, Oct. 15, 1999]
lowing:
(1) A brief abstract describing the de- § 72.244 Application for amendment of
ficiency, including all component or a certificate of compliance.
system failures that contributed to the Whenever a certificate holder desires
deficiency and corrective action taken to amend the CoC (including a change
or planned to prevent recurrence; to the terms, conditions or specifica-

(2) A clear, specific, narrative de- tions of the CoC), an application for an
scription of what occurred so that amendment shall be filed with the
442
Commission fully describing the (1) All changes made in the spent fuel
changes desired and the reasons for storage cask design or procedures as
such changes, and following as far as described in the FSAR;
applicable the form prescribed for (2) All safety analyses and evalua-
original applications. tions performed by the certificate hold-
er either in support of approved CoC
[64 FR 53617, Oct. 4, 1999]
amendments, or in support of conclu-
§ 72.246 Issuance of amendment to a sions that changes did not require a
certificate of compliance. CoC amendment in accordance with
§ 72.48; and
In determining whether an amend- (3) All analyses of new safety issues
ment to a CoC will be issued to the ap- performed by or on behalf of the cer-
plicant, the Commission will be guided tificate holder at Commission request.
by the considerations that govern the The information shall be appropriately
issuance of an initial CoC. located within the updated FSAR.
[64 FR 53617, Oct. 4, 1999] (c)(1) The update of the FSAR must
be filed in accordance with § 72.4. If the
§ 72.248 Safety analysis report updat- update is filed on paper, then it should
ing. be filed on a page-replacement basis; if
(a) Each certificate holder for a spent filed electronically, it should be filed
fuel storage cask design shall update on a full replacement basis. See Guid-
periodically, as provided in paragraph ance for Electronic Submissions to the
(b) of this section, the final safety Commission at http://www.nrc.gov/site-
analysis report (FSAR) to assure that help/e-submittals.html.
the information included in the report (2) A paper update filed on a page-re-
contains the latest information devel- placement basis must include a list
oped. that identifies the current pages of the
(1) Each certificate holder shall sub- FSAR following page replacement. If
mit an original FSAR to the Commis- the update is filed electronically on a
sion, in accordance with § 72.4, within full replacement basis, it must include
90 days after the spent fuel storage a list of changed pages.
cask design has been approved pursu- (3) Each replacement page shall in-
ant to § 72.238. clude both a change indicator for the
(2) The original FSAR shall be based area changed, e.g., a bold line
on the safety analysis report submitted vertically drawn in the margin adja-
with the application and reflect any cent to the portion actually changed,
changes and applicant commitments and a page change identification (date
developed during the cask design re- of change or change number or both);
view process. The original FSAR shall (4) The update shall include:
be updated to reflect any changes to re- (i) A certification by a duly author-
quirements contained in the issued ized officer of the certificate holder
Certificate of Compliance (CoC). that either the information accurately
(b) Each update shall contain all the presents changes made since the pre-
changes necessary to reflect informa- vious submittal, or that no such
tion and analyses submitted to the changes were made; and
Commission by the certificate holder (ii) An identification of changes
or prepared by the certificate holder made by the certificate holder under
pursuant to Commission requirement the provisions of § 72.48, but not pre-
since the submission of the original viously submitted to the Commission;
FSAR or, as appropriate, the last up- (5) The update shall reflect all
date to the FSAR under this section. changes implemented up to a max-
The update shall include the effects 1 imum of 6 months prior to the date of
of: filing;
(6) Updates shall be filed every 24
months from the date of issuance of
1 Effects of changes includes appropriate
revisions of descriptions in the FSAR such the CoC; and

that the FSAR (as updated) is complete and (7) The certificate holder shall pro-
accurate. vide a copy of the updated FSAR to
443
each general and specific licensee using 73.50 Requirements for physical protection
its cask design. of licensed activities.
(d) The updated FSAR shall be re- 73.51 Requirements for the physical protec-
tion of stored spent nuclear fuel and
tained by the certificate holder until high-level radioactive waste.
the Commission terminates the certifi- 73.54 Protection of digital computer and
cate. communication systems and networks.
(e) A certificate holder who perma- 73.55 Requirements for physical protection
nently ceases operation, shall provide of licensed activities in nuclear power re-
the updated FSAR to the new certifi- actors against radiological sabotage.
cate holder or to the Commission, as 73.56 Personnel access authorization re-
appropriate, in accordance with quirements for nuclear power plants.
73.57 Requirements for criminal history
§ 72.234(d)(3). records checks of individuals granted
[64 FR 53617, Oct. 4, 1999, as amended at 68 FR unescorted access to a nuclear power fa-
58819, Oct. 10, 2003; 74 FR 62684, Dec. 1, 2009] cility or access to Safeguards Informa-
tion.
73.58 Safety/security interface requirements
PART 73—PHYSICAL PROTECTION for nuclear power reactors.
OF PLANTS AND MATERIALS 73.59 Relief from fingerprinting, identifica-
tion and criminal history records checks
GENERAL PROVISIONS and other elements of background checks
for designated categories of individuals.
Sec. 73.60 Additional requirements for physical
73.1 Purpose and scope. protection at nonpower reactors.
73.2 Definitions. 73.61 Relief from fingerprinting and crimi-
73.3 Interpretations. nal history records check for designated
73.4 Communications. categories of individuals permitted
73.5 Specific exemptions. unescorted access to certain radioactive
73.6 Exemptions for certain quantities and
materials or other property.
kinds of special nuclear material.
73.8 Information collection requirements: PHYSICAL PROTECTION OF SPECIAL NUCLEAR
OMB approval. MATERIAL OF MODERATE AND LOW STRA-
73.20 General performance objective and re- TEGIC SIGNIFICANCE
quirements.
73.21 Protection of Safeguards Information: 73.67 Licensee fixed site and in-transit re-
Performance requirements. quirements for the physical protection of
73.22 Protection of Safeguards Information: special nuclear material of moderate and
Specific requirements. low strategic significance.
73.23 Protection of Safeguards Informa-
RECORDS AND REPORTS
tion—Modified Handling: Specific re-
quirements. 73.70 Records.
73.24 Prohibitions. 73.71 Reporting of safeguards events.
73.72 Requirement for advance notice of
PHYSICAL PROTECTION OF SPECIAL NUCLEAR shipment of formula quantities of stra-
MATERIAL IN TRANSIT tegic special nuclear material, special
73.25 Performance capabilities for physical nuclear material of moderate strategic
protection of strategic special nuclear significance, or irradiated reactor fuel.
material in transit. 73.73 Requirement for advance notice and
73.26 Transportation physical protection protection of export shipments of special
systems, subsystems, components, and nuclear material of low strategic signifi-
procedures. cance.
73.27 Notification requirements. 73.74 Requirement for advance notice and
73.28 Security background checks for secure protection of import shipments of nu-
transfer of nuclear materials. clear material from countries that are
73.37 Requirements for physical protection not party to the Convention on the Phys-
of irradiated reactor fuel in transit. ical Protection of Nuclear Material.
73.75 Posting.
PHYSICAL PROTECTION REQUIREMENTS AT
FIXED SITES ENFORCEMENT
73.40 Physical protection: General require- 73.80 Violations.
ments at fixed sites. 73.81 Criminal penalties.
73.45 Performance capabilities for fixed site APPENDIX A TO PART 73—U.S. NUCLEAR REGU-
physical protection systems. LATORY COMMISSION OFFICES AND CLASSI-

73.46 Fixed site physical protection sys- FIED MAILING ADDRESSES
tems, subsystems, components, and pro- APPENDIX B TO PART 73—GENERAL CRITERIA
cedures. FOR SECURITY PERSONNEL
444
APPENDIX C TO PART 73—NUCLEAR POWER 73.1(a)(1)(iv), 73.1(a)(2)(iii), and
PLANT SAFEGUARDS CONTINGENCY PLANS 73.1(a)(2)(iv). Licensees subject to the
APPENDIX D TO PART 73—PHYSICAL PROTEC- provisions of § 72.212 are exempt from
TION OF IRRADIATED REACTOR FUEL IN
TRANSIT, TRAINING PROGRAM SUBJECT
§ 73.1(a)(1)(iv).
SCHEDULE (1) Radiological sabotage. (i) A deter-
APPENDIX E TO PART 73—LEVELS OF PHYSICAL mined violent external assault, attack
PROTECTION TO BE APPLIED IN INTER- by stealth, or deceptive actions, includ-
NATIONAL TRANSPORT OF NUCLEAR MATE- ing diversionary actions, by an adver-
RIAL sary force capable of operating in each
APPENDIX F TO PART 73—NATIONS THAT ARE of the following modes: A single group
PARTIES TO THE CONVENTION ON THE PHYS-
ICAL PROTECTION OF NUCLEAR MATERIAL
attacking through one entry point,
APPENDIX G TO PART 73—REPORTABLE SAFE- multiple groups attacking through
GUARDS EVENTS multiple entry points, a combination of
APPENDIX H TO PART 73—WEAPONS QUALI- one or more groups and one or more in-
FICATION CRITERIA dividuals attacking through multiple
APPENDIX I TO PART 73—CATEGORY 1 AND 2 entry points, or individuals attacking
RADIOACTIVE MATERIALS through separate entry points, with the
AUTHORITY: Secs. 53, 161, 149, 68 Stat. 930, following attributes, assistance and
948, as amended, sec. 147, 94 Stat. 780 (42 equipment:
U.S.C. 2073, 2167, 2169, 2201); sec. 201, as (A) Well-trained (including military
amended, 204, 88 Stat. 1242, as amended, 1245,
training and skills) and dedicated indi-
sec. 1701, 106 Stat. 2951, 2952, 2953 (42 U.S.C.
5841, 5844, 2297f); sec. 1704, 112 Stat. 2750 (44 viduals, willing to kill or be killed,
U.S.C. 3504 note); Energy Policy Act of 2005, with sufficient knowledge to identify
Pub. L. 109–58, 119 Stat. 594 (2005). specific equipment or locations nec-
Section 73.1 also issued under secs. 135, 141, essary for a successful attack;
Pub. L. 97–425, 96 Stat. 2232, 2241 (42 U.S.C. (B) Active (e.g., facilitate entrance
10155, 10161). and exit, disable alarms and commu-
Section 73.37(f) also issued under sec. 301,
nications, participate in violent at-
Pub. L. 96–295, 94 Stat. 789 (42 U.S.C. 5841
note). tack) or passive (e.g., provide informa-
Section 73.57 is issued under sec. 606, Pub. tion), or both, knowledgeable inside as-
L. 99–399, 100 Stat. 876 (42 U.S.C. 2169). sistance;
SOURCE: 38 FR 35430, Dec. 28, 1973, unless (C) Suitable weapons, including hand-
otherwise noted. held automatic weapons, equipped with
silencers and having effective long
GENERAL PROVISIONS range accuracy;
(D) Hand-carried equipment, includ-
§ 73.1 Purpose and scope. ing incapacitating agents and explo-
(a) Purpose. This part prescribes re- sives for use as tools of entry or for
quirements for the establishment and otherwise destroying reactor, facility,
maintenance of a physical protection transporter, or container integrity or
system which will have capabilities for features of the safeguards system; and
the protection of special nuclear mate- (E) Land and water vehicles, which
rial at fixed sites and in transit and of could be used for transporting per-
plants in which special nuclear mate- sonnel and their hand-carried equip-
rial is used. The following design basis ment to the proximity of vital areas;
threats, where referenced in ensuing and
sections of this part, shall be used to (ii) An internal threat; and
design safeguards systems to protect (iii) A land vehicle bomb assault,
against acts of radiological sabotage which may be coordinated with an ex-
and to prevent the theft or diversion of ternal assault; and
special nuclear material. Licensees (iv) A waterborne vehicle bomb as-
subject to the provisions of § 73.20 (ex- sault, which may be coordinated with
cept for fuel cycle licensees authorized an external assault; and
under Part 70 of this chapter to re- (v) A cyber attack.
ceive, acquire, possess, transfer, use, or (2) Theft or diversion of formula quan-
deliver for transportation formula tities of strategic special nuclear material.
quantities of strategic special nuclear (i) A determined violent external as-

material), §§ 73.50, and 73.60 are exempt sault, attack by stealth, or deceptive
from §§ 73.1(a)(1)(i)(E), 73.1(a)(1)(iii), actions, including diversionary actions,
445
§ 73.1 10 CFR Ch. I (1–1–11 Edition)
by an adversary force capable of oper- subject to the control by the licensee,

ating in each of the following modes: a formula quantities of strategic special
single group attacking through one nuclear material or special nuclear ma-
entry point, multiple groups attacking terial of moderate strategic signifi-
through multiple entry points, a com- cance or special nuclear material of
bination of one or more groups and one low strategic significance.
or individuals attacking through mul- (2) This part prescribes requirements
tiple entry points, or individuals at- for the physical protection of special
tacking through separate entry points, nuclear material in transportation by
with the following attributes, assist- any person who is licensed pursuant to
ance and equipment: the regulations in parts 70 and 110 of
(A) Well-trained (including military this chapter who imports, exports,
training and skills) and dedicated indi- transports, delivers to a carrier for
viduals, willing to kill or be killed, transport in a single shipment, or
with sufficient knowledge to identify takes delivery of a single shipment free
specific equipment or locations nec- on board (F.O.B.) where it is delivered
essary for a successful attack; to a carrier, formula quantities of stra-
(B) Active (e.g., facilitate entrance tegic special nuclear material, special
and exit, disable alarms and commu- nuclear material of moderate strategic
nications, participate in violent at- significance or special nuclear material
tack) or passive (e.g., provide informa- of low strategic significance.
tion), or both, knowledgeable inside as- (3) This part also applies to ship-
sistance; ments by air of special nuclear mate-
(C) Suitable weapons, including hand- rial in quantities exceeding: (i) 20
held automatic weapons, equipped with grams or 20 curies, whichever is less, of
silencers and having effective long- plutonium or uranium-233, or (ii) 350
range accuracy; grams of uranium-235 (contained in
(D) Hand-carried equipment, includ- uranium enriched to 20 percent or more
ing incapacitating agents and explo- in the U–235 isotope).
sives for use as tools of entry or for (4) Special nuclear material subject
otherwise destroying reactor, facility, to this part may also be protected pur-
transporter, or container integrity or suant to security procedures prescribed
features of the safe-guards system; by the Commission or another Govern-
(E) Land and water vehicles, which ment agency for the protection of clas-
could be used for transporting per- sified materials. The provisions and re-
sonnel and their hand-carried equip- quirements of this part are in addition
ment; and to, and not in substitution for, any
(ii) An internal threat; and such security procedures. Compliance
(iii) A land vehicle bomb assault, with the requirements of this part does
which may be coordinated with an ex- not relieve any licensee from any re-
ternal assault; and quirement or obligation to protect spe-
(iv) A waterborne vehicle bomb as- cial nuclear material pursuant to secu-
sault, which may be coordinated with rity procedures prescribed by the Com-
an external assault; and mission or other Government agency
(v) A cyber attack. for the protection of classified mate-
(b) Scope. (1) This part prescribes re- rials.
quirements for: (5) This part also applies to the ship-
(i) The physical protection of produc- ment of irradiated reactor fuel in quan-
tion and utilization facilities licensed tities that in a single shipment both
under parts 50 or 52 of this chapter, exceed 100 grams in net weight of irra-
(ii) The physical protection of plants diated fuel, exclusive of cladding or
in which activities licensed pursuant to other structural or packaging mate-
part 70 of this chapter are conducted, rial, and have a total radiation dose in
and excess of 100 rems per hour at a dis-
(iii) The physical protection of spe- tance of 3 feet from any accessible sur-
cial nuclear material by any person face without intervening shielding.
who, pursuant to the regulations in (6) This part prescribes requirements

part 61 or 70 of this chapter, possesses for the physical protection of spent nu-
or uses at any site or contiguous sites clear fuel and high-level radioactive
446
waste stored in either an independent the shipment is located, and the Re-
spent fuel storage installation (ISFSI) gional Office for the region in which
or a monitored retrievable storage the first point of entry of the shipment
(MRS) installation licensed under part into the U.S. is located.
72 of this chapter, or stored at the geo- Armed escort means an armed person,
logic repository operations area li- not necessarily uniformed, whose pri-
censed under part 60 or part 63 of this mary duty is to accompany shipments
chapter. of special nuclear material for the pro-
(7) This part prescribes requirements tection of such shipments against theft
for the protection of Safeguards Infor- or radiological sabotage.
mation (including Safeguards Informa- Armed response personnel means per-
tion with the designation or marking: sons, not necessarily uniformed, whose
Safeguards Information—Modified primary duty in the event of attempted
Handling) in the hands of any person, theft of special nuclear material or ra-
whether or not a licensee of the Com- diological sabotage shall be to respond,
mission, who produces, receives, or ac- armed and equipped, to prevent or
quires that information. delay such actions.
(8) This part prescribes requirements Authorized individual means any indi-
for advance notice of export and import vidual, including an employee, a stu-
shipments of special nuclear material, dent, a consultant, or an agent of a li-
including irradiated reactor fuel. censee who has been designated in
(9) As provided in part 76 of this writing by a licensee to have responsi-
chapter, the regulations of this part es- bility for surveillance of or control
tablish procedures and criteria for over special nuclear material or to
physical security for the issuance of a have unescorted access to areas where
certificate of compliance or the ap- special nuclear material is used or
proval of a compliance plan. stored.
[44 FR 68186, Nov. 28, 1979] Background check includes, at a min-
imum, a Federal Bureau of Investiga-
tations affecting § 73.1, see the List of CFR tion (FBI) criminal history records
Sections Affected, which appears in the check (including verification of iden-
Finding Aids section of the printed volume tity based on fingerprinting), employ-
and at www.fdsys.gov. ment history, education, and personal
references. Individuals engaged in ac-
§ 73.2 Definitions. tivities subject to regulation by the
As used in this part: Commission, applicants for licenses to
(a) Terms defined in parts 50, 52, and engage in Commission-regulated ac-
70 of this chapter have the same mean- tivities, and individuals who have noti-
ing when used in this part. fied the Commission in writing of an
Appropriate Nuclear Regulatory Com- intent to file an application for licens-
mission Regional Office listed in appendix ing, certification, permitting, or ap-
A means: proval of a product or activity subject
(1) For domestic shipments—the Re- to regulation by the Commission are
gional Office within whose region the required under § 73.57 to conduct
licensee who is responsible for the fingerprinting and criminal history
physical protection arrangements of records checks before granting access
the shipment is located. to Safeguards Information. A back-
(2) For export shipments—the Re- ground check must be sufficient to sup-
gional Office within whose region the port the trustworthiness and reli-
licensee who is responsible for the ability determination so that the per-
physical protection arrangements of son performing the check and the Com-
the shipment is located, and the Re- mission have assurance that granting
gional Office for the region in which individuals access to Safeguards Infor-
the last point of exit of the shipment mation does not constitute an unrea-
from the U.S. is located. sonable risk to the public health and
(3) For import shipments—the Re- safety or the common defense and secu-
gional Office within whose region the rity.

licensee who is responsible for the Bullet/resisting means protection
physical protection arrangements of against complete penetration, passage
447
§ 73.2 10 CFR Ch. I (1–1–11 Edition)
of fragments of projectiles, and Formula quantity means strategic spe-

spalling (fragmentation) of the protec- cial nuclear material in any combina-
tive material that could cause injury tion in a quantity of 5,000 grams or
to a person standing directly behind more computed by the formula, grams
the bullet-resisting barrier. = (grams contained U-235) + 2.5 (grams
Contiguous sites means licensee con- U-233 + grams plutonium). This class of
trolled locations, deemed by the Com- material is sometimes referred to as a
mission to be in close enough prox- Category I quantity of material.
imity to each other, that the special Guard means a uniformed individual
nuclear material must be considered in armed with a firearm whose primary
the aggregate for the purpose of phys- duty is the protection of special nu-
ical protection. clear material against theft, the pro-
Continuous visual surveillance means tection of a plant against radiological
unobstructed view at all times of a sabotage, or both.
shipment of special nuclear material, Incendiary device means any self-con-
and of all access to a temporary stor- tained device intended to create an in-
age area or cargo compartment con- tense fire that can damage normally
taining the shipment. flame-resistant or retardant materials.
Controlled access area means any tem- Individual authorized access to Safe-
porarily or permanently established guards Information is an individual au-
area which is clearly demarcated, ac- thorized to have access to and handle
cess to which is controlled and which such information pursuant to the re-
affords isolation of the material or per- quirements of §§ 73.21 and 73.22 of this
sons within it. part.
Deceit means methods used to at- Individual authorized access to Safe-
tempt to gain unauthorized access, in- guards Information—Modified Handling
troduce unauthorized materials, or re- is an individual authorized to have ac-
move strategic special nuclear mate- cess to and handle Safeguards Informa-
rials, where the attempt involves fal- tion designated as Safeguards Informa-
sification to present the appearance of tion—Modified Handling information
authorized access. pursuant to the requirements of §§ 73.21
DOE and Department of Energy means and 73.23 of this part.
the Department of Energy established Intrusion alarm means a tamper indi-
by the Department of Energy Organiza- cating electrical, electromechanical,
tion Act (Pub. L. 95–91, 91 Stat. 565, 42 electrooptical, electronic or similar de-
U.S.C. 7101 et seq.), to the extent that vice which will detect intrusion by an
the Department, or its duly authorized individual into a building, protected
representatives, exercises functions area, vital area, or material access
formerly vested in the U.S. Atomic En- area, and alert guards or watchmen by
ergy Commission, its Chairman, mem- means of actuated visible and audible
bers, officers and components and signals.
transfered to the U.S. Energy Research Isolation zone means any area adja-
and Development Administration and cent to a physical barrier, clear of all
to the Administrator thereof pursuant objects which could conceal or shield
to sections 104(b), (c) and (d) of the En- an individual.
ergy Reorganization Act of 1974 (Pub. Lock in the case of vaults or vault
L. 93–438, 88 Stat. 1233 at 1237, 42 U.S.C. type rooms means a three-position,
5814) and retransferred to the Secretary manipulation resistant, dial type,
of Energy pursuant to section 301(a) of built-in combination lock or combina-
the Department of Energy Organiza- tion padlock and in the case of fences,
tion Act (Pub. L. 95–91, 91 Stat. 565 at walls, and buildings means an integral
577–578, 42 U.S.C. 7151). door lock or padlock which provides
Force means violent methods used by protection equivalent to a six-tumbler
an adversary to attempt to steal stra- cylinder lock. Lock in the case of a
tegic special nuclear material or to vault or vault type room also means
sabotage a nuclear facility or violent any manipulation resistant,

methods used by response personnel to electromechanical device which pro-
protect against such adversary actions. vides the same function as a built-in
448
combination lock or combination pad- other than the Commission or the De-
lock, which can be operated remotely partment of Energy (DOE), (except
or by the reading or insertion of infor- that the DOE shall be considered a per-
mation, which can be uniquely charac- son to the extent that its facilities are
terized, and which allows operation of subject to the licensing and related
the device. Locked means protected by regulatory authority of the Commis-
an operable lock. sion pursuant to section 202 of the En-
Material access area means any loca- ergy Reorganization Act of 1974 and
tion which contains special nuclear sections 104, 105, and 202 of the Ura-
material, within a vault or a building, nium Mill Tailings Radiation Control
the roof, walls, and floor of which each Act of 1978), any state or political sub-
constitute a physical barrier. division of a state, or any political sub-
Movement control center means an op- division of any government or nation,
erations center which is remote from or other entity; and (2) any legal suc-
transport activity and which maintains cessor, representative, agent, or agency
periodic position information on the of the foregoing.
movement of strategic special nuclear Physical barrier means:
material, receives reports of attempted (1) Fences constructed of No. 11
attacks or thefts, provides a means for American wire gauge, or heavier wire
reporting these and other problems to fabric, topped by three strands or more
appropriate agencies and can request of barbed wire or similar material on
and coordinate appropriate aid. brackets angled inward or outward be-
Need to know means a determination tween 30° and 45° from the vertical,
by a person having responsibility for with an overall height of not less than
protecting Safeguards Information (in- eight feet, including the barbed top-
cluding Safeguards Information des- ping;
ignated as Safeguards Information— (2) Building walls, ceilings and floors
Modified Handling) that a proposed re- constructed of stone, brick, cinder
cipient’s access to Safeguards Informa- block, concrete, steel or comparable
tion is necessary in the performance of materials (openings in which are se-
official, contractual, licensee, appli- cured by grates, doors, or covers of
cant, or certificate holder employment. construction and fastening of sufficient
In an adjudication, ‘‘need to know’’ strength such that the integrity of the
means a determination by the origi- wall is not lessened by any opening), or
nator of the information that the infor- walls of similar construction, not part
mation is necessary to enable the proof a building, provided with a barbed
posed recipient to proffer and/or adju- topping described in paragraph (1) of
dicate a specific contention in that this definition of a height of not less
proceeding, and the proposed recipient than 8 feet; or
of the specific Safeguards Information (3) Any other physical obstruction
possesses demonstrable knowledge, constructed in a manner and of mate-
skill, training, or education to effec- rials suitable for the purpose for which
tively utilize the specific Safeguards the obstruction is intended.
Information in the proceeding. Where Protected area means an area encom-
the information is in the possession of passed by physical barriers and to
the originator and the NRC staff (dual which access is controlled.
possession), whether in its original Quantities of concern means the quan-
form or incorporated into another doc- tities of the radionuclides meeting or
ument or other matter by the recipi- exceeding the threshold limits set forth
ent, the NRC staff makes the deter- in Table I–1 of Appendix I of this part.
mination. In the event of a dispute re- Radiological sabotage means any de-
garding the ‘‘need to know’’ determina- liberate act directed against a plant or
tion, the presiding officer of the pro- transport in which an activity licensed
ceeding shall make the ‘‘need to know’’ pursuant to the regulations in this
determination. chapter is conducted, or against a com-
Person means (1) any individual, cor- ponent of such a plant or transport
poration, partnership, firm, associa- which could directly or indirectly en-

tion, trust, estate, public or private in- danger the public health and safety by
stitution, group, government agency exposure to radiation.
449
§ 73.2 10 CFR Ch. I (1–1–11 Edition)
Safeguards Information means infor- General Services Administration Approved

mation not classified as National Secu- Security Container on the exterior of the
rity Information or Restricted Data top drawer or door; (3) A bank safe-de-
which specifically identifies a licens- posit box; and (4) Other repositories
ee’s or applicant’s detailed control and which in the judgement of the NRC,
accounting procedures for the physical would provide comparable physical
protection of special nuclear material protection.
in quantities determined by the Com- Security supervision means persons,
mission through order or regulation to not necessarily uniformed or armed,
be significant to the public health and whose primary duties are supervision
safety or the common defense and secu- and direction of security at the day-to-
rity; detailed security measures (in- day operating level.
cluding security plans, procedures, and Special nuclear material of low strategic
equipment) for the physical protection significance means:
of source, byproduct, or special nuclear
(1) Less than an amount of special
material in quantities determined by
nuclear material of moderate strategic
the Commission through order or regu-
significance as defined in paragraph (1)
lation to be significant to the public
health and safety or the common de- of the definition of strategic nuclear
fense and security; security measures material of moderate strategic signifi-
for the physical protection of and loca- cance in this section, but more than 15
tion of certain plant equipment vital to grams of uranium-235 (contained in
the safety of production or utilization uranium enriched to 20 percent or more
facilities; and any other information in U-235 isotope) or 15 grams of ura-
within the scope of Section 147 of the nium-233 or 15 grams of plutonium or
Atomic Energy Act of 1954, as amend- the combination of 15 grams when com-
ed, the unauthorized disclosure of puted by the equation, grams = (grams
which, as determined by the Commis- contained U-235) + (grams plutonium) +
sion through order or regulation, could (grams U-233); or
reasonably be expected to have a sig- (2) Less than 10,000 grams but more
nificant adverse effect on the health than 1,000 grams of uranium-235 (con-
and safety of the public or the common tained in uranium enriched to 10 per-
defense and security by significantly cent or more but less than 20 percent in
increasing the likelihood of sabotage the U-235 isotope); or
or theft or diversion of source, byprod- (3) 10,000 grams or more of uranium-
uct, or special nuclear material. 235 (contained in uranium enriched
Safeguards Information—Modified Han- above natural but less than 10 percent
dling is the designation or marking ap- in the U-235 isotope).
plied to Safeguards Information which This class of material is sometimes re-
the Commission has determined re-
ferred to as a Category III quantity of
quires handling requirements modified
material.
from the specific Safeguards Informa-
tion handling requirements that are Special nuclear material of moderate
applicable to Safeguards Information strategic significance means:
needing a higher level of protection. (1) Less than a formula quantity of
Security management means persons strategic special nuclear material but
responsible for security at the policy more than 1,000 grams of uranium-235
and general management level. (contained in uranium enriched to 20
Security Storage Container includes percent or more in the U-235 isotope) or
any of the following repositories: (1) more than 500 grams of uranium-233 or
For storage in a building located with- plutonium, or in a combined quantity
in a protected or controlled access of more than 1,000 grams when com-
area, a steel filing cabinet equipped puted by the equation, grams = (grams
with a steel locking bar and a three po- contained U-235) + 2 (grams U-233 +
sition, changeable combination, GSA grams plutonium); or
approved padlock; (2) A security filing (2) 10,000 grams or more of uranium-
cabinet that bears a Test Certification 235 (contained in uranium enriched to

Label on the side of the locking draw- 10 percent or more but less than 20 per-
er, or interior plate, and is marked, cent in the U-235 isotope).
450
This class of material is sometimes re- Vital area means any area which con-
ferred to as a Category II quantity of tains vital equipment.
material. Vital equipment means any equip-
Stealth means methods used to at- ment, system, device, or material, the
tempt to gain unauthorized access, in- failure, destruction, or release of which
troduce unauthorized materials, or re- could directly or indirectly endanger
move strategic special nuclear mate- the public health and safety by expo-
rial, where the fact of such attempt is sure to radiation. Equipment or sys-
concealed or an attempt is made to tems which would be required to func-
conceal it. tion to protect public health and safety
Strategic special nuclear material following such failure, destruction, or
means uranium-235 (contained in ura- release are also considered to be vital.
nium enriched to 20 percent or more in Watchman means an individual, not
the U–235 isotope), uranium-233, or plu- necessarily uniformed or armed with a
tonium. firearm, who provides protection for a
Tactical Response Team means the pri- plant and the special nuclear material
mary response force for each shift therein in the course of performing
which can be identified by a distinctive other duties.
item of uniform, armed with specified
weapons, and whose other duties per- [38 FR 35430, Dec. 28, 1973, as amended at 39
mit immediate response. FR 2352, Jan. 21, 1974; 40 FR 52841, Nov. 13,
1975; 42 FR 10838, Feb. 24, 1977; 43 FR 37425,
Transport means any land, sea, or air Aug. 23, 1978; 44 FR 43282, July 24, 1979; 44 FR
conveyance or modules for these con- 68187, Nov. 28, 1979; 45 FR 14201, Mar. 5, 1980;
veyances such as rail cars or standard- 46 FR 51724, Oct. 22, 1981; 53 FR 45451, Nov. 10,
ized cargo containers. 1988; 55 FR 51401, Dec. 14, 1990; 57 FR 33429,
Trustworthiness and reliability are July 29, 1992; 72 FR 49561, Aug. 28, 2007; 73 FR
characteristics of an individual consid- 63573, Oct. 24, 2008]
ered dependable in judgment, char-
acter, and performance, such that dis- § 73.3 Interpretations.
closure of Safeguards Information (in- Except as specifically authorized by
cluding Safeguards Information des- the Commission in writing, no inter-
ignated as Safeguards Information— pretations of the meaning of the regu-
Modified Handling) to that individual lations in this part by any officer or
does not constitute an unreasonable employee of the Commission other
risk to the public health and safety or than a written interpretation by the
common defense and security. A deter- General Counsel will be recognized as
mination of trustworthiness and reli- binding upon the Commission.
ability for this purpose is based upon a
background check. § 73.4 Communications.
Undergoing processing means per-
forming active operations on material Except where otherwise specified, all
such as chemical transformation, phys- communications and reports con-
ical transformation, or transit between cerning the regulations in this part and
such operations, to be differentiated applications filed under them should be
from storage or packaging for ship- sent as follows:
ment. (a) By mail addressed to: ATTN: Doc-
Vault means a windowless enclosure ument Control Desk, Director, Office of
with walls, floor, roof and door(s) de- Nuclear Reactor Regulation, Director,
signed and constructed to delay pene- Office of New Reactors, Director, Office
tration from forced entry. of Nuclear Material Safety and Safe-
Vault-type room means a room with guards, or Director, Division of Secu-
one or more doors, all capable of being rity Policy, Office of Nuclear Security
locked, protected by an intrusion and Incident Response, as appropriate,
alarm which creates an alarm upon the U.S. Nuclear Regulatory Commission,
entry of a person anywhere into the Washington, DC 20555–0001;
room and upon exit from the room or (b) By hand delivery to the NRC’s of-
upon movement of an individual within fices at 11555 Rockville Pike, Rock-
the room. ville, Maryland;
451
§ 73.5 10 CFR Ch. I (1–1–11 Edition)
(c) Where practicable, by electronic feet from any accessible surface with-
submission, for example, Electronic In- out intervening shielding; and
formation Exchange, or CD-ROM. Elec- (c) Special nuclear material in a
tronic submissions must be made in a quantity not exceeding 350 grams of
manner that enables the NRC to re- uranium-235, uranium-233, plutonium,
ceive, read, authenticate, distribute, or a combination thereof, possessed in
and archive the submission, and proc- any analytical, research, quality con-
ess and retrieve it a single page at a trol, metallurgical or electronic lab-
time. Detailed guidance on making oratory.
electronic submissions can be obtained (d) Special nuclear material that is
by visiting the NRC’s Web site at http:// being transported by the United States
www.nrc.gov/site-help/e-submittals.html; Department of Energy transport sys-
by e-mail to MSHD.Resource@nrc.gov; tem.
or by writing the Office of Information (e) Special nuclear material at non-
Services, U.S. Nuclear Regulatory power reactors.
Commission, Washington, DC 20555–
0001. The guidance discusses, among Licensees subject to § 73.60 are not ex-
other topics, the formats the NRC can empted from §§ 73.70 and 73.72, and li-
accept, the use of electronic signa- censees subject to § 73.67(e) are not ex-
tures, and the treatment of nonpublic empted from § 73.72 of this part.
information. [40 FR 52841, Nov. 13, 1975, as amended at 44
(d) Classified communications shall FR 68187, Nov. 28, 1979; 58 FR 31471, June 3,
be transmitted to the NRC Head- 1993]
quarters’ classified mailing address as
specified in appendix A to part 73 of § 73.8 Information collection require-
this chapter or delivered by hand in ac- ments: OMB approval.
cordance with this paragraph. (a) The Nuclear Regulatory Commis-
[68 FR 58819, Oct. 10, 2003, as amended at 73 sion has submitted the information
FR 5725, Jan. 31, 2008; 74 FR 62684, Dec. 1, collection requirements contained in
2009] this part to the Office of Management
and Budget (OMB) for approval as re-
§ 73.5 Specific exemptions. quired by the Paperwork Reduction
The Commission may, upon applica- Act (44 U.S.C. 3501 et seq.). The NRC
tion of any interested person or upon may not conduct or sponsor, and a per-
its own initiative, grant such exemp- son is not required to respond to, a col-
tions from the requirements of the reg- lection of information is it does not
ulations in this part as it determines display a currently valid OMB control
are authorized by law and will not en- number. OMB has approved the infor-
danger life or property or the common mation collection requirements con-
defense and security, and are otherwise tained in this part under control num-
in the public interest. ber 3150–0002.
(b) The approved information collec-
§ 73.6 Exemptions for certain quan- tion requirements contained in this
tities and kinds of special nuclear part appear in §§ 73.5, 73.20, 73.21, 73.24,
material. 73.25, 73.26, 73.27, 73.37, 73.40, 73.45, 73.46,
A licensee is exempt from the re- 73.50, 73.54, 73.55, 73.56, 73.57, 73.58, 73.60,
quirements of 10 CFR part 26 and 73.67, 73.70, 73.71, 73.72, 73.73, 73.74, and
§§ 73.20, 73.25, 73.26, 73.27, 73.45, 73.46, Appendices B, C, and G to this part.
73.70 and 73.72 with respect to the fol- (c) This part contains information
lowing special nuclear material: collection requirements in addition to
(a) Uranium-235 contained in ura- those approved under the control num-
nium enriched to less than 20 percent ber specified in paragraph (a) of this
in the U–235 isotope: section. The information collection re-
(b) Special nuclear material which is quirement and the control numbers
not readily separable from other radio- under which it is approved are as fol-
active material and which has a total lows:

external radiation dose rate in excess (1) In § 73.71, NRC Form 366 is ap-
of 100 rems per hour at a distance of 3 proved under control number 3150–0104.
452
(2) [Reserved] (4) Includes a testing and mainte-

nance program to assure control over
[62 FR 52189, Oct. 6, 1997, as amended at 67 FR
all activities and devices affecting the
67101, Nov. 4, 2002; 73 FR 63574, Oct. 24, 2008;
74 FR 13970, Mar. 27, 2009] effectiveness, reliability, and avail-
ability of the physical protection sys-
§ 73.20 General performance objective tem, including a demonstration that
and requirements. any defects of such activities and de-
vices will be promptly detected and
(a) In addition to any other require- corrected for the total period of time
ments of this part, each licensee who is they are required as a part of the phys-
authorized to operate a fuel reprocess- ical protection system.
ing plant pursuant to part 50 of this (c) Each licensee subject to the re-
chapter; possesses or uses formula quirements of paragraphs (a) and (b) of
quantities of strategic special nuclear this section shall establish, maintain,
material at any site or contiguous sites and follow NRC-approved safeguards
subject to control by the licensee; is physical protection and safeguards con-
authorized to transport or deliver to a tingency plans that describe how the
carrier for transportation pursuant to licensee will comply with the require-
part 70 of this chapter formula quan- ments of paragraphs (a) and (b) of this
tities of strategic special nuclear mate- section.
rial; takes delivery of formula quan-
tities of strategic special nuclear mate-
FR 33430, July 29, 1992]
rial free on board (f.o.b.) the point at
which it is delivered to a carrier for § 73.21 Protection of Safeguards Infor-
transportation; or imports or exports mation: Performance requirements.
formula quantities of strategic special (a) General performance requirement.
nuclear material, shall establish and (1) Each licensee, certificate holder, ap-
maintain or make arrangements for a plicant, or other person who produces,
physical protection system which will receives, or acquires Safeguards Infor-
have as its objective to provide high as- mation (including Safeguards Informa-
surance that activities involving spe- tion with the designation or marking:
cial nuclear material are not inimical Safeguards Information—Modified
to the common defense and security, Handling) shall ensure that it is pro-
and do not constitute an unreasonable tected against unauthorized disclosure.
risk to the public health and safety. To meet this general performance re-
The physical protection system shall quirement, such licensees, certificate
be designed to protect against the de- holders, applicants, or other persons
sign basis threats of theft or diversion subject to this section shall:
of strategic special nuclear material (i) Establish, implement, and main-
and radiological sabotage as stated in tain an information protection system
§ 73.1(a). that includes the applicable measures
(b) To achieve the general perform- for Safeguards Information specified in
ance objective of paragraph (a) of this § 73.22 related to: Power reactors; a for-
section a licensee shall establish and mula quantity of strategic special nu-
maintain, or arrange for, a physical clear material; transportation of or de-
protection system that: livery to a carrier for transportation of
(1) Provides the performance capa- a formula quantity of strategic special
bilities described in § 73.25 for in-transit nuclear material or more than 100
protection or in § 73.45 for fixed site grams of irradiated reactor fuel; ura-
protection unless otherwise authorized nium hexafluoride production or con-
by the Commission; version facilities; fuel fabrication fa-
(2) Is designed with sufficient redun- cilities; uranium enrichment facilities;
dancy and diversity to ensure mainte- independent spent fuel storage instal-
nance of the capabilities described in lations; and geologic repository oper-
§§ 73.25 and 73.45; ations areas.
(3) Includes a safeguards contingency (ii) Establish, implement, and main-
capability that can meet the criteria in tain an information protection system
appendix C to this part ‘‘Licensee Safe- that includes the applicable measures
guards Contingency Plans;’’ and for Safeguards Information specified in
453
§ 73.22 10 CFR Ch. I (1–1–11 Edition)
§ 73.23 related to: Panoramic and under- tor fuel; uranium hexafluoride produc-
water irradiators that possess greater tion or conversion facilities, fuel fab-
than 370 TBq (10,000 Ci) of byproduct rication facilities, and uranium enrich-
material in the form of sealed sources; ment facilities; independent spent fuel
manufacturers and distributors of storage installations; geologic reposi-
items containing source material, or tory operations areas and Safeguards
byproduct or special nuclear material Information in the hands of any person
in greater than or equal to Category 2 subject to the requirements of
quantities of concern; research and test § 73.21(a)(1)(iii).
reactors that possess special nuclear (a) Information to be protected. The
material of moderate strategic signifi- types of information and documents
cance or special nuclear material of that must be protected as Safeguards
low strategic significance; and trans- Information include non-public secu-
portation of source, byproduct, or spe- rity-related requirements such as:
cial nuclear material in greater than or (1) Physical protection. Information
equal to Category 1 quantities of con- not classified as Restricted Data or Na-
cern. tional Security Information related to
(iii) Protect the information in ac- physical protection, including:
cordance with the requirements of
(i) The composite physical security
§ 73.22 if the Safeguards Information is
plan for the facility or site;
not described in paragraphs (a)(1)(i)
and (a)(1)(ii) of this section. (ii) Site-specific drawings, diagrams,
(2) Information protection procedures sketches, or maps that substantially
employed by Federal, State, and local represent the final design features of
law enforcement agencies are presumed the physical security system not easily
to meet the general performance re- discernible by members of the public;
quirement in § 73.21(a)(1). (iii) Alarm system layouts showing
(b) Commission authority. (1) Pursuant the location of intrusion detection de-
to Section 147 of the Atomic Energy vices, alarm assessment equipment,
Act of 1954, as amended, the Commis- alarm system wiring, emergency power
sion may impose, by order or regula- sources for security equipment, and du-
tion, Safeguards Information protec- ress alarms not easily discernible by
tion requirements different from or in members of the public;
addition to those specified in this Part (iv) Physical security orders and pro-
on any person who produces, receives, cedures issued by the licensee for mem-
or acquires Safeguards Information. bers of the security organization de-
(2) The Commission may require, by tailing duress codes, patrol routes and
regulation or order, that information schedules, or responses to security con-
within the scope of Section 147 of the tingency events;
Atomic Energy Act of 1954, as amend- (v) Site-specific design features of
ed, related to facilities or materials plant security communications sys-
not specifically described in §§ 73.21, tems;
73.22 or 73.23 be protected under this (vi) Lock combinations, mechanical
part. key design, or passwords integral to
[73 FR 63574, Oct. 24, 2008] the physical security system;
(vii) Documents and other matter
§ 73.22 Protection of Safeguards Infor- that contain lists or locations of cer-
mation: Specific requirements. tain safety-related equipment explic-
This section contains specific re- itly identified in the documents or
quirements for the protection of Safe- other matter as vital for purposes of
guards Information in the hands of any physical protection, as contained in se-
person subject to the requirements of curity plans, contingency measures, or
§ 73.21(a)(1)(i) and related to power re- plant specific safeguards analyses;
actors; a formula quantity of strategic (viii) The composite safeguards con-
special nuclear material; transpor- tingency plan/measures for the facility
tation of or delivery to a carrier for or site;
transportation of a formula quantity of (ix) The composite facility guard

strategic special nuclear material or qualification and training plan/meas-
more than 100 grams of irradiated reac- ures disclosing features of the physical
454
security system or response proce- (vii) Information concerning the tac-

dures; tics and capabilities required to defend
(x) Information relating to on-site or against attempted sabotage, or theft
off-site response forces, including size, and diversion of formula quantities of
armament of response forces, and ar- special nuclear material, irradiated re-
rival times of such forces committed to actor fuel, or related information; and
respond to security contingency (viii) Engineering or safety analyses,
events; security-related procedures or sce-
(xi) The adversary characteristics narios and other information related to
document and related information, in- the protection of the transported mate-
cluding implementing guidance associ- rial if the unauthorized disclosure of
ated with the Design Basis Threat in such analyses, procedures, scenarios, or
§ 73.1(a)(1) or (a)(2); and other information could reasonably be
(xii) Engineering and safety analyses, expected to have a significant adverse
security-related procedures or sce- effect on the health and safety of the
narios, and other information revealing public or the common defense and se-
site-specific details of the facility or curity by significantly increasing the
materials if the unauthorized disclo- likelihood of theft, diversion, or sabo-
sure of such analyses, procedures, sce- tage of source, byproduct, or special
narios, or other information could rea- nuclear material.
sonably be expected to have a signifi- (3) Inspections, audits and evaluations.
cant adverse effect on the health and Information not classified as National
safety of the public or the common de- Security Information or Restricted
fense and security by significantly in- Data pertaining to safeguards and se-
creasing the likelihood of theft, diver- curity inspections and reports, includ-
sion, or sabotage of source, byproduct, ing:
or special nuclear material. (i) Portions of inspection reports,
(2) Physical protection in transit. Infor- evaluations, audits, or investigations
mation not classified as Restricted that contain details of a licensee’s or
Data or National Security Information applicant’s physical security system or
related to the transportation of, or de- that disclose uncorrected defects,
livery to a carrier for transportation of weaknesses, or vulnerabilities in the
a formula quantity of strategic special system. Disclosure of corrected defects,
nuclear material or more than 100 weaknesses, or vulnerabilities is sub-
grams of irradiated reactor fuel, in- ject to an assessment taking into ac-
cluding: count such factors as trending analyses
(i) The composite physical security and the impacts of disclosure on licens-
plan for transportation; ees having similar physical security
(ii) Schedules and itineraries for spe- systems; and
cific shipments of source material, by- (ii) Reports of investigations con-
product material, high-level nuclear taining general information may be re-
waste, or irradiated reactor fuel. leased after corrective actions have
Schedules for shipments of source ma- been completed, unless withheld pursu-
terial, byproduct material, high-level ant to other authorities, e.g., the Free-
nuclear waste, or irradiated reactor dom of Information Act (5 U.S.C. 552).
fuel are no longer controlled as Safe- (4) Correspondence. Portions of cor-
guards Information 10 days after the respondence insofar as they contain
last shipment of a current series; Safeguards Information as set forth in
(iii) Vehicle immobilization features, paragraphs (a)(1) through (a)(3) of this
intrusion alarm devices, and commu- section.
nications systems; (5) Other information within the
(iv) Arrangements with and capabili- scope of Section 147 of the Atomic En-
ties of local police response forces, and ergy Act of 1954, as amended, that the
locations of safe havens identified Commission determines by order or
along the transportation route; regulation could reasonably be ex-
(v) Limitations of communications pected to have a significant adverse ef-
during transport; fect on the health and safety of the

(vi) Procedures for response to secu- public or the common defense and se-
rity contingency events; curity by significantly increasing the
455
§ 73.22 10 CFR Ch. I (1–1–11 Edition)
likelihood of theft, diversion, or sabo- need not be stored in a locked security

tage of source, byproduct, or special storage container.
nuclear material or a facility. (2) While unattended, Safeguards In-
(b) Conditions for access. (1) Except as formation must be stored in a locked
the Commission may otherwise author- security storage container. The con-
ize, no person may have access to Safe- tainer shall not identify the contents
guards Information unless the person of the matter contained and must pre-
has an established ‘‘need to know’’ for clude access by individuals not author-
the information and has undergone a ized access in accordance with the pro-
Federal Bureau of Investigation (FBI) visions of this section. Knowledge of
criminal history records check using lock combinations protecting Safe-
the procedures set forth in § 73.57. guards Information must be limited to
(2) In addition, a person to be granted a minimum number of personnel for op-
access to Safeguards Information must erating purposes who have a ‘‘need to
be trustworthy and reliable, based on a know’’ and are otherwise authorized ac-
background check or other means ap- cess to Safeguards Information in ac-
proved by the Commission. cordance with the provisions of this
(3) The categories of individuals spec- Part. Access to lock combinations
ified in 10 CFR 73.59 are exempt from must be strictly controlled so as to
the criminal history records check and prevent disclosure to an individual not
background check requirements in authorized access to Safeguards Infor-
paragraphs (b)(1) and (b)(2) of this sec- mation.
tion by virtue of their occupational (d) Preparation and marking of docu-
status. ments or other matter. (1) Each docu-
(4) For persons participating in an ment or other matter that contains
NRC adjudicatory proceeding, the Safeguards Information as described in
‘‘need to know’’ determination shall be § 73.21(a)(1)(i) and this section must be
made by the originator of the Safe- marked to indicate the presence of
guards Information upon receipt of a such information in a conspicuous
request for access to the Safeguards In- manner on the top and bottom of each
formation. Where the information is in page. The first page of the document or
the possession of the originator and the other matter must also contain:
NRC staff, whether in its original form (i) The name, title, and organization
or incorporated into another document of the individual authorized to make a
or other matter by the recipient, the Safeguards Information determination,
NRC staff shall make the determina- and who has determined that the docu-
tion. In the event of a dispute regard- ment or other matter contains Safe-
ing the ‘‘need to know’’ determination, guards Information;
the presiding officer of the proceeding (ii) The date the determination was
shall determine whether the ‘‘need to made; and
know’’ findings in § 73.2 can be made. (iii) An indication that unauthorized
(5) Except as the Commission may disclosure will be subject to civil and
otherwise authorize, no person may criminal sanctions.
disclose Safeguards Information to any (2) In addition to the markings at the
other person except as set forth in this top and bottom of each page, any
section. transmittal letters or memoranda to or
(c) Protection while in use or storage. from the NRC which do not in them-
(1) While in use, matter containing selves contain Safeguards Information
Safeguards Information must be under shall be marked to indicate that at-
the control of an individual authorized tachments or enclosures contain Safe-
access to Safeguards Information. This guards Information but that the trans-
requirement is satisfied if the Safe- mittal document or other matter does
guards Information is attended by such not (i.e., ‘‘When separated from Safe-
an individual even though the informa- guards Information enclosure(s), this
tion is in fact not constantly being document is decontrolled provided the
used. Safeguards Information within transmittal document does not other-

alarm stations, or rooms continuously wise warrant protection from unau-
occupied by authorized individuals thorized disclosure’’).
456
(3) Any transmittal document or ment or other matter contains Safe-

other matter forwarding Safeguards In- guards Information.
formation must alert the recipient that (2) Safeguards Information may be
protected information is enclosed. Cer- transported by any commercial deliv-
tification that a document or other ery company that provides service with
matter contains Safeguards Informa- computer tracking features, U.S. first
tion must include the name and title of class, registered, express, or certified
the certifying official and date des- mail, or by any individual authorized
ignated. Portion marking is required access pursuant to these requirements.
only for correspondence to and from (3) Except under emergency or ex-
the NRC (i.e., cover letters, but not at- traordinary conditions, Safeguards In-
tachments) that contains Safeguards formation shall be transmitted outside
Information. The portion marking an authorized place of use or storage
must be sufficient to allow the recipi- only by NRC approved secure elec-
ent to identify and distinguish those tronic devices, such as facsimiles or
sections of the transmittal document telephone devices, provided that trans-
or other information containing the mitters and receivers implement proc-
Safeguards Information from non-Safe- esses that will provide high assurance
guards Information. that Safeguards Information is pro-
(4) Marking of documents or other tected before and after the trans-
matter containing or transmitting mission or electronic mail through the
Safeguards Information shall, at a min- internet, provided that the information
imum include the words ‘‘Safeguards is encrypted by a method (Federal In-
Information’’ to ensure identification formation Processing Standard [FIPS]
of protected information for the pro- 140–2 or later) approved by the appro-
tection of facilities and material cov- priate NRC Office; the information is
ered by § 73.22. produced by a self contained secure
(e) Reproduction of matter containing automatic data process system; and
Safeguards Information. Safeguards In- transmitters and receivers implement
formation may be reproduced to the the information handling processes
minimum extent necessary consistent that will provide high assurance that
with need without permission of the Safeguards Information is protected
originator. Equipment used to repro- before and after transmission. Physical
duce Safeguards Information must be security events required to be reported
evaluated to ensure that unauthorized pursuant to § 73.71 are considered to be
individuals cannot access Safeguards extraordinary conditions.
Information (e.g., unauthorized indi- (g) Processing of Safeguards Informa-
viduals cannot access Safeguards Infor- tion on electronic systems. (1) Safeguards
mation by gaining access to retained Information may be stored, processed
memory or network connectivity). or produced on a stand-alone computer
(f) External transmission of documents (or computer system) for processing of
and material. (1) Documents or other Safeguards Information. ‘‘Stand-alone’’
matter containing Safeguards Informa- means a computer or computer system
tion, when transmitted outside an au- to which access is limited to individ-
thorized place of use or storage, must uals authorized access to Safeguards
be packaged in two sealed envelopes or Information. A stand-alone computer
wrappers to preclude disclosure of the or computer system shall not be phys-
presence of protected information. The ically or in any other way connected to
inner envelope or wrapper must con- a network accessible by users who are
tain the name and address of the in- not authorized access to Safeguards In-
tended recipient and be marked on formation.
both sides, top and bottom, with the (2) Each computer not located within
words ‘‘Safeguards Information.’’ The an approved and lockable security stor-
outer envelope or wrapper must be age container that is used to process
opaque, addressed to the intended re- Safeguards Information must have a
cipient, must contain the address of removable storage medium with a

the sender, and may not bear any bootable operating system. The
markings or indication that the docu- bootable operating system must be
457
§ 73.23 10 CFR Ch. I (1–1–11 Edition)
used to load and initialize the com- § 73.23 Protection of Safeguards Infor-
puter. The removable storage medium mation—Modified Handling: Spe-
must also contain the software applica- cific requirements.
tion programs. Data may be saved on This section contains specific re-
either the removable storage medium quirements for the protection of Safe-
that is used to boot the operating sys- guards Information in the hands of any
tem, or on a different removable stor- person subject to the requirements of
age medium. The removable storage
§ 73.21(a)(1)(ii) and related to panoramic
medium must be secured in a locked
and underwater irradiators that pos-
security storage container when not in
sess greater than 370 TBq (10,000 Ci) of
use.
byproduct material in the form of
(3) A mobile device (such as a laptop
computer) may also be used for the sealed sources; manufacturers and dis-
processing of Safeguards Information tributors of items containing source
provided the device is secured in a material, or byproduct or special nu-
locked security storage container when clear material in greater than or equal
not in use. Other systems may be used to Category 2 quantities of concern;
if approved for security by the appro- transportation of more than 1000 Tbq
priate NRC office. (27,000 Ci) but less than or equal to 100
(4) Any electronic system that has grams of spent nuclear fuel; research
been used for storage, processing or and test reactors that possess special
production of Safeguards Information nuclear material of moderate strategic
must be free of recoverable Safeguards significance or special nuclear material
Information prior to being returned to of low strategic significance; and trans-
nonexclusive use. portation of source, byproduct, or spe-
(h) Removal from Safeguards Informa- cial nuclear material in greater than or
tion category. Documents or other mat- equal to Category 1 quantities of con-
ter originally containing Safeguards cern. The requirements of this section
Information must be removed from the distinguish Safeguards Information re-
Safeguards Information category at quiring modified handling require-
such time as the information no longer ments (SGI–M) from the specific Safe-
meets the criteria contained in this guards Information handling require-
part. Care must be exercised to ensure ments applicable to facilities and ma-
that any document or other matter de- terials needing a higher level of protec-
controlled not disclose Safeguards In- tion, as set forth in § 73.22.
formation in some other form or be (a) Information to be protected. The
combined with other unprotected infor- types of information and documents
mation to disclose Safeguards Informa- that must be protected as Safeguards
tion. The authority to determine that Information—Modified Handling in-
a document or other matter may be de- clude non-public security-related re-
controlled will only be exercised by the quirements such as protective meas-
NRC, with NRC approval, or in con- ures, interim compensatory measures,
sultation with the individual or organi- additional security measures, and the
zation that made the original deter- following, as applicable:
mination. (1) Physical protection. Information
(i) Destruction of matter containing not classified as Restricted Data or Na-
Safeguards Information. Documents or tional Security Information related to
other matter containing Safeguards In- physical protection, including:
formation shall be destroyed when no (i) The composite physical security
longer needed. The information can be plan for the facility or site;
destroyed by burning, shredding or any (ii) Site specific drawings, diagrams,
other method that precludes recon- sketches, or maps that substantially
struction by means available to the represent the final design features of
public at large. Piece sizes no wider the physical security system not easily
than one quarter inch composed of sev- discernible by members of the public;
eral pages or documents and thor- (iii) Alarm system layouts showing
oughly mixed are considered com- the location of intrusion detection de-
pletely destroyed. vices, alarm assessment equipment,
[73 FR 63574, Oct. 24, 2008] alarm system wiring, emergency power
458
sources for security equipment, and du- immobilization devices, and escort re-
ress alarms not easily discernible by quirements, more detailed than NRC
members of the public; regulations;
(iv) Physical security orders and pro- (ii) Scheduling and itinerary infor-
cedures issued by the licensee for mem- mation for shipments (scheduling and
bers of the security organization de- itinerary information for shipments
tailing duress codes, patrol routes and that are inherently self-disclosing,
schedules, or responses to security con- such as a shipment that created exten-
tingency events; sive news coverage or an announce-
(v) Site specific design features of ment by a public official confirming re-
plant security communications sys- ceipt, may be decontrolled after ship-
tems; ment departure). Scheduling and
(vi) Lock combinations, mechanical itinerary information for shipments
key design, or passwords integral to that are not inherently self-disclosing
the physical security system; may be decontrolled 2 days after the
(vii) The composite facility guard shipment is completed. Scheduling and
qualification and training plan/meas- itinerary information used for the pur-
ures disclosing features of the physical pose of preplanning, coordination, and
security system or response proce- advance notification may be shared
dures; with others on a ‘‘need to know’’ basis
(viii) Descriptions of security activi- and need not be designated as Safe-
ties which disclose features of the guards Information-Modified Han-
physical security system or response dling);
measures; (iii) Arrangements with and capabili-
(ix) Information relating to onsite or ties of local police response forces, and
offsite response forces, including size, locations of safe havens identified
armament of the response forces, and along the transportation route;
arrival times of such forces committed (iv) Details of alarm and communica-
to respond to security contingency tion systems, communication proce-
events; and dures, and duress codes;
(x) Engineering and safety analyses, (v) Procedures for response to secu-
security-related procedures or sce- rity contingency events; and
narios, and other information revealing (vi) Engineering or safety analyses,
site-specific details of the facility or security-related procedures or sce-
materials if the unauthorized disclo- narios and other information related to
sure of such analyses, procedures, sce- the protection of the transported mate-
narios, or other information could rea- rial if the unauthorized disclosure of
sonably be expected to have a signifi- such analyses, procedures, scenarios, or
cant adverse effect on the health and other information could reasonably be
safety of the public or the common de- expected to have a significant adverse
fense and security by significantly in- effect on the health and safety of the
creasing the likelihood of theft, diver- public or the common defense and se-
sion, or sabotage of source, byproduct, curity by significantly increasing the
or special nuclear material. likelihood of theft, diversion, or sabo-
(2) Physical protection in transit. Infor- tage of source, byproduct, or special
mation not classified as Restricted nuclear material.
Data or National Security Information (3) Inspections, audits and evaluations.
related to the physical protection of Information not classified as National
shipments of more than 1000 Tbq (27,000 Security Information or Restricted
Ci) but less than or equal to 100 grams Data pertaining to safeguards and se-
of spent nuclear fuel, source material curity inspections and reports, includ-
and byproduct material in Category 1 ing:
quantities of concern, and special nu- (i) Portions of inspection reports,
clear material in less than a formula evaluations, audits, or investigations
quantity (except for those materials that contain details of a licensee’s or
covered under § 73.22), including: applicant’s physical security system or
(i) Information regarding transpor- that disclose uncorrected defects,

tation security measures, including weaknesses, or vulnerabilities in the
physical security plans and procedures, system. Disclosure of corrected defects,
459
§ 73.23 10 CFR Ch. I (1–1–11 Edition)
weaknesses, or vulnerabilities is sub- upon receipt of a request for access to

ject to an assessment taking into ac- the Safeguards Information designated
count such factors as trending analyses as Safeguards Information-Modified
and the impacts of disclosure on licens- Handling. Where the information is in
ees having similar physical security the possession of the originator and the
systems; and NRC staff, whether in its original form
(ii) Reports of investigations con- or incorporated into another document
taining general information may be re- or other matter by the recipient, the
leased after the corrective actions have NRC staff shall make the determina-
been completed, unless withheld pursu- tion. In the event of a dispute regard-
ant to other authorities, e.g., the Free- ing the ‘‘need to know’’ determination,
dom of Information Act (5 U.S.C. 552). the presiding officer of the proceeding
(4) Correspondence. Portions of cor- shall determine whether the ‘‘need to
respondence insofar as they contain know’’ findings in § 73.2 can be made.
Safeguards Information designated as (5) Except as the Commission may
Safeguards Information-Modified Han- otherwise authorize, no person may
dling, as set forth in paragraphs (a)(1) disclose Safeguards Information des-
through (a)(3) of this section. ignated as Safeguards Information-
(5) Other information within the Modified Handling to any other person
scope of Section 147 of the Atomic En- except as set forth in this section.
ergy Act of 1954, as amended, that the (c) Protection while in use or storage.
Commission determines by order or (1) While in use, matter containing
regulation could reasonably be ex- Safeguards Information designated as
pected to have a significant adverse ef- Safeguards Information-Modified Han-
fect on the health and safety of the dling must be under the control of an
public or the common defense and se- individual authorized access to such in-
curity by significantly increasing the formation. This requirement is satis-
likelihood of theft, diversion, or sabo- fied if the Safeguards Information des-
tage of source, byproduct, or special ignated as Safeguards Information-
nuclear material or a facility. Modified Handling is attended by such
(b) Conditions for access. (1) Except as an individual even though the informa-
the Commission may otherwise author- tion is in fact not constantly being
ize, no person may have access to Safe- used. Safeguards Information des-
guards Information designated as Safe- ignated as Safeguards Information-
guards Information-Modified Handling Modified Handling within alarm sta-
unless the person has an established tions, or rooms continuously occupied
‘‘need to know’’ for the information and by authorized individuals, need not be
has undergone a Federal Bureau of In- locked in a file drawer or cabinet.
vestigation criminal history records (2) While unattended, Safeguards In-
check using the procedures set forth in formation designated as Safeguards In-
§ 73.57. formation-Modified Handling must be
(2) In addition, a person to be granted stored in a locked file drawer or cabi-
access to Safeguards Information must net. The container shall not identify
be trustworthy and reliable, based on a the contents of the matter contained
background check or other means ap- and must preclude access by individ-
proved by the Commission. uals not authorized access in accord-
(3) The categories of individuals spec- ance with the provisions of this sec-
ified in 10 CFR 73.59 are exempt from tion. Knowledge of lock combinations
the criminal history records check and or access to keys protecting Safeguards
background check requirements in Information designated as Safeguards
paragraphs (b)(1) and (b)(2) of this sec- Information-Modified Handling must
tion by virtue of their occupational be limited to a minimum number of
status: personnel for operating purposes who
(4) For persons participating in an have a ‘‘need to know’’ and are other-
NRC adjudicatory proceeding, the wise authorized access to Safeguards
‘‘need to know’’ determination shall be Information in accordance with the
made by the originator of the Safe- provisions of this Part. Access to lock
guards Information designated as Safe- combinations must be strictly con-
guards Information-Modified Handling trolled so as to prevent disclosure to an
460
individual not authorized access to dling must include the name and title
Safeguards Information designated as of the certifying official and date des-
Safeguards Information-Modified Han- ignated. Portion marking is required
dling. only for correspondence to and from
(d) Preparation and marking of docu- the NRC (i.e., cover letters, but not at-
ments or other matter. (1) Each docu- tachments) that contains Safeguards
ment or other matter that contains Information designated as Safeguards
Safeguards Information designated as Information-Modified Handling. The
Safeguards Information-Modified Han- portion marking must be sufficient to
dling as described in § 73.23(a) and in allow the recipient to identify and dis-
this section must be marked to indi- tinguish those sections of the trans-
cate the presence of Safeguards Infor- mittal document or other information
mation with modified handling require- containing the Safeguards Information
ments in a conspicuous manner on the from non-Safeguards Information.
top and bottom of each page. The first (4) Marking of documents or other
page of the document or other matter matter containing or transmitting
must also contain: Safeguards Information with modified
(i) The name, title, and organization handling requirements shall, at a min-
of the individual authorized to make a imum include the words ‘‘Safeguards
‘‘Safeguards Information designated as Information-Modified Handling’’ to en-
Safeguards Information-Modified Han- sure identification of protected infor-
dling’’ determination, and who has de- mation for the protection of facilities
termined that the document or other and material covered by § 73.23.
matter contains Safeguards Informa- (e) Reproduction of matter containing
tion designated as Safeguards Informa- Safeguards Information designated as
tion-Modified Handling; Safeguards Information-Modified Han-
(ii) The date the determination was dling. Safeguards Information des-
made; and ignated as Safeguards Information-
(iii) An indication that unauthorized Modified Handling may be reproduced
disclosure will be subject to civil and to the minimum extent necessary, con-
criminal sanctions. sistent with need, without permission
(2) In addition to the markings at the of the originator. Equipment used to
top and bottom of each page, any reproduce Safeguards Information des-
transmittal letters or memoranda to or ignated as Safeguards Information-
from the NRC which do not in them- Modified Handling must be evaluated
selves contain Safeguards Information to ensure that unauthorized individ-
designated as Safeguards Information- uals cannot access the information
Modified Handling shall be marked to (e.g. , unauthorized individuals cannot
indicate that attachments or enclo- access Safeguards Information by gain-
sures contain Safeguards Information ing access to retained memory or net-
designated as Safeguards Information- work connectivity).
Modified Handling but that the trans- (f) External transmission of documents
mittal document does not (i.e., ‘‘When and material. (1) Documents or other
separated from Safeguards Information matter containing Safeguards Informa-
designated as Safeguards Information- tion designated as Safeguards Informa-
Modified Handling enclosure(s), this tion-Modified Handling, when trans-
document is decontrolled provided the mitted outside an authorized place of
transmittal document does not other- use or storage, must be packaged in
wise warrant protection from unau- two sealed envelopes or wrappers to
thorized disclosure’’). preclude disclosure of the presence of
(3) Any transmittal document or protected information. The inner enve-
other matter forwarding Safeguards In- lope or wrapper must contain the name
formation designated as Safeguards In- and address of the intended recipient
formation-Modified Handling must and be marked on both sides, top and
alert the recipient that protected infor- bottom, with the words ‘‘Safeguards In-
mation is enclosed. Certification that a formation-Modified Handling.’’ The
document or other matter contains outer envelope or wrapper must be

Safeguards Information designated as opaque, addressed to the intended re-
Safeguards Information-Modified Han- cipient, must contain the address of
461
§ 73.23 10 CFR Ch. I (1–1–11 Edition)
the sender, and may not bear any designated as Safeguards Information-
markings or indication that the docu- Modified Handling.
ment contains Safeguards Information (2) Safeguards Information des-
designated as Safeguards Information- ignated as Safeguards Information-
Modified Handling. Modified Handling files may be trans-
(2) Safeguards Information des- mitted over a network if the file is
ignated Safeguards Information-Modi- encrypted. In such cases, the licensee
fied Handling may be transported by will select a commercially available
any commercial delivery company that encryption system that the National
provides service with computer track- Institute of Standards and Technology
ing features, U.S. first class, reg- (NIST) has validated as conforming to
istered, express, or certified mail, or by Federal Information Processing Stand-
any individual authorized access pursu- ards (FIPS) 140–2 or later. Safeguards
ant to these requirements. Information designated as Safeguards
(3) Except under emergency or ex- Information-Modified Handling files
traordinary conditions, Safeguards In- shall be properly labeled to indicate
formation designated as Safeguards In- the presence of Safeguards Information
formation-Modified Handling must be with modified handling requirements
transmitted electronically only by pro- and saved to removable matter and
tected telecommunications circuits stored in a locked file drawer or cabi-
(including facsimile) or encryption by net.
a method (Federal Information Proc-
(3) A mobile device (such as a laptop
essing Standard [FIPS] 140–2 or later)
computer) may also be used for the
approved by the appropriate NRC of-
processing of Safeguards Information
fice. For the purpose of this section,
emergency or extraordinary conditions designated as Safeguards Information-
are defined as any circumstances that Modified Handling provided the device
require immediate communications in is secured in an appropriate locked
order to report, summon assistance for, storage container when not in use.
or respond to a security contingency Other systems may be used if approved
event or an event that has potential se- for security by the appropriate NRC of-
curity significance. Physical security fice.
events required to be reported pursuant (4) Any electronic system that has
to § 73.71 are considered to be extraor- been used for storage, processing or
dinary conditions. production of Safeguards Information
(g) Processing of Safeguards Informa- must be free of recoverable Safeguards
tion-Modified Handling on electronic sys- Information designated as Safeguards
tems. (1) Safeguards Information des- Information-Modified Handling prior to
ignated for modified handling may be being returned to nonexclusive use.
stored, processed or produced on a com- (h) Removal from Safeguards Informa-
puter or computer system, provided tion-Modified Handling category. Docu-
that the system is assigned to the li- ments or other matter originally con-
censee’s or contractor’s facility. Safe- taining Safeguards Information des-
guards Information designated as Safe- ignated as Safeguards Information-
guards Information-Modified Handling Modified Handling must be removed
files must be protected, either by a from the Safeguards Information cat-
password or encryption, to prevent un- egory at such time as the information
authorized individuals from gaining ac- no longer meets the criteria contained
cess. Word processors such as type- in this Part. Care must be exercised to
writers are not subject to these re- ensure that any document or other
quirements as long as they do not matter decontrolled shall not disclose
transmit information off-site. NOTE: if
Safeguards Information in some other
Safeguards Information designated as
form or be combined with other unpro-
Safeguards Information-Modified Han-
tected information to disclose Safe-
dling is produced on a typewriter, the
guards Information. The authority to

ribbon must be properly marked and be
removed and stored in the same man- determine that a document or other
ner as other Safeguards Information matter may be decontrolled will only
462
be exercised by the NRC, with NRC ap- same time, does not equal or exceed a
proval, or in consultation with the in- formula quantity.
dividual or organization that made the
original determination. FR 19257, May 27, 1988]
(i) Destruction of matter containing
Safeguards Information designated as PHYSICAL PROTECTION OF SPECIAL
Safeguards Information-Modified Han- NUCLEAR MATERIAL IN TRANSIT
dling. Documents or other matter con-
taining Safeguards Information shall § 73.25 Performance capabilities for
be destroyed when no longer needed. physical protection of strategic spe-
The information can be destroyed by cial nuclear material in transit.
burning, shredding, or any other meth- (a) To meet the general performance
od that precludes reconstruction by objective and requirements of § 73.20 an
means available to the public at large. in-transit physical protection system
Piece sizes no wider than one quarter shall include the performance capabili-
inch composed of several pages or doc- ties described in paragraphs (b)
uments and thoroughly mixed are con- through (d) of this section unless oth-
sidered completely destroyed. erwise authorized by the Commission.
[73 FR 63577, Oct. 24, 2008] (b) Restrict access to and activity in
the vicinity of transports and strategic
§ 73.24 Prohibitions. special nuclear material. To achieve
(a) Except as specifically approved by this capability the physical protection
the Nuclear Regulatory Commission, system shall:
no shipment of special nuclear mate- (1) Minimize the vulnerability of the
rial shall be made in passenger aircraft strategic special nuclear material by
in excess of (1) 20 grams or 20 curies, using the following subfunctions and
whichever is less, of plutonium or ura- procedures:
nium-233, or (2) 350 grams of uranium- (i) Preplanning itineraries for the
235 (contained in uranium enriched to movement of strategic special nuclear
20 percent or more in the U-235 iso- material;
tope). (ii) Periodically updating knowledge
(b) Unless otherwise approved by the of route conditions for the movement
Nuclear Regulatory Commission, no li- of strategic special nuclear material;
censee may make shipments of special (iii) Maintaining knowledge of the
nuclear material in which individual status and position of the strategic
shipments are less than a formula special nuclear material en route; and
quantity, but the total quantity in (iv) Determining and communicating
shipments in transit at the same time alternative itineraries en route as con-
could equal or exceed a formula quan- ditions warrant.
tity, unless either of the following con- (2) Detect and delay any unauthor-
ditions are met: ized attempt to gain access or intro-
(1) The licensee shall confirm and log duce unauthorized materials by stealth
the arrival at the final destination of or force into the vicinity of transports
each individual shipment and retain and strategic special nuclear material
the log for three years from the date of using the following subsystems and
the last entry in the log. The licensee subfunctions:
shall also schedule shipments to ensure (i) Controlled access areas to isolate
that the total quantity for two or more strategic special nuclear material and
shipments in transit at the same time transports to assure that unauthorized
does not equal or exceed the formula persons shall not have direct access to,
quantity, or and unauthorized materials shall not
(2) Physical protection in accordance be introduced into the vicinity of, the
with the requirements of §§ 73.20, 73.25, transports and strategic special nu-
and 73.26 is provided by the licensee for clear material, and
such shipments as appropriate so that (ii) Access detection subsystems and
the total quantity of special nuclear procedures to detect, assess and com-
material in the remaining shipments municate any unauthorized penetra-
not so protected, and in transit at the tion (or such attempts) of a controlled
463
§ 73.25 10 CFR Ch. I (1–1–11 Edition)
access area by persons, vehicles or ma- (iii) Surveillance subsystems and

terials so that the response will satisfy procedures to detect, assess and com-
the general performance objective and municate any unauthorized presence of
requirements of § 73.20(a). persons or materials and any unauthor-
(3) Detect attempts to gain unauthorized attempt to penetrate the transport
ized access or introduce unauthorized so that the response will satisfy the
materials into the vicinity of trans- general performance objective and re-
ports by deceit using the following sub- quirements of § 73.20(a).
systems and subfunctions: (3) Prevent unauthorized removal of
(i) Access authorization controls and strategic special nuclear material from
procedures to provide current author- transports by deceit using the fol-
ization schedules and access criteria lowing subsystems and subfunctions:
for persons, materials and vehicles; and (i) Authorization controls and proce-
(ii) Access controls and procedures to dures to provide current schedules for
verify the identity of persons, mate- authorized removal of strategic special
rials and vehicles, to assess such iden- nuclear material which specify the per-
tity against current authorization sons authorized to remove and receive
schedules and access criteria before the material, the authorized times for
permitting access, and to initiate re- such removal and receipt and author-
sponse measures to deny unauthorized ized places for such removal and re-
entries. ceipt.
(c) Prevent or delay unauthorized
(ii) Removal controls and procedures
entry or introduction of unauthorized
to establish activities for transferring
materials into, and unauthorized re-
cargo in emergency situations; and
moval of, strategic special nuclear ma-
terial from transports. To achieve this (iii) Removal controls and procedures
capability the physical protection sys- to permit removal of strategic special
tem shall: nuclear material only after
(1) Detect attempts to gain unauthor- verification of the identity of persons
ized entry or introduce unauthorized removing or receiving the strategic
materials into transports by deceit special nuclear material, and after
using the following subsystems and verification of the identity and integ-
subfunctions: rity of the strategic special nuclear
(i) Access authorization controls and material being removed from trans-
procedures to provide current author- ports.
ization schedules and entry criteria for (4) Detect attempts to remove stra-
access into transports for both persons tegic special nuclear material from
and materials; and transports by stealth or force using the
(ii) Entry controls and procedures to following subsystems and subfunctions:
verify the identity of persons and ma- (i) Transport features to delay unau-
terials and to permit transport entry thorized strategic special nuclear ma-
only to those persons and materials terial removal attempts sufficient to
specified by the current authorization assist detection and permit a response
schedules and entry criteria. to satisfy the general performance ob-
(2) Detect attempts to gain unauthor- jective and requirements of § 73.20(a);
ized entry or introduce unauthorized and
material into transports by stealth or (ii) Detection subsystems and proce-
force using the following subsystems dures to detect, assess and commu-
and subfunctions: nicate any attempts at unauthorized
(i) Transport features to delay access removal of strategic special nuclear
to strategic special nuclear material material so that response to the at-
sufficient to permit the detection and tempt can be such as to satisfy the
response systems to function so as to general performance objective and re-
satisfy the general performance objec- quirements of § 73.20(a).
tive and requirements of § 73.20(a); (d) Respond to safeguards contin-
(ii) Inspection and detection sub- gencies and emergencies to assure that
systems and procedures to detect unau- the two capabilities in paragraphs (b)
thorized tampering with transports and and (c) of this section are achieved, and
cargo containers; and to engage and impede adversary forces
464
until local law enforcement forces ar- § 73.26 Transportation physical protec-
rive. To achieve this capability, the tion systems, subsystems, compo-
physical protection system shall: nents, and procedures.
(1) Respond rapidly and effectively to (a) A transportation physical protec-
safeguards contingencies and emer- tion system established pursuant to
gencies using the following subsystems the general performance objectives and
and subfunctions: requirements of § 73.20 and performance
(i) A security organization composed capability requirements of § 73.25 shall
of trained and qualifed personnel, in- include, but are not necessarily limited
cluding armed escorts, one of whom is to, the measures specified in para-
designated as escort commander, with graphs (b) through (l) of this section.
procedures for command and control, The Commission may require, depend-
to execute response functions. ing on the individual transportation
(ii) Assessment procedures to assess conditions or circumstances, alternate
the nature and extent of security re- or additional measures deemed nec-
lated incidents. essary to meet the general performance
(iii) A predetermined plan to respond objectives and requirements of § 73.20.
to safeguards contingency events. The Commission also may authorize
(iv) Equipment and procedures to en- protection measures other than those
able responses to security related inci- required by this section if, in its opin-
dents sufficiently rapid and effective to ion, the overall level of performance
achieve the predetermined objective of meets the general performance objec-
each action. tives and requirements of § 73.20 and
(v) Equipment, vehicle design fea- the performance capability require-
tures, and procedures to protect secu- ments of § 73.25.
rity organization personnel, including (b) Planning and scheduling. (1) Ship-
those at the movement control center, ments shall be scheduled to avoid reg-
in their performance of assessment and ular patterns and preplanned to avoid
response related functions. areas of natural disaster or civil dis-
(2) Transmit detection, assessment orders, such as strikes or riots. Such
and other response related information shipments shall be planned in order to
using the following subsystems and avoid storage times in excess of 24
subfunctions: hours and to assure that deliveries
(i) Communications equipment and
occur at a time when the receiver at
procedures to rapidly and accurately
the final delivery point is present to
transmit security information among
accept the shipment.
armed escorts. (2) Arrangements shall be made with
(ii) Equipment and procedures for
law enforcement authorities along the
two-way communications between the
route of shipments for their response
escort commander and the movement
to an emergency or a call for assist-
control center to rapidly and accu-
ance.
rately transmit assessment informa- (3) Security arrangements for each
tion and requests for assistance by shipment shall be approved by the Nu-
local law enforcement forces, and to clear Regulatory Commission prior to
coordinate such assistance. the time for the seven-day notice re-
(iii) Communications equipment and
quired by § 73.72. Information to be sup-
procedures for the armed escorts and
plied to the Commission in addition to
the movement control center personnel
the general security plan information
to notify local law enforcement forces
is as follows:
of the need for assistance. (i) Shipper, consignee, carriers,
(3) Establish liaisons with local law
transfer points, modes of shipment,
enforcement authorities to arrange for (ii) Point where escorts will relin-
assistance en route. quish responsibility or will accept re-
(4) Assure that a single adversary ac-
sponsibility for the shipment,
tion cannot destroy the capability of (iii) Arrangements made for transfer
armed escorts to notify the local law of shipment security, and
enforcement forces of the need for as- (iv) Security arrangements at point
sistance. where escorts accept responsibility for
[44 FR 68188, Nov. 28, 1979] an import shipment.
465
§ 73.26 10 CFR Ch. I (1–1–11 Edition)
(4) Hand-to-hand receipts shall be tion shall be on duty at the movement

completed at origin and destination control center during the course of any
and at all points enroute where there is shipment.
a transfer of custody. (3) The licensee or the licensee’s
(c) Export/import shipments. (1) A li- agent shall establish, maintain, and
censee who imports a formula quantity follow a written management system
of strategic special nuclear material to provide for the development, revi-
shall make arrangements to assure sion, implementation, and enforcement
that the material will be protected in of transportation physical protection
transit as follows: procedures. The licensee or the agent
(i) An individual designated by the li- shall retain as a record the current
censee or his agent, or as specified by a management system for three years
contract of carriage, shall confirm the
after the close of period for which the
container count and examine locks
licensee possesses the special nuclear
and/or seals for evidence of tampering,
material under the license for which
at the first place in the United States
the system was developed and, if any
at which the shipment is discharged
from the arriving carrier. portion of the system is superseded, re-
(ii) The shipment must be protected tain the superseded material for three
at all times within the geographical years after each change. The system
limits of the United States as provided shall include:
in this section and §§ 73.25 and 73.27. (i) Written security procedures which
The licensee shall retain each record document the structure of the trans-
required by these sections for three portation security organization and
years after the close of period for which detail the duties of drivers and
which the licensee possesses the special escorts and other individuals respon-
nuclear material under each license au- sible for security; and
thorizing the licensee to ship this ma- (ii) Provision for written approval of
terial, and superseded material for such procedures and any revisions
three years after each change. thereto by the individual with overall
(2) A licensee who exports a formula responsibility for the security func-
quantity of strategic special nuclear tion.
material shall comply with the re- (4) Neither the licensee nor the li-
quirements of this section and §§ 73.25 censee’s agent shall permit an indi-
and 73.27, as applicable, up to the first vidual to act as an escort or other se-
point where the shipment is taken off curity organization member unless the
the transport outside the United individual has been trained, equipped,
States. The licensee shall retain each and qualified to perform each assigned
record required by these sections for
security job duty in accordance with
three years after the close of period for
appendix B, of this part, ‘‘General Cri-
which the licensee possesses the special
teria for Security Personnel.’’ Upon the
nuclear material under each license au-
thorizing the licensee to export this request of an authorized representative
material, and superseded material for of the Commission, the licensee or the
three years after each change. agent shall demonstrate the ability of
(d) Security organization. (1) The li- the physical security personnel to
censee or his agent shall establish a carry out their assigned duties and re-
transportation security organization, sponsibilities. Armed escorts shall re-
including armed escorts, armed requalify in accordance with appendix B
sponse personnel or guards, and a to this part at least every 12 months.
movement control center manned and Each requalification must be docu-
equipped to monitor and control ship- mented. The licensee or the agent shall
ments, to communicate with local law retain documentation of the initial
enforcement authorities, and to requalification for the term of employ-
spond to safeguards contingencies. ment and of each requalification as a
(2) At least one full time member of record for three years from the date of
the security organization who has the the requalification.

authority to direct the physical protec- (5) Armed escort and armed response
tion activities of the security organiza- force personnel armament shall include
466
handguns, shotguns, and semiauto- area at transfer points if transfer is not

matic rifles, as described in appendix B immediate from one transport to an-
to this part. other. Where a protected area is not
(e) Contingency and Response Plans available a controlled access area shall
and Procedures. (1) The licensee or the be established for the shipment. The
licensee’s agent shall establish, main- transport may serve as a controlled ac-
tain, and follow a written safeguards cess area.
contingency plan for dealing with (2) All transfers shall be protected by
threats, thefts, and radiological sabo- at least seven armed escorts or other
tage related to strategic special nu- armed personnel—one of whom shall
clear material in transit subject to the serve as commander. At least five of
provisions of this section. This safe- the armed personnel (including the
guards contingency plan must be in ac- commander) shall be available to pro-
cordance with the criteria in appendix tect the shipment and at least three of
C of this part, ‘‘Licensee Safeguards the five shall keep the strategic special
Contingency Plan.’’ The licensee or the nuclear material under continuous sur-
agent shall retain the contingency plan veillance while it is at the transfer
as a record for three years after the point. The two remaining armed per-
close of period for which the licensee sonnel shall take up positions at a re-
possesses the special nuclear material mote monitoring location. The remote
under each license for which the plan is location may be a radio-equipped vehi-
used and superseded material for three cle or a nearby place, apart from the
years after each change. shipment area, so that a single act can-
(2) Upon detection of abnormal pres- not remove the capability of the per-
ence or activity of persons or vehicles sonnel protecting the shipment for
attempting to penetrate a moving con- calling for assistance. Each of the
voy or persons attempting to gain ac- seven armed escorts or other armed
cess to a parked cargo vehicle or upon personnel shall be capable of maintain-
evidence or indication of penetration of ing communication with each other.
the cargo vehicle the armed escorts or The commander shall have the capa-
other armed response personnel shall: bility to communicate with the per-
(i) Determine whether or not a threat sonnel at the remote location and with
exists; local law enforcement agencies for
(ii) Assess the extent of the threat, if emergency assistance. In addition, the
any; armed escort personnel at the remote
(iii) Take immediate concurrent location shall have the capability to
measures to neutralize the threat by: communicate with the law enforce-
(A) Making the necessary tactical ment agencies and with the shipment
moves to prevent or impede acts of ra- movement control center. The com-
diological sabotage or theft of stra- mander shall call the remote location
tegic special nuclear material, and at least every 30 minutes to report the
(B) Informing local law enforcement status of the shipment. If the calls are
agencies of the threat and requesting not received within the prescribed
assistance. time, the personnel in the remote loca-
(3) The licensee or his agent shall in- tion shall request assistance from the
struct every armed escort and all law enforcement authorities, notify the
armed response personnel to prevent or shipment movement control center and
impede acts of radiological sabotage or initiate the appropriate contingency
theft of strategic special material by plans. Armed escorts or other armed
using sufficient force to counter the personnel shall observe the opening of
force directed at him including the use the cargo compartment of the incom-
of deadly force when armed escorts or ing transport and ensure that the ship-
armed response personnel have a rea- ment is complete by checking locks
sonable belief that it is necessary in and seals. A shipment loaded onto or
self-defense or in the defense of others. transferred to another transport shall
(f) Transfer and storage of strategic spe- be checked to assure complete loading
cial nuclear material for domestic ship- or transfer. Continuous visual surveil-
ments. (1) Strategic special nuclear ma- lance of the cargo compartment shall
terial shall be placed in a protected be maintained up to the time the
467
§ 73.26 10 CFR Ch. I (1–1–11 Edition)
transport departs from the terminal. (2) Preoperational tests and inspec-
The escorts shall observe the transport tions shall be conducted for physical
until it has departed and shall notify protection related subsystems and
the licensee or his agent of the latest components to demonstrate their effec-
status immediately thereafter. tiveness, availability, and reliability
(g) Access control subsystems and proce- with respect to their respective design
dures. (1) A numbered picture badge criteria and performance specifica-
identification procedure shall be used tions.
to identify all individuals who will (3) Operational tests and inspections
have custody of a shipment. The identi- shall be conducted for physical protec-
fication procedure shall require that tion related subsystems and compo-
the individual who has possession of nents to assure their maintenance in
the strategic special nuclear material an operable and effective condition.
shall have, in advance, identification (4) Preventive maintenance programs
picture badges of all individuals who shall be established for physical pro-
are to assume custody for the ship- tection related subsystems and compo-
ment. The shipment shall be released nents to assure their continued main-
only when the individual who has pos- tenance in an operable and effective
session of strategic special nuclear ma- condition.
terial has assured positive identifica- (5) All physical protection related
tion of all of the persons assuming cus- subsystems and components shall be
tody for the shipment by comparing maintained in operable condition. Cor-
the copies of the identification badges rective action procedures and compen-
that have been received in advance to satory measures shall be developed and
the identification badges carried by the employed to assure that the effective-
individuals who will assume custody of ness of the physical protection system
the shipment. is not reduced by any single failure or
(2) Access to protected areas, con- other contingencies affecting the oper-
trolled access areas, transports, escort ation of the physical protection related
vehicles, aircraft, rail cars, and con- equipment or structures.
tainers where strategic special nuclear (6) The transportation security pro-
material is located shall be limited to gram must be reviewed at least every
individuals who have been properly 12 months by individuals independent
identified and have been authorized ac- of both security program management
cess to these areas. and personnel who have direct respon-
(3) Strategic special nuclear material sibility for implementation of the secu-
shall be shipped in containers that are rity program. The review must include
protected by tamper-indicating seals. an audit of transportation security
The containers also shall be locked if procedures and practices, an evaluation
they are not in another locked con- of the effectiveness of the transpor-
tainer or transport. The outermost tation physical protection system, an
container or transport also shall be audit of the transportation physical
protected by tamper-indicating seals. protection system testing and mainte-
(h) Test and maintenance programs. nance program, and an audit of com-
The licensee or his agent shall estab- mitments established for response by
lish, maintain and follow a test and local law enforcement authorities. The
maintenance program for communica- results and recommendations of the re-
tions equipment and other physical view, management’s findings on wheth-
protection related devices and equip- er the transportation security program
ment used pursuant to this section is currently effective, and any actions
which shall include the following: taken as a result of recommendations
(1) Tests and inspections shall be con- from prior reviews, must be docu-
ducted during the installation, and mented in a report to the responsible
construction of physical protection reorganization management and to cor-
lated subsystems and components to porate management at least one level
assure that they comply with their re- higher than that having responsibility
spective design criteria and perform- for the day-to-day plant operation.
ance specifications. These reports must be maintained in
468
an auditable form, available for inspec- the event no call is received in accord-
tion for a period of 3 years. ance with these requirements, the li-
(i) Shipment by road. (1) A detailed censee or his agent shall immediately
route plan shall be prepared which notify the law enforcement authorities
shows the routes to be taken, the re- and the Director, Division of Security
fueling and rest stops, and the call-in Policy, Office of Nuclear Security and
times to the movement control center. Incident Response, and initiate the ap-
All shipments shall be made on pri- propriate contingency plan.
mary highways with minimum use of (7) At refueling, rest, or emergency
secondary roads. All shipments shall be stops at least seven armed escorts or
made without intermediate stops ex- other armed personnel shall be avail-
cept for refueling, rest or emergency able to protect the shipment and at
stops. least three armed escorts or other
(2) Cargo compartments of the trucks armed personnel shall maintain contin-
or trailers shall be locked and pro- uous visual surveillance of the cargo
tected by tamper-indicating seals. compartment.
(3) The shipment shall be protected (8) Transfers to and from other modes
by one of the following methods: of transportation shall be in accord-
(i) A specially designed cargo vehicle ance with paragraph (f) of this section.
truck or trailer that reduces the vul- (j) Shipment by air. (1) All shipments
nerability to theft. Design features of on commercial cargo aircraft shall be
the truck or trailer shall permit immo- accompanied by two armed escorts who
bilization of the truck or of the cargo- shall be able to converse in a common
carrying portion of the vehicle and language with the captain of the air-
shall provide a deterrent to physical craft.
penetration of the cargo compartment. (2) Transfers of these shipments shall
Two separate escort vehicles shall ac- be minimized and shall be conducted in
company the cargo vehicle. There shall accordance with paragraph (f) of this
be a total of seven armed escorts with section. Such shipments shall be sched-
at least two in the cargo vehicle. Es- uled so that the strategic special nu-
corts may also operate the cargo and clear material is loaded last and un-
escort vehicles. loaded first.
(ii) An armored car cargo vehicle. (3) At scheduled stops, at least seven
Three separate escort vehicles shall ac- armed escorts or other armed per-
company such a cargo vehicle. There sonnel shall be available to protect the
shall be a total of seven armed escorts, shipment and at least three armed es-
with at least two in the cargo vehicle. corts or other armed personnel shall
Escorts may also operate the cargo and maintain continuous visual surveil-
escort vehicles. lance of the cargo compartment.
(4) All escort vehicles shall be bullet- (4) Export shipments shall be accom-
resisting. panied by two armed escorts from the
(5) Procedures shall be established to last terminal in the United States
assure that no unauthorized persons or until the shipment is unloaded at a for-
materials are on the cargo vehicle be- eign terminal and primary responsi-
fore strategic special nuclear material bility for physical protection is as-
is loaded, or on the escort vehicles, im- sumed by agents of the consignee.
mediately before the trip begins. While on foreign soil, the escorts may
(6) Cargo and escort vehicles shall surrender their weapons to legally con-
maintain continuous intraconvoy two- stituted local authorities. After leav-
way communication. In addition at ing the last terminal in the United
least two of the vehicles shall be States the shipment shall be scheduled
equipped with radio telephones having with no intermediate stops.
the capability of communicating with (5) Import shipments shall be accom-
the movement control center. A redun- panied by two armed escorts at all
dant means of communication shall times within the geographical limits of
also be available. Calls to the move- the United States. These escorts shall
ment control center shall be made at provide physical protection for the
least every half hour to convey the sta- shipment until relieved by verified
tus and position of the shipment. In agents of the U.S. consignee.
469
§ 73.26 10 CFR Ch. I (1–1–11 Edition)
(6) Procedures shall be established to container(s) shall be loaded into exclu-

assure that no unauthorized persons or sive use cargo containers conforming
material are on the aircraft before to American National Standards Insti-
strategic special nuclear material is tute (ANSI) Standard MH5.1—‘‘Basic
loaded on board. Requirements for Cargo Containers’’
(7) Arrangements shall be made at all (1971) or International Standards Orga-
domestic airports to assure that the nization (ISO) 1496, ‘‘General Cargo
seven required armed escorts or other Containers’’ (1978). Locks and seals
armed personnel are available and that shall be inspected by the escorts when-
the required security measures will be ever access is possible. The ANSI
taken upon landing. Standard MH5.1 (1971) and the (ISO)
(8) Arrangements shall be made at 1496 (1978), have been approved for in-
the foreign terminal at which the ship- corporation by reference by the Direc-
ment is to be unloaded to assure that tor of the Federal Register. A copy of
security measures will be taken on ar- each of these standards is available for
rival. inspection at the NRC Library, 11545
(k) Shipment by rail. (1) A shipment Rockville Pike, Rockville, Maryland
by rail shall be escorted by seven 20852-2738.
armed escorts in the shipment car or (2) All shipments shall be accom-
an escort car next to the shipment car panied by two armed escorts who shall
of the train. At least three escorts be able to converse in a common lan-
shall keep the shipment car under con- guage with the captain of the ship.
tinuous visual surveillance. Escorts (3) Minimum domestic ports of call
shall detrain at stops when practicable shall be scheduled and there shall be no
and time permits to maintain the ship- scheduled transfer to other vessels
ment cars under continuous visual sur- after the shipment leaves the last port
veillance and to check car or container in the United States. Transfer to and
locks and seals. from other modes of transportation
(2) Procedures shall be established to shall be in accordance with paragraph
assure that no unauthorized persons or (f) of this section.
materials are on the shipment or es- (4) At all ports of call the escorts
cort car before strategic special nu- shall ensure that the shipment is not
clear material is loaded on board. removed. At least two armed escorts or
(3) Only containers weighing 5,000 lbs other armed personnel shall maintain
or more shall be shipped on open rail continuous visual surveillance of the
cars. cargo area where the container is
(4) A voice communication capability stored up to the time the ship departs.
between the escorts and the movement (5) Export shipments shall be accom-
control center shall be maintained. A panied by two armed escorts from the
redundant means of continuous com- last port in the United States until the
munication also shall be available. shipment is unloaded at a foreign ter-
Calls to the movement control center minal and prime responsibility for
shall be made at least every half hour physical protection is assumed by
to convey the status and position of agents of the consignee. While on for-
the shipment. In the event no call is re- eign soil, the escorts may surrender
ceived in accordance with these re- their weapons to legally constituted
quirements, the licensee or his agent local authorities.
shall immediately notify the law en- (6) Import shipments shall be accom-
forcement authorities and the appro- panied by two armed escorts at all
priate Nuclear Regulatory Commission times within the geographical limits of
Regional Office listed in appendix A of the United States. These escorts shall
this part and initiate their contingency provide physical protection for the
plan. shipment until relieved by verified
(5) Transfer to and from other modes agents of the U.S. consignee.
of transportation shall be in accord- (7) Ship-to-shore communications
ance with paragraph (f) of this section. shall be available, and a ship-to-shore
(l) Shipment by sea. (1) Shipments contact shall be made every six hours
shall be made only on container-ships. to relay position information, and the
The strategic special nuclear material status of the shipment.
470
(8) Arrangements shall be made at the estimated time of arrival at its des-
the foreign terminals at which the tination.
shipment is to be unloaded to assure (b) Each licensee who receives a ship-
that security measures will be taken ment of formula quantities of strategic
upon arrival. special nuclear material shall imme-
[44 FR 68190, Nov. 28, 1979, as amended at 46 diately notify by telephone and tele-
FR 2025, Jan. 8, 1981; 53 FR 19257, May 27, graph or teletype, the person who de-
1988; 57 FR 33430, July 29, 1992; 57 FR 61787, livered the material to a carrier for
Dec. 29, 1992; 59 FR 50689, Oct. 5, 1994; 67 FR transport and the Director, Division of
3586, Jan. 25, 2002; 68 FR 14530, Mar. 26, 2003; Security Policy, Office of Nuclear Se-
68 FR 23575, May 5, 2003; 74 FR 62684, Dec. 1, curity and Incident Response, of the
2009]
arrival of the shipment at its destina-
§ 73.27 Notification requirements. tion. When a United States Depart-
ment of Energy license-exempt con-
(a)(1) A licensee who delivers formula tractor is the consignee, the licensee
quantities of strategic special nuclear who is the consignor shall notify by
material to a carrier for transport telephone and telegraph, or teletype,
shall immediately notify the consignee the Director, Division of Security Pol-
by telephone, telegraph, or teletype, of icy, Office of Nuclear Security and In-
the time of departure of the shipment, cident Response of the arrival of the
and shall notify or confirm with the shipment at its destination imme-
consignee the method of transpor- diately upon being notified of the re-
tation, including the names of carriers, ceipt of the shipment by the license-ex-
and the estimated time of arrival of empt contractor as arranged pursuant
the shipment at its destination. to paragraph (a)(3) of this section. In
(2) In the case of a shipment (f.o.b.) the event such a shipment fails to ar-
the point where it is delivered to a car- rive at its destination at the estimated
rier for transport, a licensee shall, be- time, or in the case of an export ship-
fore the shipment is delivered to the ment, the licensee who exported the
carrier, obtain written certification shipment, shall immediately notify by
from the licensee who is to take deliv-
telephone and telegraph or teletype,
ery of the shipment at the f.o.b. point
the Director, Division of Security Pol-
that the physical protection arrange-
icy, Office of Nuclear Security and In-
ments required by §§ 73.25 and 73.26 for
cident Response, and the licensee or
licensed shipments have been made.
other person who delivered the mate-
When a contractor exempt from the re-
rial to a carrier for transport. The li-
quirements for a Commission license is
censee who made the physical protec-
the consignee of a shipment, the li-
tion arrangements shall also imme-
censee shall, before the shipment is de-
diately notify by telephone and tele-
livered to the carrier, obtain written
graph, or teletype, the Director, Divi-
certification from the contractor who
is to take delivery of the shipment at sion of Security Policy, Office of Nu-
the f.o.b. point that the physical pro- clear Security and Incident Response
tection arrangements required by the of the action being taken to trace the
United States Department of Energy shipment.
Order Nos. 5632.1 or 5632.2, as appro- (c) Each licensee who makes arrange-
priate, have been made. ments for physical protection of a ship-
(3) A licensee who delivers formula ment of formula quantities of strategic
quantities of strategic special nuclear special nuclear material as required by
material to a carrier for transport or §§ 73.25 and 73.26 shall immediately con-
releases such special nuclear material duct a trace investigation of any ship-
f.o.b. at the point where it is delivered ment that is lost or unaccounted for
to a carrier for transport shall also after the estimated arrival time and
make arrangements with the consignee file a report with the Commission as
to be notified immediately by tele- specified in § 73.71.
phone and telegraph, teletype, or cable,

of the arrival of the shipment at its FR 3586, Jan. 25, 2002; 68 FR 14530, Mar. 26,
destination or of any such shipment 2003; 68 FR 23575, May 5, 2003; 74 FR 62684,
that is lost or unaccounted for after Dec. 1, 2009]
471
§ 73.28 10 CFR Ch. I (1–1–11 Edition)
§ 73.28 Security background checks for (b) General requirements. To achieve

secure transfer of nuclear mate- the performance objectives of para-
rials. graph (a) of this section, a physical
Licensees are excepted from the secu- protection system established and
rity background check provisions in maintained, or arranged for, by the li-
Section 170I of the AEA if they have censee shall:
not received Orders from the Nuclear (1) Provide for notification of the Nu-
Regulatory Commission containing re- clear Regulatory Commission in ad-
quirements for background checks for vance of each shipment, in accordance
trustworthiness and reliability that in- with § 73.72 of this part.
clude fingerprinting and criminal his- (2) Include and retain a copy of cur-
tory record checks as a prerequisite for rent procedures for coping with cir-
unescorted access to radioactive mate- cumstances that threaten deliberate
rials. damage to a spent fuel shipment and
[72 FR 3027, Jan. 24, 2007] with other safeguards emergencies as a
record for three years after the close of
§ 73.37 Requirements for physical pro- period for which the licensee possesses
tection of irradiated reactor fuel in the special nuclear material under
transit. each license for which the procedures
(a) Performance objectives. (1) Each li- were developed and, if any portion of
censee who transports, or delivers to a the procedures is superseded, retain the
carrier for transport, in a single ship- superseded material for three years
ment, a quantity of irradiated reactor after each change.
fuel in excess of 100 grams in net (3) Include instructions for each es-
weight of irradiated fuel, exclusive of cort and retain a copy of the current
cladding or other structural or pack- instructions as a record for three years
aging material, which has a total ex- after the close of period for which the
ternal radiation dose rate in excess of licensee possesses the special nuclear
100 rems per hour at a distance of 3 feet material under each license that au-
from any accessible surface without in- thorizes the activity that requires the
tervening shielding, shall establish and instruction and retain any superseded
maintain, or make arrangements for, material for three years after each
and assure the proper implementation change. The instructions must direct
of, a physical protection system for that, upon detection of the abnormal
shipments of such material that will presence of unauthorized persons, vehi-
achieve the following objectives: cles, or vessels in the vicinity of a
(i) Minimize the possibilities for radi- spent fuel shipment or upon detection
ological sabotage of spent fuel ship- of a deliberately induced situation that
ments, especially within heavily popu- has the potential for damaging a spent
lated areas; and fuel shipment, the escort will:
(ii) Facilitate the location and recov-
(i) Determine whether or not a threat
ery of spent fuel shipments that may
exists;
have come under the control of unau-
thorized persons. (ii) Assess the extent of the threat, if
(2) To achieve these objectives, the any;
physical protection shall: (iii) Inform local law enforcement
(i) Provide for early detection and as- agencies of the threat and request as-
sessment of attempts to gain unauthor- sistance; and
ized access to, or control over, spent (iv) Implement the procedures devel-
fuel shipments; oped in accordance with paragraph
(ii) Provide for notification to the ap- (b)(2) of this section.
propriate response forces of any spent (4) Include a communications center
fuel shipment sabotage attempts; and at a designated location, which will be
(iii) Impede attempts at radiological staffed continuously by at least one in-
sabotage or spent fuel shipments with- dividual who will monitor the progress
in heavily populated areas, or attempts of the spent fuel shipment and will no-
to illicitly move such shipments into tify the appropriate agencies in the
heavily populated areas, until response event a safeguards emergency should
forces arrive. arise.
472
(5) Provide for maintenance of a writ- trailed by a third vehicle occupied by

ten log by the escorts and communica- at least one armed escort.
tions center personnel for each spent (2) A transport vehicle not within
fuel shipment, which will include infor- any heavily populated area is:
mation describing the shipment and (i) Occupied by at least one driver
significant events that occur during and one other individual who serves as
the shipment, and will be available for escort; or
review by authorized NRC personnel (ii) Occupied by a driver and escorted
for a period of at least three years fol- by a separate vehicle occupied by at
lowing completion of the shipment. least two escorts; or
(6) Provide that arrangements have (iii) Escorted as set forth in para-
been made with local law enforcement graph (c)(1) of this section.
agencies along the routes of road and (3) Escorts have the capability of
rail shipments, and at U.S. ports where communicating with the communica-
vessels carrying spent fuel shipments tions center, local law enforcement
are docked, for their response to an agencies, and one another, through the
emergency or a call for assistance. use of:
(7) Provide for advance approval by (i) A citizens band (CB) radio avail-
the NRC of the routes used for road and able in the transport vehicle and in
rail shipments of spent fuel, and of any each escort vehicle;
U.S. ports where vessels carrying spent (ii) A radiotelephone or other NRC-
fuel shipments are scheduled to stop. approved equivalent means of two-way
(8) Provide that shipments are voice communications available in the
planned so that scheduled intermediate transport vehicle or in an escort vehi-
stops are avoided to the extent prac- cle committed to travel the entire
ticable. route; and
(iii) Citizens band (CB) radio and nor-
(9) Provide that at least one escort
mal local law enforcement agency
maintains visual surveillance of the
radio communications in any local law
shipment during periods when the ship-
enforcement agency mobile units used
ment vehicle is stopped, or the ship-
for escort purposes.
ment vessel is docked.
(4) The transport is equipped with
(10) Provide that escorts (other than
NRC-approved features that permit im-
members of local law enforcement
mobilization of the cab or cargo-car-
agencies, or ship’s officers serving as
rying portion of the vehicle.
unarmed escorts) have successfully
(5) The transport vehicle driver has
completed the training required by ap-
been familiarized with, and is capable
pendix D of this part.
of implementing, transport vehicle im-
(11) Provide that shipment escorts mobilization, communications, and
make calls to the communications cen- other security procedures.
ter at least every 2 hours to advise of (d) Shipments by rail. In addition to
the status of the shipment for road and the provisions of paragraph (b), the
rail shipments, and for sea shipments physical protection system for any por-
while shipment vessels are docked at tion of a spent fuel shipment that is by
U.S. ports. rail shall provide that:
(c) Shipments by road. In addition to (1) A shipment car within a heavily
the provisions of paragraph (b), the populated area is accompanied by two
physical protection system for any por- armed escorts (who may be members of
tion of a spent fuel shipment that is by a local law enforcement agency), at
road shall provide that: least one of whom is stationed at a lo-
(1) A transport vehicle within a heav- cation on the train that will permit ob-
ily populated area is: servation of the shipment car while in
(i) Occupied by at least two individ- motion.
uals, one of whom serves as escort, and (2) A shipment car not within any
escorted by an armed member of the heavily populated area is accompanied
local law enforcement agency in a mo- by at least one escort stationed at a lo-
bile unit of such agency; or cation on the train that will permit ob-
(ii) Led by a separate vehicle occu- servation of the shipment car while in
pied by at least one armed escort, and motion.
473
§ 73.37 10 CFR Ch. I (1–1–11 Edition)
(3) Escorts have the capability of designee at least 4 days before trans-
communicating with the communica- port of a shipment within or through
tions center and local law enforcement the state. A list of the mailing address-
agencies through the use of a radio- es of governors and governors’ des-
telephone, or other NRC-approved ignees is available upon request from
equivalent means of two-way voice the Director, Office of Public Affairs,
communications, which shall be avail- U.S. Nuclear Regulatory Commission,
able on the train. Washington, DC 20555.
(e) Shipments by sea. In addition to (2) The notification must include the
the provisions of paragraph (b), the following information:
physical protection system for any por- (i) The name, address, and telephone
tion of a spent fuel shipment that is by number of the shipper, carrier and re-
sea shall provide that: ceiver.
(1) A shipment vessel, while docked
(ii) A description of the shipment as
at a U.S. port within a heavily popu-
specified by the Department of Trans-
lated area, is protected by:
portation in 49 CFR § 172.202 and
(i) Two armed escorts stationed on
board the shipment vessel, or stationed § 172.203(d).
on the dock at a location that will per- (iii) A listing of the routes to be used
mit observation of the shipment vessel; within the state.
or (iv) A statement that the informa-
(ii) A member of a local law enforce- tion described below in § 73.37(f)(3) is re-
ment agency, equipped with normal quired by NRC regulations to be pro-
LLEA radio communications, who is tected in accordance with the require-
stationed on board the shipment vessel, ments of §§ 73.21 and 73.22.
or on the dock at a location that will (3) The licensee shall provide the fol-
permit observation of the shipment lowing information on a separate en-
vessel. closure to the written notification:
(2) A shipment vessel, while within (i) The estimated date and time of
U.S. territorial waters, or while docked departure from the point of origin of
at a U.S. port not within a heavily pop- the shipment.
ulated area, is accompanied by an es- (ii) The estimated date and time of
cort, who may be an officer of the ship- entry into the governor’s state.
ment vessel’s crew, who will assure (iii) For the case of a single shipment
that the shipment is unloaded only as whose schedule is not related to the
authorized by the licensee. schedule of any subsequent shipment, a
(3) Escorts have the capability of statement that schedule information
communicating with the communica- must be protected in accordance with
tions center and local law enforcement the provisions of §§ 73.21 and 73.22 until
agencies through the use of a radio-
at least 10 days after the shipment has
telephone, or other NRC-approved
entered or originated within the state.
equivalent means of two-way voice
communications. (iv) For the case of a shipment in a
(f) Prior to the transport of spent series of shipments whose schedules are
fuel within or through a state a li- related, a statement that schedule in-
censee subject to this section shall no- formation must be protected in accord-
tify the governor or the governor’s des- ance with the provisions of §§ 73.21 and
ignee. The licensee shall comply with 73.22 until 10 days after the last ship-
the following criteria in regard to a no- ment in the series has entered or origi-
tification: nated within the state and an estimate
(1) The notification must be in writ- of the date on which the last shipment
ing and sent to the office of each appro- in the series will enter or originate
priate governor or the governor’s des- within the state.
ignee. A notification delivered by mail (4) A licensee shall notify by tele-
must be postmarked at least 7 days be- phone or other means a responsible in-
fore transport of a shipment within or dividual in the office of the governor or
through the state. A notification deliv- in the office of the governor’s designee
ered by messenger must reach the of- of any schedule change that differs by
fice of the governor or the governor’s more than 6 hours from the schedule
474
information previously furnished in ac- force using the following subsystems

cordance with § 73.37(f)(3), and shall in- and subfunctions:
form that individual of the number of (i) Barriers to channel persons and
hours of advance or delay relative to material to material access and vital
the written schedule information pre- area entry control points and to delay
viously furnished. any unauthorized penetration attempts
(g) State officials, state employees, by persons or materials sufficient to
and other individuals, whether or not assist detection and permit a response
licensees of the Commission, who re- that will prevent the penetration; and
ceive schedule information of the kind (ii) Access detection subsystems and
specified in § 73.37(f)(3) shall protect procedures to detect, assess and com-
that information against unauthorized municate any unauthorized penetra-
disclosure as specified in §§ 73.21 and tion attempts by persons or materials
73.22. at the time of the attempt so that the
[45 FR 37408, June 3, 1980, as amended at 47 response can prevent the unauthorized
FR 603, Jan. 6, 1982; 52 FR 31613, Aug. 21, 1987; access or penetration.
53 FR 19257, May 27, 1988; 60 FR 24552, May 9, (2) Detect attempts to gain unauthor-
1995; 73 FR 63579, Oct. 24, 2008]
ized access or introduce unauthorized
PHYSICAL PROTECTION REQUIREMENTS materials into material access areas or
AT FIXED SITES
vital areas by deceit using the fol-
lowing subsystems and subfunctions:
§ 73.40 Physical protection: General re- (i) Access authorization controls and
quirements at fixed sites. procedures to provide current author-
Each licensee shall provide physical ization schedules and entry criteria for
protection at a fixed site, or contig- both persons and materials; and
uous sites where licensed activities are (ii) Entry controls and procedures to
conducted, against radiological sabo- verify the identity of persons and ma-
tage, or against theft of special nuclear terials and assess such identity against
material, or against both, in accord- current authorization schedules and
ance with the applicable sections of entry criteria before permitting entry
this Part for each specific class of fa- and to initiate response measures to
cility or material license. If applicable, deny unauthorized entries.
the licensee shall establish and main- (c) Permit only authorized activities
tain physical security in accordance and conditions within protected areas,
with security plans approved by the material access areas, and vital areas.
Nuclear Regulatory Commission. To achieve this capability the physical
protection system shall:
[58 FR 13700, Mar. 15, 1993]
(1) Detect unauthorized activities or
§ 73.45 Performance capabilities for conditions within protected areas, ma-
fixed site physical protection sys- terial access areas and vital areas
tems. using the following subsystems and
(a) To meet the general performance subfunctions:
requirements of § 73.20 a fixed site phys- (i) Controls and procedures that es-
ical protection system shall include tablish current schedules of authorized
the performance capabilities described activities and conditions in defined
in paragraphs (b) through (g) of this areas;
section unless otherwise authorized by (ii) Boundaries to define areas within
the Commission. which the authorized activities and
(b) Prevent unauthorized access of conditions are permitted; and
persons, vehicles and materials into (iii) Detection and surveillance sub-
material access areas and vital areas. systems and procedures to discover and
To achieve this capability the physical assess unauthorized activities and con-
protection system shall: ditions and communicate them so that
(1) Detect attempts to gain unauthor- response can be such as to stop the ac-
ized access or introduce unauthorized tivity or correct the conditions to sat-

material across material access or isfy the general performance objective
vital area boundaries by stealth or and requirements of § 73.20(a).
475
§ 73.45 10 CFR Ch. I (1–1–11 Edition)
(d) Permit only authorized placement ance objective and requirements of

and movement of strategic special nu- § 73.20(a).
clear material within material access (2) Confirm the identity and quantity
areas. To achieve this capability the of strategic special nuclear material
physical protection system shall: presented for removal from a material
(1) Detect unauthorized placement access area and detect attempts at un-
and movement of strategic special nu- authorized removal of strategic special
clear material within the material ac- nuclear material from material access
cess area using the following sub- areas by deceit using the following sub-
systems and subfunctions: systems and subfunctions:
(i) Controls and procedures to delin- (i) Authorization controls and proce-
eate authorized placement and control
dures to provide current schedules for
for strategic special nuclear material;
authorized removal of strategic special
(ii) Controls and procedures to estab-
nuclear material which specify the au-
lish current authorized placement and
movement of all strategic special nu- thorized properties and quantities of
clear material within material access material to be removed, the persons
areas; authorized to remove the material, and
(iii) Controls and procedures to main- the authorized time schedule;
tain knowledge of the identity, quan- (ii) Removal controls and procedures
tity, placement, and movement of all to identify and confirm the properties
strategic special nuclear material and quantities of material being re-
within material access areas; and moved and verify the identity of the
(iv) Detection and monitoring sub- persons making the removal and time
systems and procedures to discover and of removal and assess these against the
assess unauthorized placement and current authorized removal schedule
movement of strategic special nuclear before permitting removal; and
material and communicate them so (iii) Communications subsystems and
that response can be such as to return procedures to provide for notification
the strategic special nuclear material of an attempted unauthorized or
to authorized placement or control. unconfirmed removal so that response
(e) Permit removal of only author- can be such as to prevent the removal
ized and confirmed forms and amounts and satisfy the general performance ob-
of strategic special nuclear material jective and requirements of § 73.20(a).
from material access areas. To achieve (f) Provide for authorized access and
this capability the physical protection assure detection of and response to un-
system shall: authorized penetrations of the pro-
(1) Detect attempts at unauthorized tected area to satisfy the general per-
removal of strategic special nuclear
formance objective and requirements
material from material access areas by
of § 73.20(a). To achieve this capability
stealth or force using the following
the physical protection system shall:
subsystems and subfunctions:
(i) Barriers to channel persons and (1) Detect attempts to gain unauthor-
materials exiting a material access ized access or introduce unauthorized
area to exit control points and to delay persons, vehicles, or materials into the
any unauthorized strategic special nu- protected area by stealth or force using
clear material removal attempts suffi- the following subsystems and subfunc-
cient to assist detection and assess- tions:
ment and permit a response that will (i) Barriers to channel persons, vehi-
prevent the removal; and satisfy the cles, and materials to protected area
general performance objective and re- entry control points; and to delay any
quirements of § 73.20(a); and unauthorized penetration attempts or
(ii) Detection subsystems and proce- the introduction of unauthorized vehi-
dures to detect, assess and commu- cles or materials sufficient to assist de-
nicate any attempts at unauthorized tection and assessment and permit a
removal of strategic special nuclear response that will prevent the penetra-
material so that response to the at- tion or prevent such penetration and
tempt can be such as to prevent the re- satisfy the general performance objec-
moval and satisfy the general perform- tive and requirements of § 73.20(a); and
476
(ii) Access detection subsystems and that they can complete their assigned
procedures to detect, assess and com- duties.
municate any unauthorized access or (4) Provide communications net-
penetrations or such attempts by per- works to:
sons, vehicles, or materials at the time (i) Transmit rapid and accurate secu-
of the act or the attempt so that the rity information among onsite forces
response can be such as to prevent the for routine security operation, assess-
unauthorized access or penetration, ment of a contingency, and response to
and satisfy the general performance ob- a contingency; and
jective and requirements of § 73.20(a). (ii) Transmit rapid and accurate de-
(2) Detect attempts to gain unauthor- tection and assessment information to
ized access or introduce unauthorized offsite assistance forces.
persons, vehicles, or materials into the (5) Assure that a single adversary ac-
protected area by deceit using the fol- tion cannot destroy the capability of
lowing subsystems and subfunctions: the security organization to notify off-
(i) Access authorization controls and site response forces of the need for as-
procedures to provide current author- sistance.
ization schedules and entry criteria for [44 FR 68193, Nov. 28, 1979]
persons, vehicles, and materials; and
(ii) Entry controls and procedures to § 73.46 Fixed site physical protection
verify the identity of persons, mate- systems, subsystems, components,
rials and vehicles and assess such iden- and procedures.
tity against current authorization (a) A licensee physical protection
schedules before permitting entry and system established pursuant to the
to initiate response measures to deny general performance objective and re-
unauthorized access. quirements of § 73.20(a) and the per-
(g) Response. Each physical protec- formance capability requirements of
tion program shall provide a response § 73.45 shall include, but are not nec-
capability to assure that the five capa- essarily limited to, the measures speci-
bilities described in paragraphs (b) fied in paragraphs (b) through (h) of
through (f) of this section are achieved this section. The Commission may re-
and that adversary forces will be en- quire, depending on individual facility
gaged and impeded until offsite assist- and site conditions, alternate or addi-
ance forces arrive. To achieve this cational measures deemed necessary to
pability a licensee shall: meet the general performance objec-
(1) Establish a security organization tive and requirements of § 73.20. The
to: Commission also may authorize protec-
(i) Provide trained and qualified per- tion measures other than those re-
sonnel to carry out assigned duties and quired by this section if, in its opinion,
responsibilities; and the overall level of performance meets
(ii) Provide for routine security oper- the general performance objective and
ations and planned and predetermined requirements of § 73.20 and the perform-
response to emergencies and safeguards ance capability requirements of § 73.45.
contingencies. (b) Security organization. (1) The li-
(2) Establish a predetermined plan to censee shall establish a security orga-
respond to safeguards contingency nization, including guards. If a con-
events. tract guard force is utilized for site se-
(3) Provide equipment for the secu- curity, the licensee’s written agree-
rity organization and facility design ment with the contractor will clearly
features to: show that (i) the licensee is responsible
(i) Provide for rapid assessment of to the Commission for maintaining
safeguards contingencies; safeguards in accordance with Commis-
(ii) Provide for response by assigned sion regulations and the licensee’s se-
security organization personnel which curity plan, (ii) the NRC may inspect,
is sufficiently rapid and effective to copy, and take away copies of all re-
achieve the predetermined objective of ports and documents required to be
the response; and kept by Commission regulations, or-

(iii) Provide protection for the as- ders, or applicable license conditions
sessment and response personnel so whether such reports and documents
477
§ 73.46 10 CFR Ch. I (1–1–11 Edition)
are kept by the licensee or the con- ance with paragraphs (b)(6) and (b)(7) of
tractor, (iii) the requirement, in this section. Tactical Response Team
§ 73.46(b)(4) of this section that the li- members, armed response personnel,
censee demonstrate the ability of phys- and guards shall also be trained and
ical security personnel to perform their qualified in accordance with either
assigned duties and responsibilities, in- paragraphs (b)(10) and (b)(11) or para-
clude demonstration of the ability of graph (b)(12) of this section. Upon the
the contractor’s physical security per- request of an authorized representative
sonnel to perform their assigned duties of the Commission, the licensee shall
and responsibilities in carrying out the demonstrate the ability of the physical
provisions of the Security Plan and security personnel, whether licensee or
these regulations, and (iv) the con- contractor employees, to carry out
tractor will not assign any personnel their assigned duties and responsibil-
to the site who have not first been ities. Each Tactical Response Team
made aware of these responsibilities. member, armed response person, and
(2) The licensee shall have onsite at guard, whether a licensee or contractor
all times at least one full time member employee, shall requalify in accordance
of the security organization with au- with Appendix B of this part. Tactical
thority to direct the physical protec- Response Team members, armed re-
tion activities of the security organiza- sponse personnel, and guards shall also
tion. requalify in accordance with paragraph
(3) The licensee shall have a manage- (b)(7) of this section at least once every
ment system to provide for the devel- 12 months. The licensee shall document
opment, revision, implementation, and the results of the qualification and re-
enforcement of security procedures. qualification. The licensee shall retain
The system shall include: the documentation of each qualifica-
(i) Written security procedures which tion and requalification as a record for
document the structure of the security 3 years after each qualification and re-
organization and which detail the du- qualification.
ties of the Tactical Response Team, (5) Within any given period of time, a
guards, watchmen, and other individ- member of the security organization
uals responsible for security. The li- may not be assigned to, or have direct
censee shall retain a copy of the cur- operational control over, more than
rent procedures as a record until the one of the redundant elements of a
Commission terminates the license for physical protection subsystem if such
which these procedures were developed assignment or control could result in
and, if any portion of these procedures the loss of effectiveness of the sub-
is superseded, retain the superseded system.
material for three years after each (6) Each guard shall be armed with a
change; and handgun, as described in appendix B of
(ii) Provision for written approval of this part. Each Tactical Response
such procedures and any revisions Team member shall be armed with a
thereto by the individual with overall 9mm semiautomatic pistol. All but one
responsibility for the security func- member of the Tactical Response Team
tion. shall be armed additionally with either
(4) The licensee may not permit an a shotgun or semiautomatic rifle, as
individual to act as a Tactical Re- described in appendix B of this part.
sponse Team member, armed response The remaining member of the Tactical
person, guard, or other member of the Response Team shall carry, as an indi-
security organization unless the individually assigned weapon, a rifle of no
vidual has been trained, equipped, and less caliber than .30 inches or 7.62mm.
qualified to perform each assigned se- (7) In addition to the weapons quali-
curity duty in accordance with Appen- fication and requalification criteria of
dix B of this part, ‘‘General Criteria for appendix B of this part, Tactical Re-
Security Personnel.’’ In addition, Tac- sponse Team members, armed response
tical Response Team members, armed personnel, and guards shall qualify and
response personnel, and guards shall be requalify, at least every 12 months, for
trained, equipped, and qualified for use day and night firing with assigned
of their assigned weapons in accord- weapons in accordance with Appendix
478
H of this part. Tactical Response Team which are to be force-on-force. Subse-

members, armed response personnel, quently, during each 12-month period
and guards shall be permitted to prac- commencing on the anniversary of the
tice fire prior to qualification and re- date specified in paragraph (i)(2)(ii) of
qualification but shall be given only this section, an exercise must be car-
one opportunity to fire for record on ried out at least every four months for
the same calendar day. If a Tactical each shift, one third of which are to be
Response Team member, armed re- force-on-force. The licensee shall use
sponse person, or guard fails to qualify these exercises to demonstrate its ca-
or requalify, the licensee shall remove
pability to respond to attempts to steal
the individual from security duties
strategic special nuclear material.
which require the use of firearms and
retrain the individual prior to any sub- During each of the 12-month periods,
sequent attempt to qualify or re- the NRC shall observe one of the force-
qualify. If an individual fails to qualify on-force exercises which demonstrates
or requalify on two successive at- overall security system performance.
tempts, he or she shall be required to The licensee shall notify the NRC of
receive additional training and suc- the scheduled exercise 60 days prior to
cessfully fire two consecutive quali- that exercise. The licensee shall docu-
fying scores prior to being reassigned ment the results of all exercises. The
to armed security duties. licensee shall retain the documenta-
(i) In addition, Tactical Response tion of each exercise as a record for
Team members, armed response per- three years after each exercise is com-
sonnel, and guards shall be prepared to pleted.
demonstrate day and night firing quali- (10) In addition to the medical exami-
fication with their assigned weapons at nations and physical fitness require-
any time upon request by an author- ments of paragraph I.C of Appendix B
ized representative of the NRC.
of this part, each Tactical Response
(ii) The licensee or the licensee’s
Team member, armed response person,
agent shall document the results of
weapons qualification and requalifica- and guard, except as provided in para-
tion for day and night firing. The li- graph (b)(10)(v) of this section, shall
censee shall retain the documentation participate in a physical fitness train-
of each qualification and requalifica- ing program on a continuing basis.
tion as a record for 3 years after each (i) The elements of the physical fit-
qualification and requalification. ness training program must include,
(8) In addition to the training re- but not necessarily be limited to, the
quirements contained in appendix B of following:
this part, Tactical Response Team (A) Training sessions of sufficient
members shall successfully complete frequency, duration, and intensity to
training in response tactics. The li- be of aerobic benefit, e.g., normally a
censee shall document the completion frequency of three times per week,
of training. The licensee shall retain maintaining an intensity of approxi-
the documentation of training as a mately 75 percent of maximum heart
record for three years after training is
rate for 20 minutes;
completed.
(9) The licensee shall conduct Tac- (B) Activities that use large muscle
tical Response Team and guard exer- groups, that can be maintained con-
cises to demonstrate the overall secu- tinuously, and that are rhythmical and
rity system effectiveness and the abil- aerobic in nature, e.g., running, bicy-
ity of the security force to perform re- cling, rowing, swimming, or cross-
sponse and contingency plan respon- country skiing; and
sibilities and to demonstrate indi- (C) Musculoskeletal training exer-
vidual skills in assigned team duties. cises that develop strength, flexibility,
During the first 12-month period fol- and endurance in the major muscle
lowing the date specified in paragraph groups, e.g., legs, arms, and shoulders.
(i)(2)(ii) of this section, an exercise

must be carried out at least every
three months for each shift, half of
479
§ 73.46 10 CFR Ch. I (1–1–11 Edition)
(ii) The licensee shall assess Tactical vided in paragraph (b)(11)(vi) of this
Response Team members, armed re- section, initially and at least once
sponse personnel, and guards for gen- every 12 months thereafter.
eral fitness once every 4 months to de- (i) For Tactical Response Team mem-
termine the effectiveness of the con- bers the criteria are a 1-mile run in 8
tinuing physical fitness training pro- minutes and 30 seconds or less and a 40-
gram. Assessments must include a re- yard dash starting from a prone posi-
cent health history, measures of car- tion in 8 seconds or less. For armed re-
diovascular fitness, percent of body fat, sponse personnel and guards that are
flexibility, muscular strength, and en- not members of the Tactical Response
durance. Individual exercise programs Team the criteria are a one-half mile
must be modified to be consistent with run in 4 minutes and 40 seconds or less
the needs of each participating Tac- and a 40-yard dash starting from a
tical Response Team member, armed prone position in 8.5 seconds or less.
response person, and guard and con- The test may be taken in ordinary ath-
sistent with the environments in which letic attire under the supervision of li-
they must be prepared to perform their censee designated personnel. The li-
duties. Individuals who exceed 4 censee shall retain a record of each in-
months without being assessed for gen- dividual’s performance for 3 years.
eral fitness due to excused time off (ii) Incumbent Tactical Response
from work must be assessed within 15 Team members, armed response per-
calendar days of returning to duty as a sonnel, and guards shall meet or exceed
Tactical Response Team member, the qualification criteria within 12
armed response person, or guard. months of NRC approval of the licens-
(iii) Within 30 days prior to participa- ee’s revised Fixed Site Physical Pro-
tion in the physical fitness training tection Plan. New employees hired
program, the licensee shall give Tac- after the approval date shall meet or
tical Response Team members, armed
exceed the qualification criteria prior
response personnel, and guards a med-
to assignment as a Tactical Response
ical examination including a deter-
Team member, armed response person,
mination and written certification by a
or guard.
licensed physician that there are no
medical contraindications, as disclosed (iii) Tactical Response Team mem-
by the medical examination, to partici- bers, armed response personnel, and
pation in the physical fitness training guards shall be given a medical exam-
program. ination including a determination and
(iv) Licensees may temporarily waive written certification by a licensed phy-
an individual’s participation in the sician that there are no medical con-
physical fitness training program on traindications, as disclosed by the med-
the advice of the licensee’s examining ical examination, to participation in
physician, during which time the indi- the physical fitness performance test-
vidual may not be assigned duties as a ing. The medical examination must be
Tactical Response Team member. given within 30 days prior to the first
(v) Guards whose duties are to staff administration of the physical fitness
the central or secondary alarm station performance test, and on an annual
and those who control exit or entry basis thereafter.
portals are exempt from the physical (iv) The licensee shall place Tactical
fitness training program specified in Response Team members, armed re-
paragraph (b)(10) of this section, pro- sponse persons, and guards, who do not
vided that they are not assigned tem- meet or exceed the qualification cri-
porary response guard duties. teria, in a monitored remedial physical
(11) In addition to the physical fit- fitness training program and relieve
ness demonstration contained in para- them of security duties until they sat-
graph I.C of Appendix B of this part, isfactorily meet or exceed the quali-
Tactical Response Team members, fication criteria.
armed response personnel, and guards (v) Licensees may temporarily waive
shall meet or exceed the requirements the annual performance testing for an
in paragraphs (b)(11)(i) through individual on the advice of the licens-
(b)(11)(v) of this section, except as pro- ee’s examining physician, during which
480
time the individual may not be as- portals are exempt from the perform-
signed duties as a Tactical Response ance test specified in paragraph (b)(12)
Team member. of this section, provided that they are
(vi) Guards whose duties are to staff not assigned temporary response guard
the central or secondary alarm station duties.
and those who control exit or entry (c) Physical barrier subsystems. (1)
portals are exempt from the annual vital equipment must be located only
performance testing specified in para- within a vital area, and strategic spe-
graph (b)(11) of this section, provided cial nuclear material must be stored or
that they are not assigned temporary processed only in a material access
response guard duties. area. Both vital areas and material ac-
(12) The licensee may elect to comply cess areas must be located within a
with the requirements of this para- protected area so that access to vital
graph instead of the requirements of equipment and to strategic special nu-
paragraphs (b)(10) and (b)(11) of this clear material requires passage
section. In addition to the physical fit- through at least three physical bar-
ness qualifications of paragraph I.C of riers. The perimeter of the protected
Appendix B of this part, each licensee area must be provided with two sepa-
subject to the requirements of this sec- rated physical barriers with an intru-
tion shall develop and submit to the sion detection system placed between
NRC for approval site specific, content- the two. The inner barrier must be po-
based, physical fitness performance sitioned and constructed to enhance as-
tests which will—when administered to sessment of penetration attempts and
each Tactical Response Team member, to delay attempts at unauthorized exit
armed response person, or guard—du- from the protected area. The perimeter
plicate the response duties these indi- of the protected area must also incor-
viduals may need to perform during a porate features and structures that
strenuous tactical engagement. prevent forcible vehicle entry. More
(i) The test must be administered to than one vital area or material access
each Tactical Response Team member, area may be located within a single
armed response person, and guard once protected area.
every 3 months. The test must specifi- (2) The physical barriers at the pe-
cally address the physical capabilities rimeter of the protected area shall be
needed by armed response personnel separated from any other barrier des-
during a strenuous tactical engage- ignated as a physical barrier for a vital
ment at the licensed facility. Individ- area or material access area within the
uals who exceed 3 months without hav- protected area.
ing been administered the test due to (3) Isolation zones shall be main-
excused time off from work must be tained in outdoor areas adjacent to the
tested within 15 calendar days of re- physical barrier at the perimeter of the
turning to duty as a Tactical Response protected area and shall be large
Team member, armed response person, enough to permit observation of the ac-
or guard. tivities of people on either side of that
(ii) Within 30 days before the first ad- barrier in the event of its penetration.
ministration of the physical fitness If parking facilities are provided for
performance test, and on an annual employees or visitors, they shall be lo-
basis thereafter, Tactical Response cated outside the isolation zone and ex-
Team members, armed response per- terior to the protected area.
sonnel, and guards shall be given a (4) Isolation zones and all exterior
medical examination including a deter- areas within the protected area shall
mination and written certification by a be provided with illumination suffi-
licensed physician that there are no cient for the monitoring and observa-
medical contraindications, as disclosed tion requirements of paragraphs (c)(3),
by the medical examination, to partici- (e)(8), (h)(4) and (h)(6) of this section,
pation in the physical fitness perform- but not less than 0.2 footcandle meas-
ance test. ured horizontally at ground level.
(iii) Guards whose duties are to staff (5) Strategic special nuclear mate-
the central or secondary alarm station rial, other than alloys, fuel elements or
and those who control exit or entry fuel assemblies, shall:
481
§ 73.46 10 CFR Ch. I (1–1–11 Edition)
(i) Be stored in a vault when not un- access is authorized and (iii) the period
dergoing processing if the material can for which access has been authorized.
be used directly in the manufacture of Badges shall be displayed by all indi-
a nuclear explosive device. Vaults used viduals while inside the protected
to protect such material shall be capa- areas.
ble of preventing entry to stored SSNM (2) Unescorted access to vital areas,
by a single action in a forced entry at- material access areas and controlled
tempt, except as such single action access areas shall be limited to individ-
would both destroy the barrier and uals who are authorized access to the
render contained SSNM incapable of material and equipment in such areas,
being removed, and shall provide suffi- and who require such access to perform
cient delay to prevent removal of their duties. Access to material access
stored SSNM prior to arrival of re- areas shall include at least two individ-
sponse personnel capable of neutral- uals. Authorization for such individ-
izing the design basis threat stated in uals shall be indicated by the issuance
§ 73.1. of specially coded numbered badges in-
(ii) Be stored in tamper-indicating dicating vital areas, material access
containers; areas, and controlled access areas to
(iii) Be processed only in material ac- which access is authorized. No activi-
cess areas constructed with barriers ties other than those which require ac-
that provide significant delay to pene- cess to strategic special nuclear mate-
tration; and rial or to equipment used in the proc-
(iv) Be kept in locked compartments essing, use, or storage of strategic spe-
or locked process equipment while un- cial nuclear material, or necessary
dergoing processing except when per- maintenance, shall be permitted within
sonally attended. a material access area.
(6) Enriched uranium scrap (enriched (3) The licensee shall establish and
to 20% or greater) in the form of small follow written procedures that will per-
pieces, cuttings, chips, solutions or in mit access control personnel to iden-
other forms which result from a manu- tify those vehicles that are authorized
facturing process, contained in 30 gal- and those materials that are not au-
lon or larger containers with a ura- thorized entry to protected, material
nium-235 content of less than 0.25 access, and vital areas. The licensee
grams per liter, may be stored within a shall retain a copy of the current pro-
locked and separately fenced area cedures as a record until the Commis-
within a larger protected area provided sion terminates each license for which
that the storage area fence is no closer the procedures were developed and, if
than 25 feet to the perimeter of the any portion of the procedures is super-
protected area. The storage area when seded, retain the superseded material
unoccupied shall be protected by a for three years after each change.
guard or watchman who shall patrol at (4)(i) The licensee shall control all
intervals not exceeding 4 hours, or by points of personnel and vehicle access
intrusion alarms. into a protected area. Identification
(d) Access control subsystems and proce- and search of all individuals for fire-
dures. (1) A numbered picture badge arms, explosives, and incendiary de-
identification subsystem shall be used vices must be made and authorization
for all individuals who are authorized must be checked at these points except
access to protected areas without es- for Federal, State, and local law en-
cort. An individual not employed by forcement personnel on official duty
the licensee but who requires frequent and United States Department of En-
and extended access to protected, ma- ergy couriers engaged in the transport
terial access, or vital areas may be au- of special nuclear material. The search
thorized access to such areas without function for detection of firearms, ex-
escort provided that he receives a pic- plosives, and incendiary devices must
ture badge upon entrance into the probe accomplished through the use of de-
tected area and returns the badge upon tection equipment capable of detecting
exit from the protected area, and that both firearms and explosives. The indi-
the badge indicates, (i) Non-employee— vidual responsible for the last access
no escort required; (ii) areas to which control function (controlling admission
482
to the protected area) shall be isolated protected area except for operational,
within a structure with bullet resisting maintenance, security and emergency
walls, doors, ceiling, floor, and win- purposes. The licensee shall exercise
dows. positive control over all such des-
(ii) When the licensee has cause to ignated vehicles to assure that they
suspect that an individual is attempt- are used only by authorized persons
ing to introduce firearms, explosives, and for authorized purposes.
or incendiary devices into a protected (9) The licensee shall control all
area, the licensee shall conduct a phys- points of personnel and vehicle access
ical pat-down search of that individual. to material access areas, vital areas,
Whenever firearms or explosives detec- and controlled access areas. At least
tion equipment at a portal is out of two armed guards trained in accord-
service or not operating satisfactorily, ance with the provisions contained in
the licensee shall conduct a physical paragraph (b)(7) of this section and ap-
pat-down search of all persons who pendix B of this part shall be posted at
would otherwise have been subject to each material access area control point
search using the equipment. whenever in use. Identification and au-
(5) At the point of personnel and ve- thorization of personnel and vehicles
hicle access into a protected area, all must be verified at the material access
hand-carried packages except those area control point. Prior to entry into
carried by individuals exempted from a material access area, packages must
personal search under the provisions of be searched for firearms, explosives,
paragraph (d)(4)(i) of this part must be and incendiary devices. All vehicles,
searched for firearms, explosives, and materials and packages, including
incendiary devices. trash, wastes, tools, and equipment
(6) All packages and material for de- exiting from a material access area
livery into a protected area must be must be searched for concealed stra-
checked for proper identification and tegic special nuclear material by a
authorization and searched for fire- team of at least two individuals who
arms, explosives, and incendiary de- are not authorized access to that mate-
vices prior to admittance into the pro- rial access area. Each individual
tected area, except those Commission- exiting a material access area shall un-
approved delivery and inspection ac- dergo at least two separate searches for
tivities specifically designated by the concealed strategic special nuclear ma-
licensee to be carried out within mate- terial. For individuals exiting an area
rial access, vital, or protected areas for that contains only alloyed or encap-
reasons of safety, security, or oper- sulated strategic special nuclear mate-
ational necessity. rial, the second search may be con-
(7) All vehicles, except United States ducted in a random manner.
Department of Energy vehicles en- (10) Before exiting from a material
gaged in transporting special nuclear access area, containers of contami-
material and emergency vehicles under nated wastes must be drum scanned
emergency conditions, shall be and tamper sealed by at least two indi-
searched for firearms, explosives, and viduals, working and recording their
incendiary devices prior to entry into findings as a team, who do not have ac-
the protected area. Vehicle areas to be cess to material processing and storage
searched shall include the cab, engine areas. The licensee shall retain the
compartment, undercarriage, and cargo records of these findings for three
area. years after the record is made.
(8) All vehicles, except designated li- (11) Strategic special nuclear mate-
censee vehicles, requiring entry into rial being prepared for shipment off-
the protected area shall be escorted by site, including product, samples and
a member of the security organization scrap, shall be packed and placed in
while within the protected area, and to sealed containers in the presence of at
the extent practicable shall be off-load- least two individuals working as a
ed in an area that is not adjacent to a team who shall verify and certify the
vital area. Designated licensee vehicles content of each shipping container

shall be limited in their use to onsite through the witnessing of gross weight
plant functions and shall remain in the measurements and nondestructive
483
§ 73.46 10 CFR Ch. I (1–1–11 Edition)
assay, and through the inspection of subsystem which will alarm upon the
tamper seal integrity and associated entry of a person anywhere into the
seal records. area, upon exit from the area, and upon
(12) Areas used for preparing stra- movement of an individual within the
tegic special nuclear material for ship- area, except that for process material
ment and areas used for packaging and access areas only the location of the
screening trash and wastes shall be strategic special nuclear material
controlled access areas and shall be within the area is required to be so
separated from processing and storage alarmed. Vaults and process areas that
areas. contain strategic special nuclear mate-
(13) Individuals not permitted by the rial that has not been alloyed or encap-
licensee to enter protected areas with- sulated shall also be under the surveil-
out escort must be escorted by a lance of closed circuit television that
watchman or other individual des- is monitored in both alarm stations.
ignated by the licensee while in a pro- Additionally, means shall be employed
tected area and must be badged to indi- which require that an individual other
cate that an escort is required. In addi- than an alarm station operator be
tion, the individual shall be required to present at or have knowledge of access
register his or her name, date, time, to such unoccupied vaults or process
purpose of visit and employment affili- areas.
ation, citizenship, and name of the in- (4) All manned access control points
dividual to be visited in a log. The li- in the protected area barrier, all secu-
censee shall retain each log as a record rity patrols and guard stations within
for three years after the last entry is the protected area, and both alarm sta-
made in the log. tions shall be provided with duress
(14) All keys, locks, combinations alarms.
and related equipment used to control (5) All alarms required pursuant to
access to protected, material access, this section shall annunciate in a con-
vital, and controlled access areas shall tinuously manned central alarm sta-
be controlled to reduce the probability tion located within the protected area
of compromise. Whenever there is evi- and in at least one other independent
dence that a key, lock, combination, or continuously manned onsite station
related equipment may have been com- not necessarily within the protected
promised it shall be changed. Upon ter- area, so that a single act cannot re-
mination of employment of any em- move the capability of calling for as-
ployee, keys, locks, combinations, and sistance or responding to an alarm.
related equipment to which that em- The alarm stations shall be controlled
ployee had access, shall be changed. access areas and their walls, doors,
(15) The licensee may not announce ceiling, floor, and windows shall be bul-
or otherwise communicate to its em- let-resisting. The central alarm station
ployees or site contractors the arrival shall be located within a building so
or presence of an NRC safeguards in- that the interior of the central alarm
spector unless specifically requested to station is not visible from the perim-
do so by the NRC safeguards inspector. eter of the protected area. This station
(e) Detection, surveillance and alarm may not contain any operational ac-
subsystems and procedures. (1) The li- tivities that would interfere with the
censee shall provide an intrusion alarm execution of the alarm response func-
subsystem with a capability to detect tion.
penetration through the isolation zone (6) All alarms required by this sec-
and to permit response action. tion shall remain operable from inde-
(2) All emergency exits in each pro- pendent power sources in the event of
tected, material access, and vital area the loss of normal power. Switchover
shall be locked to prevent entry from to standby power shall be automatic
the outside and alarmed to provide and shall not cause false alarms on an-
local visible and audible alarm annun- nunciator modules.
ciation. (7) All alarm devices including trans-
(3) All unoccupied vital areas and mission lines to annunciators shall be
material access areas shall be locked tamper indicating and self-checking
and protected by an intrusion alarm e.g., an automatic indication shall be
484
provided when a failure of the alarm ical protection related subsystems and
system or a component occurs, when components to assure that they comply
there is an attempt to compromise the with their respective design criteria
system, or when the system is on and performance specifications.
standby power. The annunciation of an (2) Preoperational tests and inspec-
alarm at the alarm stations shall indi- tions of physical protection related
cate the type of alarm (e.g., intrusion subsystems and components to dem-
alarm, emergency exit alarm, etc.) and onstrate their effectiveness and avail-
location. The status of all alarms and ability with respect to their respective
alarm zones shall be indicated in the design criteria and performance speci-
alarm stations. fications.
(8) All exterior areas within the pro-
(3) Operational tests and inspections
tected area shall be monitored or peri-
of physical protection related sub-
odically checked to detect the presence
systems and components to assure
of unauthorized persons, vehicles, ma-
terials, or unauthorized activities. their maintenance in an operable and
(9) Methods to observe individuals effective condition, including:
within material access areas to assure (i) Testing of each intrusion alarm at
that strategic special nuclear material the beginning and end of any period
is not moved to unauthorized locations that it is used. If the period of c

CFR-Title 10 - Parts 51 To 199

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CFR-Title 10 - Parts 51 To 199

Uploaded by

Copyright:

Available Formats

Title 10

Revised as of January 1, 2011

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PRINTING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Chapter I—Nuclear Regulatory Commission (Continued) ............... 3

Table of CFR Titles and Chapters ....................................................... 839

Alphabetical List of Agencies Appearing in the CFR ......................... 859

List of CFR Sections Affected ............................................................. 869

To cite the regulations in

CHAPTER I—Nuclear Regulatory Commission (Continued) .... 51

76 Certification of gaseous diffusion plants ................. 600

51.30 Environmental assessment.

of radioactive waste licensed under 10

ENVIRONMENTAL REPORTS—RULEMAKING 51.95 Postconstruction environmental im-

final environmental impact statement; cant impact; distribution.

of a college laboratory building with wise in the public interest.

Subpart A—National Environ- to prepare an independent environ-

under the FWPCA [Federal Water Pollution

of deviation, and notices of non- for which, therefore, neither an envi-

and which the Commission has found tion 102(2) of NEPA.

which the Commission is responsible part of an adjudicatory or rulemaking

PRELIMINARY PROCEDURES (8) Issuance of a license to possess

recovery, or conversion of uranium ical exclusions, and those identified in

§ 51.22(b), the Commission may, in spe- or other forms of permission or for

(i) Procedures for filing and review- (10) Issuance of an amendment to a

(iii) Administrative changes; and (xvi) Any use of source, byproduct, or

forms of source, byproduct, or special (22) Issuance of a standard design ap-

cense required to reflect the approval quirements;

(E) Education, training, experience, (b) Accordingly, as provided in

lieves there is reasonable assurance that suf-

§ 51.26 Requirement to publish notice § 51.27 Notice of intent.

practicable. However, if the appro- proposed action, the scoping process,

to participate in the scoping process: an early site permit final environ-

proposed action shall be as set forth in cumstances or information arise which

tion, as appropriate, if substantial subject of the proposed amendment

in the earlier environmental assess- pare a draft finding of no significant

ment or a finding of no significant im- sideration of severe accident mitiga-

termined not to prepare an environ- tor determines that preparation of a

REGISTER as provided in § 51.119. Nuclear Material Safety and Safe-

telephone (301) 415–7800, e-mail description of the proposed action, a

report at any time. ization, construction permit, or com-

analysis of the cumulative impacts of sion of alternatives in the report shall

posed by Federal, State, regional, and authorization and construction permit or

achieve the level of environmental im- to the activities proposed to be con-

the ‘‘Applicant’s Environmental Re- whether there is any obviously supe-

environmental report must address all not contain information or analyses

Site Permit Stage,’’ or resolved in the (3) Application referencing a manufac-

TABLE S–3—TABLE OF URANIUM FUEL CYCLE ENVIRONMENTAL DATA 1

Maximum effect per annual fuel requirement or ref-

NATURAL RESOURCE USE

Water (millions of gallons):

turned to ground—no effluents; therefore, no effect on

TABLE S–3—TABLE OF URANIUM FUEL CYCLE ENVIRONMENTAL DATA 1—Continued

Maximum effect per annual fuel requirement or ref-

Th–234 ........................................................................ .01 From fuel fabrication plants—concentration 10 percent

§ 51.52 Environmental effects of trans- ing a uranium-235 enrichment not ex-

megawatts; reactor by truck or rail; and

from the reactor, with respect to nor- environmental effects of transpor-

Heat (per irradiated fuel cask in transit) ...................................... 250,000 Btu/hr.