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| 10:10:1.0.1.1.1.1.8.1 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.1 Creation and authority. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 56 FR 29407, June 27, 1991] | (a) The Nuclear Regulatory Commission was established by the Energy Reorganization Act of 1974, as amended, Pub. L. 93-438, 88 Stat. 1233 (42 U.S.C. 5801 et seq. ). This Act abolished the Atomic Energy Commission and, by section 201, transferred to the Nuclear Regulatory Commission all the licensing and related regulatory functions assigned to the Atomic Energy Commission by the Atomic Energy Act of 1954, as amended, Pub. L. 83-703, 68 Stat. 919 (42 U.S.C. 2011 et seq. ). These functions included those of the Atomic Safety and Licensing Board Panel. The Energy Reorganization Act became effective January 19, 1975 (E.O. 11834). (b) As used in this part: Commission means the five members of the Nuclear Regulatory Commission or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974, as amended. NRC means the Nuclear Regulatory Commission, the agency established by title II of the Energy Reorganization Act of 1974, as amended, comprising the members of the Commission and all offices, employees, and representatives authorized to act in any case or matter. | |||
| 10:10:1.0.1.1.1.1.8.2 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.3 Sources of additional information. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 53 FR 43419, Oct. 27, 1988; 53 FR 52993, Dec. 30, 1988; 54 FR 53313, Dec. 28, 1989; 57 FR 1639, Jan. 15, 1992; 63 FR 15740, Apr. 1, 1998; 64 FR 48947, Sept. 9, 1999; 67 FR 67097, Nov. 4, 2002; 70 FR 69421, Nov. 16, 2005; 79 FR 75737, Dec. 19, 2014; 80 FR 45842, Aug. 3, 2015; 80 FR 74977, Dec. 1, 2015] | (a) A statement of the NRC's organization, policies, procedures, assignments of responsibility, and delegations of authority is in the Nuclear Regulatory Commission Management Directives System and other NRC issuances, including local directives issued by Regional Offices. Letters and memoranda containing directives, delegations of authority and the like are also issued from time to time and may not yet be incorporated into the Management Directives System, parts of which are revised as necessary. Copies of the Management Directives System and other delegations of authority are available for public inspection and copying for a fee at the NRC Public Document Room, One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland 20852-2738, and at each of NRC's Regional Offices. Information may also be obtained from the Office of Public Affairs or from Public Affairs Officers at the Regional Offices. (b) Commission meetings are open to the public, as provided by the Government in the Sunshine Act, unless they fall within an exemption to the Act's openness requirement and the Commission also has determined that the public interest requires that those particular meetings be closed. Information concerning Commission meetings may be obtained from the Office of the Secretary. (c) Information regarding the availability of NRC records under the Freedom of Information Act and Privacy Act of 1974 may be obtained from the Office of the Chief Information Officer. NRC's regulations are published in the Federal Register and codified in Title 10, Chapter 1, of the Code of Federal Regulations. They may be viewed electronically at the NRC Web site, http://www.nrc.gov/reading-rm/doc-collections/cfr/. Final opinions made in the adjudication of cases are published in “Nuclear Regulatory Commission Issuances,” and are available on a subscription basis from the National Technical Information Service, 5301 Shawnee Road, Alexandria, VA 22312. | |||
| 10:10:1.0.1.1.1.1.8.3 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.5 Location of principal offices and regional offices. | NRC | [67 FR 67097, Nov. 4, 2002; 67 FR 70835, Nov. 27, 2002, as amended at 67 FR 77652, Dec. 19, 2002; 68 FR 75389, Dec. 31, 2003; 70 FR 69421, Nov. 16, 2005; 71 FR 15007, Mar. 27, 2006; 72 FR 49148, Aug. 28, 2007; 73 FR 5711, Jan. 31, 2008; 73 FR 30457, May 28, 2008; 75 FR 21980, Apr. 27, 2010; 76 FR 72084, Nov. 22, 2011; 77 FR 39903, July 6, 2012; 79 FR 75757, Dec. 19, 2014; 87 FR 20696, Apr. 8, 2022] | (a) The principal NRC offices are located in the Washington, DC, area. Facilities for the service of process and documents are maintained in the State of Maryland at 11555 Rockville Pike, Rockville, Maryland 20852-2738. The agency's official mailing address is U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The locations of NRC offices in the Washington, DC, area are as follows: (1) One White Flint North Building, 11555 Rockville Pike, Rockville, Maryland 20852-2738. (2) Two White Flint North Building, 11545 Rockville Pike, Rockville, Maryland 20852-2738. (3) Three White Flint North Building, 11601 Landsdown Street, North Bethesda, Maryland 20852. (b) The addresses of the NRC Regional Offices are as follows: (1) Region I, U.S. NRC, 475 Allendale Road, Suite 102, King of Prussia, PA 19406-1415. (2) Region II, USNRC, 245 Peachtree Center Avenue, NE., Suite 1200, Atlanta, GA 30303-1257. (3) Region III, USNRC, 2443 Warrenville Road, Suite 210, Lisle, IL 60532-4352. (4) Region IV, US NRC, 1600 E. Lamar Blvd., Arlington, TX 76011-4511. | |||
| 10:10:1.0.1.1.1.2.8.1 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.11 The Commission. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 57 FR 1639, Jan. 15, 1992; 59 FR 63882, Dec. 12, 1994] | (a) The Nuclear Regulatory Commission, composed of five members, one of whom is designated by the President as Chairman, is established pursuant to section 201 of the Energy Reorganization Act of 1974, as amended. The Chairman is the principal executive officer of the Commission, and is responsible for the executive and administrative functions with respect to appointment and supervision of personnel, except as otherwise provided by the Energy Reorganization Act of 1974, as amended, and Reorganization Plan No. 1 of 1980 (45 FR 40561); distribution of business; use and expenditures of funds (except that the function of revising budget estimates and purposes is reserved to the Commission); and appointment, subject to approval of the Commission, of heads of major administrative units under the Commission. The Chairman is the official spokesman, as mandated by the Reorganization Plan No. 1 of 1980. The Chairman has ultimate authority for all NRC functions pertaining to an emergency involving an NRC Licensee. The Chairman's actions are governed by the general policies of the Commission. (b) The Commission is responsible for licensing and regulating nuclear facilities and materials and for conducting research in support of the licensing and regulatory process, as mandated by the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and the Nuclear Nonproliferation Act of 1978; and in accordance with the National Environmental Policy Act of 1969, as amended, and other applicable statutes. These responsibilities include protecting public health and safety, protecting the environment, protecting and safeguarding nuclear materials and nuclear power plants in the interest of national security, and assuring conformity with antitrust laws. Agency functions are performed through standards setting and rulemaking; technical reviews and studies; conduct of public hearings; issuance of authorizations, permits, and licenses; inspection, investigation, and enforcement; evaluation of operating exp… | |||
| 10:10:1.0.1.1.1.2.8.2 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.12 Office of the Inspector General. | NRC | [54 FR 53313, Dec. 28, 1989] | The Office of the Inspector General— (a) Develops policies and standards that govern NRC's financial and management audit program; (b) Plans, directs, and executes the long-range, comprehensive audit program; (c) Conducts and reports on investigations and inquiries, as necessary, to ascertain and verify the facts with regard to the integrity of all NRC programs and operations; (d) Investigates possible irregularities or alleged misconduct of NRC employees and contractors; (e) Refers suspected or alleged criminal violations concerning NRC employees or contractors to the Department of Justice; (f) Reviews existing and proposed legislation and regulations for their impact on economy and efficiency in the administration of NRC's programs and operations; (g) Keeps the Commission and the Congress fully and currently informed, by means of semiannual and other reports, about fraud, abuse, and other serious deficiencies in NRC's programs and operations; and (h) Maintains liaison with audit and inspector general organizations and other law enforcement agencies in regard to all matters relating to the promotion of economy and efficiency and the detection of fraud and abuse in programs and operations. | |||
| 10:10:1.0.1.1.1.2.9.3 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.13 Advisory Committee on Reactor Safeguards. | NRC | The Advisory Committee on Reactor Safeguards (ACRS) was established by section 29 of the Atomic Energy Act of 1954, as amended. Consisting of a maximum of 15 members, it reviews and reports on safety studies and applications for construction permits and facility operating licenses; advises the Commission with regard to hazards of proposed or existing reactor facilities and the adequacy of proposed reactor safety standards; upon request of the Department of Energy (DOE), reviews and advises with regard to the hazards of DOE nuclear activities and facilities; reviews any generic issues or other matters referred to it by the Commission for advice. The Committee, on its own initiative, may conduct reviews of specific generic matters or nuclear facility safety-related items. The ACRS conducts studies of reactor safety research and submits reports thereon to the U.S. Congress and the NRC as appropriate. | ||||
| 10:10:1.0.1.1.1.2.9.4 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.15 Atomic Safety and Licensing Board Panel. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 85 FR 65661, Oct. 16, 2020] | The Atomic Safety and Licensing Board Panel, established pursuant to section 191 of the Atomic Energy Act of 1954, as amended, conducts hearings for the Commission and such other regulatory functions as the Commission authorizes. The Panel is comprised of any number of Administrative Judges (full-time and part-time), who may be lawyers, physicists, engineers, and environmental scientists; and Administrative Law Judges, who hear antitrust, civil penalty, and other cases and serve as Atomic Safety and Licensing Board Chairmen. The Chief Administrative Judge develops and applies procedures governing the activities of Boards, Administrative Judges, and Administrative Law Judges and makes appropriate recommendations to the Commission concerning the rules governing the conduct of hearings. The Panel conducts all licensing and other hearings as directed by the Commission primarily through individual Atomic Safety and Licensing Boards composed of one or three Administrative Judges. Those boards are designated by either the Commission or the Chief Administrative Judge. | |||
| 10:10:1.0.1.1.1.2.9.5 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.18 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.1.2.9.6 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.19 Other committees, boards, and panels. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 54 FR 53314, Dec. 28, 1989; 68 FR 75389, Dec. 31, 2003; 79 FR 75737, Dec. 19, 2014] | Under section 161a. of the Atomic Energy Act of 1954, as amended, the Commission may establish advisory bodies to make recommendations to it. Currently, four committees are in existence. (a) The Advisory Committee on Medical Uses of Isotopes (ACMUI) was established by the Atomic Energy Commission in July 1958. The ACMUI, composed of physicians and scientists, considers medical questions referred to it by the NRC staff and renders expert opinions regarding medical uses of radioisotopes. The ACMUI also advises the NRC staff, as requested, on matters of policy regarding licensing of medical uses of radioisotopes. (b) The Licensing Support Network Advisory Review Panel (LSNARP) was established by the Commission on October 3, 1989, pursuant to 10 CFR 2.1011(e) of the Commission's regulations. The LSNARP provides advice to the Commission on the design, development, and operation of the Licensing Support Network (LSN) an electronic information management system for use in the Commission's high-level radioactive waste (HLW) licensing proceeding. Membership consists of those interests that will be affected by the use of the LSN, and selected Federal agencies with expertise in large-scale electronic information systems. The individual representatives of these interests and agencies possess expertise in management information science and in managing records of the Commission's licensing process for the HLW repository. | |||
| 10:10:1.0.1.1.1.2.10.7 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.23 Office of the General Counsel. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 56 FR 29407, June 27, 1991; 65 FR 59272, Oct. 4, 2000] | The Office of the General Counsel, established pursuant to section 25 of the Atomic Energy Act of 1954, as amended— (a) Directs matters of law and legal policy, providing opinions, advice, and assistance to the agency with respect to all of its activities; (b) Reviews and prepares appropriate draft Commission decisions on public petitions seeking direct Commission action and rulemaking proceedings involving hearings, monitors cases pending before presiding officers and reviews draft Commission decisions on Atomic Safety and Licensing Board decisions and rulings; (c) Provides interpretation of laws, regulations, and other sources of authority; (d) Reviews the legal form and content of proposed official actions; (e) As requested, provides the agency with legal advice and opinions on acquisition matters, including agency procurement contracts; placement of work at Department of Energy national laboratories; interagency agreements to acquire supplies and services; and grants and cooperative agreements. Prepares or concurs in all other interagency agreements, delegations of authority, regulations; orders; licenses; and other legal documents and prepares legal interpretations thereof; (f) Reviews and directs intellectual property (patent) work; (g) Represents and protects the interests of the NRC in legal matters and in court proceedings, and in relation to other government agencies, administrative bodies, committees of Congress, foreign governments, and members of the public; and (h) Represents the NRC staff as a party in NRC administrative hearings. | |||
| 10:10:1.0.1.1.1.2.10.8 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.24 Office of Commission Appellate Adjudication. | NRC | [56 FR 29407, June 27, 1991] | The Office of Commission Appellate Adjudication— (a) Monitors cases pending before presiding officers; (b) Provides the Commission with an analysis of any adjudicatory matter requiring a Commission decision (e.g., petitions for review, certified questions, stay requests) including available options; (c) Drafts any necessary decisions pursuant to the Commission's guidance after presentation of options; and (d) Consults with the Office of the General Counsel in identifying the options to be presented to the Commission and in drafting the final decision to be presented to the Commission. | |||
| 10:10:1.0.1.1.1.2.10.9 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.25 Office of the Secretary of the Commission. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 63 FR 15741, Apr. 1, 1998; 69 FR 2233, Jan. 14, 2004] | The Office of the Secretary of the Commission— (a) Provides general management services to support the Commission and to implement Commission decisions; and advises and assists the Commission and staff on the planning, scheduling, and conduct of Commission business including preparation of internal procedures; (b) Prepares the Commission's meeting agenda; (c) Manages the Commission Staff Paper and COMSECY systems; (d) Receives, processes, and controls Commission mail, communications, and correspondence; (e) Maintains the Commission's official records and acts as Freedom of Information administrative coordinator for Commission records; (f) Codifies Commission decisions in memoranda directing staff action and monitors compliance; (g) Receives, processes, and controls motions and pleadings filed with the Commission; issues and serves adjudicatory orders on behalf of the Commission; receives and distributes public comments in rulemaking proceedings; issues proposed and final rules on behalf of the Commission; maintains the official adjudicatory and rulemaking dockets of the Commission; and exercises responsibilities delegated to the Secretary in 10 CFR 2.303 and 2.346; (h) Administers the NRC Historical Program; (i) Integrates office automation initiatives into the Commission's administrative system; (j) Functions as the NRC Federal Advisory Committee Management Officer; and (k) Provides guidance and direction on the use of the NRC seal and flag. | |||
| 10:10:1.0.1.1.1.2.10.10 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.26 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.1.2.10.11 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.27 Office of Congressional Affairs. | NRC | [57 FR 1639, Jan. 15, 1992] | The Office of Congressional Affairs— (a) Advises the Chairman, the Commission, and NRC staff on all NRC relations with Congress and the views of Congress toward NRC policies, plans and activities; (b) Maintains liaison with Congressional committees and members of Congress on matters of interest to NRC; (c) Serves as primary contact point for all NRC communications with Congress; (d) Coordinates NRC internal activities with Congress; (e) Plans, develops, and manages NRC's legislative programs; and (f) Monitors legislative proposals, bills, and hearings. | |||
| 10:10:1.0.1.1.1.2.10.12 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.28 Office of Public Affairs. | NRC | [57 FR 1639, Jan. 15, 1992] | The Office of Public Affairs— (a) Develops policies, programs, and procedures for the Chairman's approval for informing the public of NRC activities; (b) Prepares, clears, and disseminates information to the public and the news media concerning NRC policies, programs, and activities; (c) Keeps NRC management informed on media coverage of activities of interest to the agency; (d) Plans, directs, and coordinates the activities of public information staffs located at Regional Offices; (e) Conducts a cooperative program with schools; and (f) Carries out assigned activities in the area of consumer affairs. | |||
| 10:10:1.0.1.1.1.2.10.13 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.29 Office of International Programs. | NRC | [57 FR 1639, Jan. 15, 1992] | The Office of International Programs— (a) Advises the Chairman, the Commission, and NRC staff on international issues; (b) Recommends policies concerning nuclear exports and imports, international safeguards, international physical security, nonproliferation matters, and international cooperation and assistance in nuclear safety and radiation protection; (c) Plans, develops, and manages international nuclear safety information exchange programs and coordinates international research agreements; (d) Obtains, evaluates, and uses pertinent information from other NRC and U.S. Government offices in processing nuclear export and import license applications; (e) Establishes and maintains working relationships with individual countries and international nuclear organizations, as well as other involved U.S. Government agencies; and (f) Assures that all international activities carried out by the Commission and staff are well coordinated internally and Government-wide and are consistent with NRC and U.S. policies. | |||
| 10:10:1.0.1.1.1.2.11.14 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.31 Office of the Chief Financial Officer. | NRC | [63 FR 15741, Apr. 1, 1998] | The Office of the Chief Financial Officer— (a) Oversees all financial management activities relating to NRC's programs and operations and provides advice to the Chairman on financial management matters; (b) Develops and transmits the NRC's budget estimates to the Office of Management and Budget (OMB) and Congress; (c) Establishes financial management policy including accounting principles and standards for the agency and provides policy guidance to senior managers on the budget and all other financial management activities; (d) Provides an agencywide management control program for financial and program managers that establishes internal control processes and provides for timely corrective actions regarding material weaknesses that are disclosed to comply with the Federal Manager's Financial Integrity Act of 1982; (e) Develops and manages an agencywide planning, budgeting, and performance management process; (f) Develops and maintains an integrated agency accounting and financial management system, including an accounting system, and financial reporting and internal controls; (g) Directs, manages, and provides policy guidance and oversight of agency financial management personnel activities and operations; (h) Prepares and transmits an annual financial management report to the Chairman and the Director, Office of Management and Budget, including an audited financial statement; (i) Monitors the financial execution of NRC's budget in relation to actual expenditures, controls the use of NRC funds to ensure that they are expended in accordance with applicable laws and financial management principles, and prepares and submits to the Chairman timely cost and performance reports; (j) Establishes, maintains, and oversees the implementation of license fee polices and regulations; and (k) Reviews, on a periodic basis, fees and other charges imposed by NRC for services provided and makes recommendations for revising those charges, as appropriate. | |||
| 10:10:1.0.1.1.1.2.12.15 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.32 Office of the Executive Director for Operations. | NRC | [54 FR 53314, Dec. 28, 1989, as amended at 59 FR 63882, Dec. 12, 1994. Redesignated and amended at 63 FR 15741, Apr. 1, 1998; 67 FR 3585, Jan. 25, 2002; 70 FR 69421, Nov. 16, 2005; 73 FR 5711, Jan. 31, 2008; 78 FR 34247, June 7, 2013; 79 FR 75737, Dec. 19, 2014; 80 FR 74978, Dec. 1, 2015; 84 FR 65643, Nov. 29, 2019] | (a) The Executive Director for Operations (EDO) reports for all matters to the Chairman, and is subject to the supervision and direction of the Chairman as provided in Reorganization Plan No. 1 of 1980. (b) The EDO supervises and coordinates policy development and operational activities in the following offices: The Office of Nuclear Reactor Regulation, the Office of Nuclear Material Safety and Safeguards, the Office of Nuclear Regulatory Research, the Office of Nuclear Security and Incident Response, and the NRC Regional Offices; and the following staff offices: The Office of Enforcement, the Office of Administration, the Office of the Chief Information Officer, the Office of Investigations, the Office of Small Business and Civil Rights, the Office of the Chief Human Capital Officer, and other organizational units as shall be assigned by the Commission. The EDO is also responsible for implementing the Commission's policy directives pertaining to these offices. (c) The EDO exercises powers and functions delegated to the EDO under the Reorganization Plan No. 1 of 1980, this chapter, or otherwise by the Commission or Chairman, as appropriate. The EDO has the authority to perform any function that may be performed by an office director reporting to the EDO. | |||
| 10:10:1.0.1.1.1.2.13.16 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.33 Office of Enforcement. | NRC | [70 FR 69422, Nov. 16, 2005] | The Office of Enforcement— (a) Develops policies and programs for enforcement of NRC requirements; (b) Manages major enforcement action; (c) Assesses the effectiveness and uniformity of Regional enforcement actions; and (d) Manages the NRC allegation program. | |||
| 10:10:1.0.1.1.1.2.13.17 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.34 Office of Administration. | NRC | [63 FR 15741, Apr. 1, 1998, as amended at 70 FR 69422, Nov. 16, 2005; 83 FR 30287, June 28, 2018] | The Office of Administration— (a) Develops and implements agencywide contracting policies and procedures; (b) Develops policies and procedures and manages the operation and maintenance of NRC offices, facilities, and equipment; (c) Plans, develops, establishes, and administers policies, standards, and procedures for the overall NRC security program; and (d) Manages the NRC Management Directives Program and provides translation services. | |||
| 10:10:1.0.1.1.1.2.13.18 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.35 Office of the Chief Information Officer. | NRC | [70 FR 69422, Nov. 16, 2005, as amended at 80 FR 74978, Dec. 1, 2015] | The Office of the Chief Information Officer— (a) Plans, directs, and oversees the NRC's information resources, including technology infrastructure and delivery of information management services, to meet the mission and goals of the agency; (b) Provides principal advice to the Chairman to ensure that information technology (IT) is acquired and information resources across the agency are managed in a manner consistent with Federal information resources management (IRM) laws and regulations; (c) Assists senior management in recognizing where information technology can add value while improving NRC operations and service delivery; (d) Directs the implementation of a sound and integrated IT architecture to achieve NRC's strategic and IRM goals; (e) Monitors and evaluates the performance of information technology and information management programs based on applicable performance measures and assesses the adequacy of IRM skills of the agency; (f) Provides guidance and oversight for the selection, control and evaluation of information technology investments; (g) Provides oversight and quality assurance for the design and operation of the Licensing Support Network (LSN) services and for the completeness and integrity of the LSN database, ensures that the LSN meets the requirements of 10 CFR part 2, subpart J, concerning the use of the LSN in the Commission's high-level waste licensing proceedings, and provides technical oversight of DOE in the design, development, and operation of the LSN; and (h) Plans, recommends, and oversees the NRC's Information Technology (IT) Security Program consistent with applicable laws, regulations, management initiatives, and policies; (i) Provides principal advice to the NRC on the infrastructure, as well as the programmatic and administrative aspects of cybersecurity; (j) Establishes NRC-wide cybersecurity guidelines; (k) Guides security process maturity, as well as formulating and overseeing the cybersecurity program budget; and (l) Ensures NRC-wide integration, direction, an… | |||
| 10:10:1.0.1.1.1.2.13.19 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.36 Office of Investigations. | NRC | [54 FR 53315, Dec. 28, 1989] | The Office of Investigations (OI)— (a) Conducts investigations of licensees, applicants, their contractors or vendors, including the investigation of all allegations of wrongdoing by other than NRC employees and contractors; (b) Maintains current awareness of inquiries and inspections by other NRC offices to identify the need for formal investigations; (c) Makes appropriate referrals to the Department of Justice; (d) Maintains liaison with other agencies and organizations to ensure the timely exchange of information of mutual interest; and (e) Issues subpoenas where necessary or appropriate for the conduct of investigations. | |||
| 10:10:1.0.1.1.1.2.13.20 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.37 Office of Small Business and Civil Rights. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 59 FR 63882, Dec. 12, 1994] | The Office of Small Business and Civil Rights— (a) Develops and implements an effective small and disadvantaged business program in accordance with the Small Business Act, as amended, and plans and implements NRC policies and programs relating to equal employment oppportunity and civil rights matters as required by the Equal Employment Opportunity Commission (EEOC) and the Office of Personnel Management (OPM); (b) Ensures that appropriate consideration is given to Labor Surplus Area firms and Women Business Enterprises, and conducts an outreach program aimed at contractors desiring to do business with NRC; (c) Maintains liaison with other Government agencies and trade associations; (d) Coordinates efforts with the Director, Division of Contracts, and Directors of other affected offices; (e) Develops and recommends for approval by the Executive Director for Operations, NRC policy providing for equal employment opportunity in all aspects of Federal personnel practice; (f) Develops, monitors, and evaluates the agency's equal employment opportunity efforts and affirmative action programs to ensure compliance with NRC policy; (g) Serves as the principal contact with local and national public and private organizations to facilitate the NRC equal opportunity program; and (h) Coordinates all efforts pertaining to small and disadvantaged business utilization and equal employment opportunity with Office Directors and Regional Administrators. | |||
| 10:10:1.0.1.1.1.2.13.21 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.38 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.1.2.13.22 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.39 Office of the Chief Human Capital Officer. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 63 FR 15742, Apr. 1, 1998; 78 FR 34247, June 7, 2013] | The Office of the Chief Human Capital Officer— (a) Plans and implements NRC policies, programs, and services to provide for the effective organization, utilization, and development of the agency's human resources; (b) Provides labor relations and personnel policy guidance and supporting services to NRC managers and employees; (c) Provides training, benefits administration, and counseling services for NRC employees; (d) Collects, analyzes, and provides data on the characteristics, allocation, utilization, and retention of NRC's workforce; (e) Provides staffing advice and services to NRC managers and employees; and (f) Provides executive resources management and organizational and managerial development services to the NRC. | |||
| 10:10:1.0.1.1.1.2.13.23 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | §§ 1.40-1.41 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.1.2.14.24 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.42 Office of Nuclear Material Safety and Safeguards. | NRC | [79 FR 75737, Dec. 19, 2014, as amended at 80 FR 74978, Dec. 1, 2015; 83 FR 30287, June 28, 2018; 88 FR 57875, Aug. 24, 2023] | (a) The Office of Nuclear Material Safety and Safeguards (NMSS) is responsible for regulating activities that provide for the safe and secure production of nuclear fuel used in commercial nuclear reactors; the safe storage, transportation, and disposal of low-level and high-level radioactive waste and spent nuclear fuel; the transportation of radioactive materials regulated under the Atomic Energy Act of 1954, as amended (the Act); and all other medical, industrial, academic, and commercial uses of radioactive isotopes. The NMSS ensures safety and security by implementing a regulatory program involving activities including licensing, inspection, assessment of environmental impacts for all nuclear material facilities and activities, assessment of licensee performance, events analysis, enforcement, and identification and resolution of generic issues. The NMSS leads, manages, and facilitates rulemaking activities for new, advanced, and operating power reactors, as well as non-power utilization facilities; nuclear materials, including production of nuclear fuel used in commercial nuclear reactors, as well as storage, transportation, and disposal of high-level radioactive waste and spent nuclear fuel, and the transportation of radioactive materials regulated by the NRC. (b) The Office of Nuclear Material Safety and Safeguards— (1) Develops and implements NRC policy for the regulation of: Uranium recovery, conversion, and enrichment; fuel fabrication and development; transportation of nuclear materials, including certification of transport containers and reactor spent fuel storage; safe management and disposal of spent fuel and low-level and high-level radioactive waste; and medical, industrial, academic, and commercial uses of radioactive isotopes; (2) Has lead responsibility within NRC for domestic and international safeguards policy and regulation for fuel cycle facilities, including material control and accountability; (3) Plans and directs NRC's program of cooperation and liaison with States, local governments… | |||
| 10:10:1.0.1.1.1.2.14.25 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.43 Office of Nuclear Reactor Regulation. | NRC | [70 FR 69422, Nov. 16, 2005, as amended at 72 FR 49470, Aug. 28, 2007; 88 FR 57876, Aug. 24, 2023] | The Office of Nuclear Reactor Regulation— (a) Develops, promulgates and implements regulations and develops and implements policies, programs, and procedures for all aspects of licensing, inspection, and safeguarding of— (1) Manufacturing, production, and utilization facilities, except for those concerning fuel reprocessing plants and isotopic enrichment plants; (2) Receipt, possession, and ownership of source, byproduct, and special nuclear material used or produced at facilities licensed under 10 CFR parts 50, 52, and 54; (3) Operators of such facilities; (4) Emergency preparedness at such facilities; and (5) Contractors and suppliers of such facilities. (b) Identifies and takes action regarding conditions and licensee performance that may adversely affect public health and safety, the environment, or the safeguarding of nuclear reactor facilities; (c) Assesses and recommends or takes action regarding incidents or accidents; (d) Provides special assistance as required in matters involving reactor facilities exempt from licensing; (e) Provides guidance and implementation direction to Regional Offices on reactor licensing, inspection, and safeguards programs assigned to the Region, and appraises Regional program performance in terms of effectiveness and uniformity; and (f) Performs other functions required for implementation of the reactor licensing, inspection, and safeguard programs. | |||
| 10:10:1.0.1.1.1.2.14.26 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.44 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.1.2.14.27 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.45 Office of Nuclear Regulatory Research. | NRC | [52 FR 31602, Aug. 21, 1987, as amended at 63 FR 69544, Dec. 17, 1998] | The Office of Nuclear Regulatory Research— (a) Plans, recommends, and implements programs of nuclear regulatory research, standards development, and resolution of generic safety issues for nuclear power plants and other facilities regulated by the NRC; (b) Coordinates research activities within and outside the agency including appointment of staff to committees and conferences; and (c) Coordinates NRC participation in international standards-related activities and national volunteer standards efforts, including appointment of staff to committees. | |||
| 10:10:1.0.1.1.1.2.14.28 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.46 Office of Nuclear Security and Incident Response. | NRC | [70 FR 69422, Nov. 16, 2005, as amended at 72 FR 28450, May 21, 2007] | The Office of Nuclear Security and Incident Response— (a) Develops overall agency policy and provides management direction for evaluation and assessment of technical issues involving security at nuclear facilities, and is the agency safeguards and security interface with the Department of Homeland Security (DHS), the Department of Energy (DOE), other agencies; and the international activities related to the security of radioactive material and nuclear facilities; (b) Develops, in participation with domestic and international agencies, foreign policy guidance and provides international assistance in nuclear security and safeguards; (c) Develops emergency preparedness policies, regulations, programs, and guidelines for nuclear facilities; (d) Provides technical expertise regarding emergency preparedness issues and interpretations; and (e) Develops and directs the NRC program for response to incidents, and is the agency emergency preparedness and incident response interface with the DHS, the Federal Emergency Management Agency (FEMA) and other Federal agencies. | |||
| 10:10:1.0.1.1.1.2.14.29 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.47 NRC Regional Offices. | NRC | Each Regional Administrator executes established NRC policies and assigned programs relating to inspection, enforcement, licensing, State agreements, State liaison, and emergency response within Regional boundaries set out in § 1.5(b) of this part. | ||||
| 10:10:1.0.1.1.1.3.15.1 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.51 Description and custody of NRC seal. | NRC | (a) Pursuant to section 201(a) of the Energy Reorganization Act of 1974, the Nuclear Regulatory Commission, has adopted an official seal. Its description is as follows: An American bald eagle (similar to that on the Great Seal of the United States of America) of brown and tan with claws and beak of yellow, behind a shield of red, white, and blue, clutching a cluster of thirteen arrows in its left claw and a green olive branch in its right claw, positioned on a field of white, with the words “United States Nuclear Regulatory Commission” in dark blue encircling the eagle. The eagle represents the United States of America and its interests. (b) The Official Seal of the Nuclear Regulatory Commission is illustrated as follows: (c) The Secretary of the Commission is responsible for custody of the impression seals and of replica (plaque) seals. | ||||
| 10:10:1.0.1.1.1.3.15.2 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.53 Use of NRC seal or replicas. | NRC | (a) The use of the seal or replicas is restricted to the following: (1) NRC letterhead stationery; (2) NRC award certificates and medals; (3) Security credentials and employee identification cards; (4) NRC documents, including agreements with States, interagency or governmental agreements, foreign patent applications, certifications, special reports to the President and Congress and, at the discretion of the Secretary of the Commission, such other documents as the Secretary finds appropriate; (5) Plaques—the design of the seal may be incorporated in plaques for display at NRC facilities in locations such as auditoriums, presentation rooms, lobbies, offices of senior officials, on the fronts of buildings, and other places designated by the Secretary; (6) The NRC flag (which incorporates the design of the seal); (7) Official films prepared by or for the NRC, if deemed appropriate by the Director of Governmental and Public Affairs; (8) Official NRC publications that represent an achievement or mission of NRC as a whole, or that are cosponsored by NRC and other Government departments or agencies; and (9) Any other uses as the Secretary of the Commission finds appropriate. (b) Any person who uses the official seal in a manner other than as permitted by this section shall be subject to the provisions of 18 U.S.C. 1017, which provides penalties for the fraudulent or wrongful use of an official seal, and to other provisions of law as applicable. | ||||
| 10:10:1.0.1.1.1.3.15.3 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.55 Establishment of official NRC flag. | NRC | The official flag is based on the design of the NRC seal. It is 50 inches by 66 inches in size with a 38-inch diameter seal incorporated in the center of a dark blue field with a gold fringe. | ||||
| 10:10:1.0.1.1.1.3.15.4 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.57 Use of NRC flag. | NRC | (a) The use of the flag is restricted to the following: (1) On or in front of NRC installations; (2) At NRC ceremonies; (3) At conferences involving official NRC participation (including permanent display in NRC conference rooms); (4) At Governmental or public appearances of NRC executives; (5) In private offices of senior officials; or (6) As the Secretary of the Commission otherwise authorizes. (b) The NRC flag must only be displayed together with the U.S. flag. When they are both displayed on a speaker's platform, the U.S. flag must occupy the position of honor and be placed at the speaker's right as he or she faces the audience, and the NRC flag must be placed at the speaker's left. | ||||
| 10:10:1.0.1.1.1.3.15.5 | 10 | Energy | 1 | PART 1—STATEMENT OF ORGANIZATION AND GENERAL INFORMATION | § 1.59 Report of violations. | NRC | In order to ensure adherence to the authorized uses of the NRC seal and flag as provided in this subpart, a report of each suspected violation of this subpart, or any questionable use of the NRC seal or flag, should be submitted to the Secretary of the Commission. | ||||
| 10:10:1.0.1.1.2.0.19.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1 Scope. | NRC | [56 FR 40684, Aug. 15, 1991, as amended at 72 FR 49470, Aug. 28, 2007] | This part governs the conduct of all proceedings, other than export and import licensing proceedings described in part 110, under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, for— (a) Granting, suspending, revoking, amending, or taking other action with respect to any license, construction permit, or application to transfer a license; (b) Issuing orders and demands for information to persons subject to the Commission's jurisdiction, including licensees and persons not licensed by the Commission; (c) Imposing civil penalties under Section 234 of the Act; (d) Rulemaking under the Act and the Administrative Procedure Act; and (e) Standard design approvals under part 52 of this chapter. | |||
| 10:10:1.0.1.1.2.0.19.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.2 Subparts. | NRC | [69 FR 2233, Jan. 14, 2004] | Each subpart other than subpart C of this part sets forth special rules applicable to the type of proceeding described in the first section of that subpart. Subpart C sets forth general rules applicable to all types of proceedings except rulemaking, and should be read in conjunction with the subpart governing a particular proceeding. Subpart I of this part sets forth special procedures to be followed in proceedings in order to safeguard and prevent disclosure of Restricted Data. | |||
| 10:10:1.0.1.1.2.0.19.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.3 Resolution of conflict. | NRC | [69 FR 2233, Jan. 14, 2004] | (a) In any conflict between a general rule in subpart C of this part and a special rule in another subpart or other part of this chapter applicable to a particular type of proceeding, the special rule governs. (b) Unless otherwise specifically referenced, the procedures in this part do not apply to hearings in 10 CFR parts 4, 9, 10, 11, 12, 13, 15, 16, and subparts H and I of 10 CFR part 110. | |||
| 10:10:1.0.1.1.2.0.19.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.4 Definitions. | NRC | [27 FR 377, Jan. 13, 1962] | As used in this part, ACRS means the Advisory Committee on Reactor Safeguards established by the Act. Act means the Atomic Energy Act of 1954, as amended (68 Stat. 919). Adjudication means the process for the formulation of an order for the final disposition of the whole or any part of any proceeding subject to this part, other than rule making. Administrative Law Judge means an individual appointed by the Commission pursuant to 5 U.S.C. 3105 to conduct proceedings subject to this part. Commission means the Commission of five members or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974 (88 Stat. 1242), or any officer to whom has been delegated authority pursuant to section 161n of the Act. Commission adjudicatory employee means— (1) The Commissioners and members of their personal staffs; (2) The employees of the Office of Commission Appellate Adjudication; (3) The members of the Atomic Safety and Licensing Board Panel and staff assistants to the Panel; (4) A presiding officer appointed under § 2.313, and staff assistants to a presiding officer; (5) Special assistants (as defined in § 2.322); (6) The General Counsel, the Solicitor, the Deputy General Counsel for Legislation, Rulemaking, and Agency Administration, and employees of the Office of the General Counsel under the supervision of the Solicitor; (7) The Secretary and employees of the Office of the Secretary; and (8) Any other Commission officer or employee who is appointed by the Commission, the Secretary, or the General Counsel to participate or advise in the Commission's consideration of an initial or final decision in a proceeding. Any other Commission officer or employee who, as permitted by § 2.348, participates or advises in the Commission's consideration of an initial or final decision in a proceeding must be appointed as a Commission adjudicatory employee under this paragraph and the parties to the proceeding must be given written notice of the appointment. Contested proceedi… | |||
| 10:10:1.0.1.1.2.0.19.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.8 Information collection requirements: OMB approval. | NRC | [61 FR 43408, Aug. 22, 1996] | This part contains no information collection requirements and therefore is not subject to requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). | |||
| 10:10:1.0.1.1.2.1.19.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.100 Scope of subpart. | NRC | [72 FR 49470, Aug. 28, 2007] | This subpart prescribes the procedure for issuance of a license; amendment of a license at the request of the licensee; transfer and renewal of a license; and issuance of a standard design approval under subpart E of part 52 of this chapter. | |||
| 10:10:1.0.1.1.2.1.19.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.101 Filing of application. | NRC | [41 FR 15833, Apr. 15, 1976] | (a)(1) An application for a permit, a license, a license transfer, a license amendment, a license renewal, or a standard design approval, shall be filed with the Director, Office of Nuclear Reactor Regulation, or the Director, Office of Nuclear Material Safety and Safeguards, as prescribed by the applicable provisions of this chapter. A prospective applicant may confer informally with the NRC staff before filing an application. (2) Each application for a license for a facility or for receipt of waste radioactive material from other persons for the purpose of commercial disposal by the waste disposal licensee will be assigned a docket number. However, to allow a determination as to whether an application for a limited work authorization, construction permit, operating license, early site permit, standard design approval, combined license, or manufacturing license for a production or utilization facility is complete and acceptable for docketing, it will be initially treated as a tendered application. A copy of the tendered application will be available for public inspection at the NRC Web site, http://www.nrc.gov, and/or at the NRC PDR. Generally, the determination on acceptability for docketing will be made within a period of 30 days. However, in selected applications, the Commission may decide to determine acceptability based on the technical adequacy of the application as well as its completeness. In these cases, the Commission, under § 2.104(a), will direct that the notice of hearing be issued as soon as practicable after the application has been tendered, and the determination of acceptability will be made generally within a period of 60 days. For docketing and other requirements for applications under part 61 of this chapter, see paragraph (f) of this section. (3) If the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, determines that a tendered application for a construction permit or operating license for a production or utili… | |||
| 10:10:1.0.1.1.2.1.19.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.102 Administrative review of application. | NRC | [27 FR 377, Jan. 13, 1962, as amended at 36 FR 13270, July 17, 1971; 37 FR 15130, July 28, 1972; 47 FR 9986, Mar. 9, 1982; 69 FR 2235, Jan. 14, 2004; 70 FR 61887, Oct. 27, 2005; 72 FR 49472, Aug. 28, 2007; 72 FR 57439, Oct. 9, 2007; 73 FR 5715, Jan. 31, 2008; 84 FR 65643, Nov. 29, 2019; 88 FR 57876, Aug. 24, 2023] | (a) During review of an application by the NRC staff, an applicant may be required to supply additional information. The staff may request any one party to the proceeding to confer with the NRC staff informally. In the case of docketed application for a limited work authorization, construction permit, operating license, early site permit, standard design approval, combined license, or manufacturing license under this chapter, the NRC staff shall establish a schedule for its review of the application, specifying the key intermediate steps from the time of docketing until the completion of its review. (b) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will refer the docketed application to the ACRS as required by law and in such additional cases as the Director or the Commission may determine to be appropriate. The ACRS will render to the Commission one or more reports as required by law or as requested by the Commission. (c) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will make each report of the ACRS a part of the record of the docketed application, and transmit copies to the appropriate State and local officials. | |||
| 10:10:1.0.1.1.2.1.19.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.103 Action on applications for byproduct, source, special nuclear material, facility and operator licenses. | NRC | [28 FR 10152, Sept. 17, 1963, as amended at 47 FR 57478, Dec. 27, 1982; 66 FR 55787, Nov. 2, 2001; 69 FR 2235, Jan. 14, 2004; 73 FR 5715, Jan. 31, 2008; 77 FR 46589, Aug. 3, 2012; 79 FR 75739, Dec. 19, 2014; 84 FR 65643, Nov. 29, 2019; 88 FR 57876, Aug. 24, 2023] | (a) If the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, finds that an application for a byproduct, source, special nuclear material, facility, or operator license complies with the requirements of the Act, the Energy Reorganization Act, and this chapter, the Director will issue a license. If the license is for a facility, or for receipt of waste radioactive material from other persons for the purpose of commercial disposal by the waste disposal licensee, or for a construction authorization for a HLW repository at a geologic repository operations area under parts 60 or 63 of this chapter, or if it is to receive and possess high-level radioactive waste at a geologic repository operations area under parts 60 or 63 of this chapter, the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will inform the State, Tribal and local officials specified in § 2.104(c) of the issuance of the license. For notice of issuance requirements for licenses issued under part 61 of this chapter, see § 2.106(d). (b) If the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, finds that an application does not comply with the requirements of the Act and this chapter the Director may issue a notice of proposed denial or a notice of denial of the application and inform the applicant in writing of: (1) The nature of any deficiencies or the reason for the proposed denial or the denial, and (2) The right of the applicant to demand a hearing within twenty (20) days from the date of the notice or such longer period as may be specified in the notice. | |||
| 10:10:1.0.1.1.2.1.19.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.104 Notice of hearing. | NRC | [72 FR 49472, Aug. 28, 2007, as amended at 72 FR 57439, Oct. 9, 2007] | (a) In the case of an application on which a hearing is required by the Act or this chapter, or in which the Commission finds that a hearing is required in the public interest, the Secretary will issue a notice of hearing to be published in the Federal Register. The notice must be published at least 15 days, and in the case of an application concerning a limited work authorization, construction permit, early site permit, or combined license for a facility of the type described in §§ 50.21(b) or 50.22 of this chapter or a testing facility, at least 30 days, before the date set for hearing in the notice. 1 In addition, in the case of an application for a limited work authorization, construction permit, early site permit, or combined license for a facility of the type described in § 50.22 of this chapter, or a testing facility, the notice must be issued as soon as practicable after the NRC has docketed the application. If the Commission decides, under § 2.101(a)(2), to determine the acceptability of the application based on its technical adequacy as well as completeness, the notice must be issued as soon as practicable after the application has been tendered. 1 If the notice of hearing concerning an application for a limited work authorization, construction permit, early site permit, or combined license for a facility of the type described in §§ 50.21(b) or 50.22 of this chapter or a testing facility does not specify the time and place of initial hearing, a subsequent notice will be published in the Federal Register which will provide at least 30 days notice of the time and place of that hearing. After this notice is given, the presiding officer may reschedule the commencement of the initial hearing for a later date or reconvene a recessed hearing without again providing at least 30 days notice. (b) The notice of hearing must state: (1) The nature of the hearing; (2) The authority under which the hearing is to be held; (3) The matters of fact and law to be considered; (4) The date by which requests … | |||
| 10:10:1.0.1.1.2.1.19.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.105 Notice of proposed action. | NRC | [27 FR 377, Jan. 13, 1962] | (a) If a hearing is not required by the Act or this chapter, and if the Commission has not found that a hearing is in the public interest, it will, before acting thereon, publish in the Federal Register, as applicable, or on the NRC's Web site, http://www.nrc.gov, or both, at the Commission's discretion, either a notice of intended operation under § 52.103(a) of this chapter and a proposed finding that inspections, tests, analyses, and acceptance criteria for a combined license under subpart C of part 52 have been or will be met, or a notice of proposed action with respect to an application for: (1) A license for a facility; (2) A license for receipt of waste radioactive material from other persons for the purpose of commercial disposal by the waste disposal licensee. All licenses issued under part 61 of this chapter shall be so noticed; (3) An amendment of a license specified in paragraph (a) (1) or (2) of this section and which involves a significant hazards consideration; (4) An amendment to an operating license, combined license, or manufacturing license for a facility licensed under §§ 50.21(b) or 50.22 of this chapter, or for a testing facility, as follows: (i) If the Commission determines under § 50.58 of this chapter that the amendment involves no significant hazards consideration, though it will provide notice of opportunity for a hearing pursuant to this section, it may make the amendment immediately effective and grant a hearing thereafter; or (ii) If the Commission determines under §§ 50.58 and 50.91 of this chapter that an emergency situation exists or that exigent circumstances exist and that the amendment involves no significant hazards consideration, it will provide notice of opportunity for a hearing pursuant to § 2.106 (if a hearing is requested, it will be held after issuance of the amendment); (5) A license to receive and possess high-level radioactive waste at a geologic repository operations area pursuant to parts 60 or 63 of this chapter, or an amendment thereto, when the license… | |||
| 10:10:1.0.1.1.2.1.19.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.106 Notice of issuance. | NRC | [37 FR 15131, July 28, 1972, as amended at 38 FR 9586, Apr. 18, 1973; 46 FR 13978, Feb. 25, 1981; 47 FR 57478, Dec. 27, 1982; 66 FR 55787, Nov. 2, 2001; 69 FR 2235, Jan. 14, 2004; 72 FR 49473, Aug. 28, 2007; 73 FR 5716, Jan. 31, 2008; 77 FR 46590, Aug. 3, 2012; 84 FR 65643, Nov. 29, 2019] | (a) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will inform the State and local officials specified in § 2.104(c) and publish a document in the Federal Register announcing the issuance of: (1) A license or an amendment of a license for which a notice of proposed action has been previously published; (2) An amendment of a license for a facility of the type described in § 50.21(b) or § 50.22 of this chapter, or a testing facility, whether or not a notice of proposed action has been previously published; and (3) The finding under § 52.103(g) of this chapter. (b) The notice of issuance will set forth: (1) In the case of a license or amendment: (i) The nature of the license or amendment; (ii) The manner in which copies of the safety analysis, if any, may be obtained and examined; and (iii) A finding that the application for the license or amendment complies with the requirements of the Act and this chapter. (2) In the case of a finding under § 52.103(g) of this chapter: (i) The manner in which copies of the safety analysis, if any, may be obtained and examined; and (ii) A finding that the prescribed inspections, tests, and analyses have been performed, the prescribed acceptance criteria have been met, and that the license complies with the requirements of the Act and this chapter. (c) The Director of Nuclear Material Safety and Safeguards will also cause to be published in the Federal Register notice of, and will inform the State, local, and Tribal officials specified in § 2.104(c) of any action with respect to an application for construction authorization for a high-level radioactive waste repository at a geologic repository operations area, a license to receive and possess high-level radioactive waste at a geologic repository operations area pursuant to parts 60 or 63 of this chapter, or an amendment to such license for which a notice of proposed action has been previously published. (d) The Office of Nuclear Mate… | |||
| 10:10:1.0.1.1.2.1.19.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.107 Withdrawal of application. | NRC | [27 FR 377, Jan. 13, 1962, as amended at 28 FR 10152, Sept. 17, 1963; 69 FR 2236, Jan. 14, 2004; 73 FR 5716, Jan. 31, 2008; 77 FR 46590, Aug. 3, 2012; 84 FR 65643, Nov. 29, 2019] | (a) The Commission may permit an applicant to withdraw an application prior to the issuance of a notice of hearing on such terms and conditions as it may prescribe, or may, on receiving a request for withdrawal of an application, deny the application or dismiss it with prejudice. If the application is withdrawn prior to issuance of a notice of hearing, the Commission shall dismiss the proceeding. Withdrawal of an application after the issuance of a notice of hearing shall be on such terms as the presiding officer may prescribe. (b) The withdrawal of an application does not authorize the removal of any document from the files of the Commission. (c) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will cause to be published in the Federal Register a notice of the withdrawal of an application if notice of receipt of the application has been previously published. | |||
| 10:10:1.0.1.1.2.1.19.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.108 Denial of application for failure to supply information. | NRC | [77 FR 46590, Aug. 3, 2012, as amended at 84 FR 65643, Nov. 29, 2019] | (a) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, may deny an application if an applicant fails to respond to a request for additional information within thirty (30) days from the date of the request, or within such other time as may be specified. (b) The Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, will cause to be published in the Federal Register a notice of denial when notice of receipt of the application has previously been published, but notice of hearing has not yet been published. The notice of denial will provide that, within thirty (30) days after the date of publication in the Federal Register. (1) The applicant may demand a hearing, and (2) Any person whose interest may be affected by the proceeding may file a petition for leave to intervene. (c) When both a notice of receipt of the application and a notice of hearing have been published, the presiding officer, upon a motion made by the staff under § 2.323, will rule whether an application should be denied by the Director, Office of Nuclear Reactor Regulation, or Director, Office of Nuclear Material Safety and Safeguards, as appropriate, under paragraph (a) of this section. | |||
| 10:10:1.0.1.1.2.1.19.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.109 Effect of timely renewal application. | NRC | [72 FR 49473, Aug. 28, 2007, as amended at 85 FR 70437, Nov. 5, 2020; 89 FR 106250, Dec. 30, 2024] | (a) Except for the renewal of licenses identified in paragraphs (b) through (f) of this section, if at least 30 days before the expiration of an existing license authorizing any activity of a continuing nature, the licensee files an application for a renewal or for a new license for the activity so authorized, the existing license will not be deemed to have expired until the application has been finally determined. (b) If the licensee of a nuclear power plant licensed under 10 CFR 50.21(b) or 50.22 files a sufficient application for renewal of either an operating license or a combined license at least 5 years before the expiration of the existing license, the existing license will not be deemed to have expired until the application has been finally determined. (c) If the holder of an early site permit licensed under subpart A of part 52 of this chapter files a sufficient application for renewal under § 52.29 of this chapter at least 12 months before the expiration of the existing early site permit, the existing permit will not be deemed to have expired until the application has been finally determined. (d) If the licensee of a manufacturing license under subpart F of part 52 of this chapter files a sufficient application for renewal under § 52.177 of this chapter at least 12 months before the expiration of the existing license, the existing license will not be deemed to have expired until the application has been finally determined. (e) If the licensee of an Independent Spent Fuel Storage Installation (ISFSI) licensed under subpart C of part 72 of this chapter files a sufficient application for renewal under § 72.42 of this chapter at least 2 years before the expiration of the existing license, the existing license will not be deemed to have expired until the application has been finally determined. (f) If the licensee of a non-power production or utilization facility licensed under 10 CFR 50.22, or a testing facility, files a sufficient application for renewal at least 2 years before the expiration of the e… | |||
| 10:10:1.0.1.1.2.1.19.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.110 Filing and administrative action on submittals for standard design approval or early review of site suitability issues. | NRC | [72 FR 49474, Aug. 28, 2007; 73 FR 5716, Jan. 31, 2008; 84 FR 65643, Nov. 29, 2019] | (a)(1) A submittal for a standard design approval under subpart E of part 52 of this chapter shall be subject to §§ 2.101(a) and 2.390 to the same extent as if it were an application for a permit or license. (2) Except as specifically provided otherwise by the provisions of appendix Q to parts 50 of this chapter, a submittal for early review of site suitability issues under appendix Q to parts 50 of this chapter shall be subject to §§ 2.101(a)(2) through (4) to the same extent as if it were an application for a permit or license. (b) Upon initiation of review by the NRC staff of a submittal for an early review of site suitability issues under Appendix Q of part 50 of this chapter, or for a standard design approval under subpart E of part 52 of this chapter, the Director, Office of Nuclear Reactor Regulation, shall publish in the Federal Register a notice of receipt of the submittal, inviting comments from interested persons within 60 days of publication or other time as may be specified, for consideration by the NRC staff and ACRS in their review. (c)(1) Upon completion of review by the NRC staff and the ACRS of a submittal for a standard design approval, the Director, Office of Nuclear Reactor Regulation, shall publish in the Federal Register a determination as to whether or not the design is acceptable, subject to terms and conditions as may be appropriate, and shall make available at the NRC Web site, http://www.nrc.gov, a report that analyzes the design. (2) Upon completion of review by the NRC staff and, if appropriate by the ACRS, of a submittal for early review of site suitability issues, the NRC staff shall prepare a staff site report which shall identify the location of the site, state the site suitability issues reviewed, explain the nature and scope of the review, state the conclusions of the staff regarding the issues reviewed and state the reasons for those conclusions. Upon issuance of an NRC staff site report, the NRC staff shall publish a notice of the availability of the report in the … | |||
| 10:10:1.0.1.1.2.1.19.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.111 Prohibition of sex discrimination. | NRC | [72 FR 49474, Aug. 28, 2007] | No person shall on the grounds of sex be excluded from participation in, be denied a license, standard design approval, or petition for rulemaking (including a design certification), be denied the benefits of, or be subjected to discrimination under any program or activity carried on or receiving Federal assistance under the Act or the Energy Reorganization Act of 1974. | |||
| 10:10:1.0.1.1.2.2.20.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.200 Scope of subpart. | NRC | [36 FR 16896, Aug. 26, 1971, as amended at 42 FR 28893, June 6, 1977; 48 FR 44172, Sept. 28, 1983; 62 FR 6668, Feb. 12, 1997] | (a) This subpart prescribes the procedures in cases initiated by the staff, or upon a request by any person, to impose requirements by order, or to modify, suspend, or revoke a license, or to take other action as may be proper, against any person subject to the jurisdiction of the Commission. However, with regard to the holder of a part 76 certificate of compliance or compliance plan, except for civil penalty procedures in this subpart, the applicable procedures are set forth in § 76.70 of this chapter. (b) This subpart also prescribes the procedures in cases initiated by the staff to impose civil penalties pursuant to section 234 of the Act and section 206 of the Energy Reorganization Act of 1974. | |||
| 10:10:1.0.1.1.2.2.20.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.201 Notice of violation. | NRC | [56 FR 40684, Aug. 15, 1991, as amended at 61 FR 43408, Aug. 22, 1996] | (a) In response to an alleged violation of any provision of the Act or this chapter or the conditions of a license or an order issued by the Commission, the Commission may serve on the licensee or other person subject to the jurisdiction of the Commission a written notice of violation; a separate notice may be omitted if an order pursuant to § 2.202 or demand for information pursuant to § 2.204 is issued that otherwise identifies the apparent violation. The notice of violation will concisely state the alleged violation and may require that the licensee or other person submit, within 20 days of the date of the notice or other specified time, a written explanation or statement in reply if the Commission believes that the licensee has not already addressed all the issues contained in the notice of violation, including: (1) Corrective steps which have been taken by the licensee or other person and the results achieved; (2) Corrective steps which will be taken; and (3) The date when full compliance will be achieved. (b) The notice may require the licensee or other person subject to the jurisdiction of the Commission to admit or deny the violation and to state the reasons for the violation, if admitted. It may provide that, if an adequate reply is not received within the time specified in the notice, the Commission may issue an order or a demand for information as to why the license should not be modified, suspended or revoked or why such other action as may be proper should not be taken. | |||
| 10:10:1.0.1.1.2.2.20.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.202 Orders. | NRC | [56 FR 40684, Aug. 15, 1991, as amended at 57 FR 20198, May 12, 1992; 72 FR 49474, Aug. 28, 2007; 80 FR 63419, Oct. 20, 2015; 85 FR 70438, Nov. 5, 2020] | (a) The Commission may institute a proceeding to modify, suspend, or revoke a license or to take such other action as may be proper by serving on the licensee or other person subject to the jurisdiction of the Commission an order that will: (1) Allege the violations with which the licensee or other person subject to the Commission's jurisdiction is charged, or the potentially hazardous conditions or other facts deemed to be sufficient ground for the proposed action, and specify the action proposed; (2) Provide that the licensee or other person must file a written answer to the order under oath or affirmation within twenty (20) days of its date, or such other time as may be specified in the order; (3)(i) Inform the licensee or any other person to whom the order was issued of their right, within twenty (20) days of the date of the order, or within such other time as may be specified in the order, to demand a hearing on all or part of the order, except in a case where the licensee or other person to whom the order was issued has consented in writing to the order; (3)(ii) State that a request for a hearing by any other person who may be adversely affected by the order must be made within twenty (20) days of the date of the order, or within such other time as may be specified in the order, and must meet the requirements of § 2.309; (4) Specify the issues for hearing; and (5) State the effective date of the order; if the Commission finds that the public health, safety, or interest so requires or that the violation or conduct causing the violation is willful, the order may provide, for stated reasons, that the proposed action be immediately effective pending further order. (b) A licensee or other person to whom the Commission has issued an order under this section must respond to the order by filing a written answer under oath or affirmation. The answer shall specifically admit or deny each allegation or charge made in the order, and shall set forth the matters of fact and law on which the licensee or other perso… | |||
| 10:10:1.0.1.1.2.2.20.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.203 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.2.20.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.204 Demand for information. | NRC | [56 FR 40685, Aug. 15, 1991] | (a) The Commission may issue to a licensee or other person subject to the jurisdiction of the Commission a demand for information for the purpose of determining whether an order under § 2.202 should be issued, or whether other action should be taken, which demand will: (1) Allege the violations with which the licensee or other person is charged, or the potentially hazardous conditions or other facts deemed to be sufficient ground for issuing the demand; and (2) Provide that the licensee must, or the other person may, file a written answer to the demand for information under oath or affirmation within twenty (20) days of its date, or such other time as may be specified in the demand for information. (b) A licensee to whom the Commission has issued a demand for information under this section must respond to the demand by filing a written answer under oath or affirmation; any other person to whom the Commission has issued a demand for information may, in its discretion, respond to the demand by filing a written answer under oath or affirmation. The licensee's answer shall specifically admit or deny each allegation or charge made in the demand for information, and shall set forth the matters of fact and law on which the licensee relies. A person other than a licensee may answer as described above, or by setting forth its reasons why the demand should not have been issued and, if the requested information is not provided, the reasons why it is not provided. (c) Upon review of the answer filed pursuant to paragraph (a)(2) of this section, or if no answer is filed, the Commission may institute a proceeding pursuant to 10 CFR 2.202 to take such action as may be proper. (d) An answer may consent to the entry of an order pursuant to § 2.202 in substantially the form proposed in the demand for information. Such consent shall constitute a waiver as provided in § 2.202(d). | |||
| 10:10:1.0.1.1.2.2.20.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.205 Civil penalties. | NRC | [36 FR 16896, Aug. 26, 1971, as amended at 52 FR 31608, Aug. 21, 1987; 54 FR 53315, Dec. 28, 1989; 61 FR 53555, Oct. 11, 1996; 62 FR 6668, Feb. 12, 1997; 63 FR 31850, June 10, 1998; 65 FR 59272, Oct. 4, 2000; 69 FR 62394, Oct. 26, 2004; 73 FR 54673, Sept. 23, 2008; 81 FR 43021, July 1, 2016; 82 FR 8135, Jan. 24, 2017; 83 FR 1517, Jan. 12, 2018; 84 FR 2435, Feb. 7, 2019; 85 FR 2283, Jan. 15, 2020; 85 FR 9661, Feb. 20, 2020; 86 FR 3747, Jan. 15, 2021; 87 FR 2312, Jan. 14, 2022; 88 FR 2190, Jan. 13, 2023; 89 FR 2114, Jan. 12, 2024; 89 FR 51809, June 20, 2024; 90 FR 3614, Jan. 15, 2025] | (a) Before instituting any proceeding to impose a civil penalty under section 234 of the Act, the Executive Director for Operations or the Executive Director's designee, as appropriate, shall serve a written notice of violation upon the person charged. This notice may be included in a notice issued pursuant to § 2.201 or § 76.70(d) of this chapter. The notice of violation shall specify the date or dates, facts, and the nature of the alleged act or omission with which the person is charged, and shall identify specifically the particular provision or provisions of the law, rule, regulation, license, permit, part 76 certificate of compliance or compliance plan, or cease and desist order involved in the alleged violation and must state the amount of each proposed penalty. The notice of violation shall also advise the person charged that the civil penalty may be paid in the amount specified therein, or the proposed imposition of the civil penalty may be protested in its entirety or in part, by a written answer, either denying the violation or showing extenuating circumstances. The notice of violation shall advise the person charged that upon failure to pay a civil penalty subsequently determined by the Commission, if any, unless compromised, remitted, or mitigated, be collected by civil action, pursuant to Section 234c of the Act. (b) Within twenty (20) days of the date of a notice of violation or other time specified in the notice, the person charged may either pay the penalty in the amount proposed or answer the notice of violation. The answer to the notice of violation shall state any facts, explanations, and arguments, denying the charges of violation, or demonstrating any extenuating circumstances, error in the notice of violation, or other reason why the penalty should not be imposed and may request remission or mitigation of the penalty. (c) If the person charged with violation fails to answer within the time specified in paragraph (b) of this section, an order may be issued imposing the civil penalty in the … | |||
| 10:10:1.0.1.1.2.2.20.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.206 Requests for action under this subpart. | NRC | [39 FR 12353, Apr. 5, 1974, as amended at 42 FR 36240, July 14, 1977; 45 FR 73466, Nov. 5, 1980; 52 FR 31608, Aug. 21, 1987; 53 FR 43419, Oct. 27, 1988; 64 FR 48948, Sept. 9, 1999; 68 FR 58799, Oct. 10, 2003; 69 FR 2236, Jan. 14, 2004; 69 FR 41749, July 12, 2004; 74 FR 62679, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015; 88 FR 57876, Aug. 24, 2023] | (a) Any person may file a request to institute a proceeding pursuant to § 2.202 to modify, suspend, or revoke a license, or for any other action as may be proper. Requests must be addressed to the Executive Director for Operations and must be filed either by hand delivery to the NRC's Offices at 11555 Rockville Pike, Rockville, Maryland; by mail or telegram addressed to the Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; or by electronic submissions, for example, via facsimile, Electronic Information Exchange, e-mail, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The request must specify the action requested and set forth the facts that constitute the basis for the request. The Executive Director for Operations will refer the request to the Director of the NRC office with responsibility for the subject matter of the request for appropriate action in accordance with paragraph (b) of this section. (b) Within a reasonable time after a request pursuant to paragraph (a) of this section has been received, the Director of the NRC office with responsibility for the subject matter of the request shall either institute the requested proceeding in accordance with this subpart or shall advise the person who made the request in writing that no proceeding will be instituted in whole or in part, with respect to the request, and the reasons for the decision. (c)(1) Director's decisions under this section will be filed with the Office of the Secretary. Within twenty-five (25) days after the date of the Director's deci… | |||
| 10:10:1.0.1.1.2.3.20.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.300 Scope of subpart C. | NRC | The provisions of this subpart apply to all adjudications conducted under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, and 10 CFR Part 2, unless specifically stated otherwise in this subpart. | ||||
| 10:10:1.0.1.1.2.3.20.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.301 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.3.20.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.302 Filing of documents. | NRC | [72 FR 49149, Aug. 28, 2007, as amended at 89 FR 67832, Aug. 22, 2024] | (a) Documents filed in Commission adjudicatory proceedings subject to this part shall be electronically transmitted through the E-Filing system, unless the Commission or presiding officer grants an exemption permitting an alternative filing method or unless the filing falls within the scope of paragraph (h)(1) or (2) of this section. (b) Upon an order from the Commission or presiding officer permitting alternative filing methods, or as otherwise set forth in Guidance for Electronic Submissions to the NRC, documents may be filed by: (1) First-class mail: Office of the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff; (2) Courier, express mail, and expedited delivery services: Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike, Rockville, MD 20852, Attention: Rulemakings and Adjudications Staff; or (3) Email: Hearing.Docket@nrc.gov. (c) All documents offered for filing must be accompanied by a certificate of service stating the names and addresses of the persons served as well as the manner and date of service. (d) Filing is considered complete: (1) By electronic transmission when the filer performs the last act that it must perform to transmit a document, in its entirety, electronically; (2) By first-class mail as of the time of deposit in the mail; (3) By courier, express mail, or expedited delivery service upon depositing the document with the provider of the service; or (4) If a filing must be submitted by two or more methods, such as a filing that must be transmitted electronically as well as physically delivered or mailed on portable storage media as described in paragraph (g)(2) of this section, the filing is complete when all methods of filing have been completed. (e) For filings by electronic transmission, the filer must make a good faith effort to successfully transmit the entire filing. Notwithstanding paragraph (d) of this section, a filing will not be considered complete if the filer k… | |||
| 10:10:1.0.1.1.2.3.20.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.303 Docket. | NRC | The Secretary shall maintain a docket for each proceeding conducted under this part, commencing with either the initial notice of hearing, notice of proposed action, order, request for hearing or petition for leave to intervene, as appropriate. The Secretary shall maintain all files and records of proceedings, including transcripts and video recordings of testimony, exhibits, and all papers, correspondence, decisions and orders filed or issued. All documents, records, and exhibits filed in any proceeding must be filed with the Secretary as described in §§ 2.302 and 2.304. | ||||
| 10:10:1.0.1.1.2.3.20.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.304 Formal requirements for documents; signatures; acceptance for filing. | NRC | [72 FR 49150, Aug. 28, 2007, as amended at 89 FR 67833, Aug. 22, 2024] | (a) Docket numbers and titles. Each document filed in an adjudication to which a docket number has been assigned must contain a caption setting forth the docket number and the title of the proceeding and a description of the document (e.g., motion to quash subpoena). (b) Paper documents. In addition to the requirements in this part, paper documents must be stapled or bound on the left side; typewritten, printed, or otherwise reproduced in permanent form on good unglazed paper of standard letterhead size; signed in ink by the participant, its authorized representative, or an attorney having authority with respect to it; and filed with an original and two conforming copies. (c) Format. Each page in a document must begin not less than one inch from the top, with side and bottom margins of not less than one inch. Text must be double-spaced, except that quotations may be single-spaced and indented. The requirements of this paragraph do not apply to original documents, or admissible copies, offered as exhibits, or to specifically prepared exhibits. (d) Signatures. The original of each document must be signed by the participant or its authorized representative, or by an attorney having authority with respect to it. The document must state the capacity of the person signing; his or her address, phone number, and e-mail address; and the date of signature. The signature of a person signing a pleading or other similar document submitted by a participant is a representation that the document has been subscribed in the capacity specified with full authority, that he or she has read it and knows the contents, that to the best of his or her knowledge, information, and belief the statements made in it are true, and that it is not interposed for delay. The signature of a person signing an affidavit or similar document, which should be submitted in accord with the form outlined in 28 U.S.C. 1746, is a representation that, under penalty of perjury, the document is true and correct to the best of that individual's knowled… | |||
| 10:10:1.0.1.1.2.3.20.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.305 Service of documents, methods, proof. | NRC | [72 FR 49150, Aug. 28, 2007, as amended at 77 FR 46590, Aug. 3, 2012; 81 FR 86909, Dec. 2, 2016; 85 FR 65661, Oct. 16, 2020; 89 FR 67833, Aug. 22, 2024] | (a) Service of documents by the Commission. Except for subpoenas, the Commission shall serve all orders, decisions, notices, and other documents to all participants, by the same delivery method those participants use to file and accept service. (b) Who may be served. Any document required to be served upon a participant shall be served upon that person or upon the representative designated by the participant or by law to receive service of documents. When a participant has appeared by attorney, service shall be made upon the attorney of record. (c) Method of service accompanying a filing. Service must be made electronically to the E-Filing system. In accordance with § 2.302(g)(2) or (3) or upon an order from the Commission or presiding officer permitting alternative filing methods under § 2.302(g)(4), service may be made by personal delivery, courier, expedited delivery service, or by first-class, express, certified or registered mail. As to each participant that cannot serve electronically, the Commission or presiding officer shall require service by the most expeditious means permitted under this paragraph that are available to the participant, unless the Commission or presiding officer finds that this requirement would impose undue burden or expense on the participant. (1) Unless otherwise provided in this section, a participant will serve documents on the other participants by the same method by which those participants filed. (2) A participant granted an exemption under § 2.302(h)(1) will serve the presiding officer and the participants in the proceeding that filed electronically by email or by physically delivering or mailing portable storage media containing the electronic document. (3) A participant granted an exemption under § 2.302(h)(2) will serve the presiding officer and the other participants in the proceeding by physically delivering or mailing a paper copy. (4) Each document served (as may be required by law, rule, or order of the presiding officer) upon a participant to the proceeding… | |||
| 10:10:1.0.1.1.2.3.20.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.306 Computation of time. | NRC | [72 FR 49151, Aug. 28, 2007, as amended at 89 FR 67834, Aug. 22, 2024] | (a) In computing any period of time, the day of the act, event, or default after which the designated period of time begins to run is not included. The last day of the period so computed is included unless it is a Saturday or Sunday, a Federal legal holiday at the place where the action or event is to occur, or a day upon which, because of an emergency closure of the Federal government in Washington, DC, NRC Headquarters does not open for business, in which event the period runs until the end of the next day that is not a Saturday, Sunday, Federal legal holiday, or emergency closure. (b) Whenever a participant has the right or is required to do some act within a prescribed period after the service of a notice or other document upon him or her, no additional time is added to the prescribed period except in the following circumstances: (1) If a notice or document is served upon a participant, by first-class mail only, three (3) calendar days will be added to the prescribed period for all the participants in the proceeding. (2) If a notice or document is served upon a participant, by express mail or other expedited service only, two (2) calendar days will be added to the prescribed period for all the participants in the proceeding. (3) If a document is to be served by multiple service methods, such as partially electronic and entirely on portable storage media, the additional number of days is computed according to the service method used to deliver the entire document, excluding courtesy copies, to all of the other participants in the proceeding. The presiding officer may determine the calculation of additional days when a participant is not entitled to receive an entire filing served by multiple methods. (4) In mixed service proceedings when all participants are not using the same filing and service method, the number of days for service will be determined by the presiding officer based on considerations of fairness and efficiency. (c) To be considered timely, a document must be served: (1) By 5 p.m. Easter… | |||
| 10:10:1.0.1.1.2.3.20.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.307 Extension and reduction of time limits; delegated authority to order use of procedures for access by potential parties to certain sensitive unclassified information. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 73 FR 10980, Feb. 29, 2008] | (a) Except as otherwise provided by law, the time fixed or the period of time prescribed for an act that is required or allowed to be done at or within a specified time, may be extended or shortened either by the Commission or the presiding officer for good cause, or by stipulation approved by the Commission or the presiding officer. (b) If this part does not prescribe a time limit for an action to be taken in the proceeding, the Commission or the presiding officer may set a time limit for the action. (c) In circumstances where, in order to meet Commission requirements for intervention, potential parties may deem it necessary to obtain access to safeguards information (as defined in § 73.2 of this chapter) or to sensitive unclassified non-safeguards information, the Secretary is delegated authority to issue orders establishing procedures and timelines for submitting and resolving requests for this information. | |||
| 10:10:1.0.1.1.2.3.20.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.308 Treatment of requests for hearing or petitions for leave to intervene by the Secretary. | NRC | Upon receipt of a request for hearing or a petition to intervene, the Secretary will forward the request or petition and/or proffered contentions and any answers and replies either to the Commission for a ruling on the request/petition and/or proffered contentions or to the Chief Administrative Judge of the Atomic Safety and Licensing Board Panel for the designation of a presiding officer under § 2.313(a) to rule on the matter. | ||||
| 10:10:1.0.1.1.2.3.20.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.309 Hearing requests, petitions to intervene, requirements for standing, and contentions. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49474, Aug. 28, 2007; 73 FR 44620, July 31, 2008; 77 FR 46591, Aug. 3, 2012] | (a) General requirements. Any person whose interest may be affected by a proceeding and who desires to participate as a party must file a written request for hearing and a specification of the contentions which the person seeks to have litigated in the hearing. In a proceeding under 10 CFR 52.103, the Commission, acting as the presiding officer, will grant the request if it determines that the requestor has standing under the provisions of paragraph (d) of this section and has proposed at least one admissible contention that meets the requirements of paragraph (f) of this section. For all other proceedings, except as provided in paragraph (e) of this section, the Commission, presiding officer, or the Atomic Safety and Licensing Board designated to rule on the request for hearing and/or petition for leave to intervene, will grant the request/petition if it determines that the requestor/petitioner has standing under the provisions of paragraph (d) of this section and has proposed at least one admissible contention that meets the requirements of paragraph (f) of this section. In ruling on the request for hearing/petition to intervene submitted by petitioners seeking to intervene in the proceeding on the HLW repository, the Commission, the presiding officer, or the Atomic Safety and Licensing Board shall also consider any failure of the petitioner to participate as a potential party in the pre-license application phase under subpart J of this part in addition to the factors in paragraph (d) of this section. If a request for hearing or petition to intervene is filed in response to any notice of hearing or opportunity for hearing, the applicant/licensee shall be deemed to be a party. (b) Timing. Unless specified elsewhere in this chapter or otherwise provided by the Commission, the request or petition and the list of contentions must be filed as follows: (1) In proceedings for the direct or indirect transfer of control of an NRC license when the transfer requires prior approval of the NRC under the Commission's r… | |||
| 10:10:1.0.1.1.2.3.20.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.310 Selection of hearing procedures. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49475, Aug. 28, 2007] | Upon a determination that a request for hearing/petition to intervene should be granted and a hearing held, the Commission, the presiding officer, or the Atomic Safety and Licensing Board designated to rule on the request/petition will determine and identify the specific hearing procedures to be used for the proceeding as follows— (a) Except as determined through the application of paragraphs (b) through (h) of this section, proceedings for the grant, renewal, licensee-initiated amendment, or termination of licenses or permits subject to parts 30, 32 through 36, 39, 40, 50, 52, 54, 55, 61, 70 and 72 of this chapter may be conducted under the procedures of subpart L of this part. (b) Proceedings on enforcement matters must be conducted under the procedures of subpart G of this part, unless all parties agree and jointly request that the proceedings be conducted under the procedures of subpart L or subpart N of this part, as appropriate. (c) Proceedings on the licensing of the construction and operation of a uranium enrichment facility must be conducted under the procedures of subpart G of this part. (d) In proceedings for the grant, renewal, licensee-initiated amendment, or termination of licenses or permits for nuclear power reactors, where the presiding officer by order finds that resolution of the contention or contested matter necessitates resolution of issues of material fact relating to the occurrence of a past activity, where the credibility of an eyewitness may reasonably be expected to be at issue, and/or issues of motive or intent of the party or eyewitness material to the resolution of the contested matter, the hearing for resolution of that contention or contested matter will be conducted under subpart G of this part. (e) Proceedings on applications for a license or license amendment to expand the spent nuclear fuel storage capacity at the site of a civilian nuclear power plant must be conducted under the procedures of subpart L of this part, unless a party requests that the proceeding be conducted… | |||
| 10:10:1.0.1.1.2.3.20.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.311 Interlocutory review of rulings on requests for hearings/petitions to intervene, selection of hearing procedures, and requests by potential parties for access to sensitive unclassified non-safeguards information and safeguards information. | NRC | [73 FR 12631, Mar. 10, 2008, as amended at 77 FR 46592, Aug. 3, 2012; 78 FR 34247, June 7, 2013] | (a) An order of the presiding officer, or if a presiding officer has not been designated, of the Chief Administrative Judge, or if he or she is unavailable, of another administrative judge, or of an administrative law judge with jurisdiction under § 2.318(a), may be appealed to the Commission with respect to: (1) A request for hearing; (2) A petition to intervene; or (3) A request for access to sensitive unclassified non-safeguards information (SUNSI), including, but not limited to, proprietary, confidential commercial, and security-related information, and Safeguards Information (SGI). An appeal to the Commission may also be taken from an order of an officer designated to rule on information access issues. (b) These appeals must be made as specified by the provisions of this section, within 25 days after the service of the order. The appeal must be initiated by the filing of a notice of appeal and accompanying supporting brief. Any party who opposes the appeal may file a brief in opposition to the appeal within 25 days after service of the appeal. The supporting brief and any answer must conform to the requirements of § 2.341(c)(3). No other appeals from rulings on requests for hearing are allowed. (c) An order denying a petition to intervene, and/or request for hearing, or a request for access to the information described in paragraph (a) of this section, is appealable by the requestor/petitioner on the question as to whether the request and/or petition should have been granted. (d) An order granting a petition to intervene, and/or request for hearing, or granting a request for access to the information described in paragraph (a) of this section, is appealable by a party other than the requestor/petitioner on the question as to: (1) Whether the request for hearing or petition to intervene should have been wholly denied; or (2) Whether the request for access to the information described in paragraph (a)(3) of this section should have been denied in whole or in part. However, such a question with respect … | |||
| 10:10:1.0.1.1.2.3.20.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.312 Notice of hearing. | NRC | (a) In a proceeding in which the terms of a notice of hearing are not otherwise prescribed by this part, the order or notice of hearing will state: (1) The nature of the hearing and its time and place, or a statement that the time and place will be fixed by subsequent order; (2) The legal authority and jurisdiction under which the hearing is to be held; (3) The matters of fact and law asserted or to be considered; and (4) A statement describing the specific hearing procedures or subpart that will be used for the hearing. (b) The time and place of hearing will be fixed with due regard for the convenience of the parties or their representatives, the nature of the proceeding and the public interest. | ||||
| 10:10:1.0.1.1.2.3.20.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.313 Designation of presiding officer, disqualification, unavailability, and substitution. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 85 FR 70438, Nov. 5, 2020; 88 FR 57876, Aug. 24, 2023] | (a) Designation of presiding officer. The Commission may provide in the notice of hearing that one or more members of the Commission, an administrative law judge, an administrative judge, an Atomic Safety and Licensing Board, or a named officer who has been delegated final authority in the matter, shall be the presiding officer. The Commission alone shall designate the presiding officer in a hearing conducted under subpart O. If the Commission does not designate the presiding officer for a hearing under subparts G, J, K, L, M, or N of this part, then the Chief Administrative Judge shall issue an order designating: (1) An Atomic Safety and Licensing Board appointed under Section 191 of the Atomic Energy Act of 1954, as amended, or an administrative law judge appointed by the Commission pursuant to 5 U.S.C. 3105, for a hearing conducted under subparts G, J, K, L, or N of this part; or (2) An Atomic Safety and Licensing Board, an administrative law judge, or an administrative judge for a hearing conducted under subpart M of this part. (b) Disqualification. (1) If a designated presiding officer or a designated member of an Atomic Safety and Licensing Board believes that they are disqualified to preside or to participate as a board member in the hearing, they shall withdraw by notice on the record and shall notify the Commission or the Chief Administrative Judge, as appropriate, of the withdrawal. (2) If a party believes that a presiding officer or a designated member of an Atomic Safety and Licensing Board should be disqualified, the party may move that the presiding officer or the Licensing Board member disqualify themselves. The motion must be supported by affidavits setting forth the alleged grounds for disqualification. If the presiding officer does not grant the motion or the Licensing Board member does not disqualify themselves, the motion must be referred to the Commission. The Commission will determine the sufficiency of the grounds alleged. (c) Unavailability. If a presiding officer or a designate… | |||
| 10:10:1.0.1.1.2.3.20.15 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.314 Appearance and practice before the Commission in adjudicatory proceedings. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46592, Aug. 3, 2012] | (a) Standards of practice. In the exercise of their functions under this subpart, the Commission, the Atomic Safety and Licensing Boards, Administrative Law Judges, and Administrative Judges function in a quasi-judicial capacity. Accordingly, parties and their representatives in proceedings subject to this subpart are expected to conduct themselves with honor, dignity, and decorum as they should before a court of law. (b) Representation. A person may appear in an adjudication on his or her own behalf or by an attorney-at-law. A partnership, corporation, or unincorporated association may be represented by a duly authorized member or officer, or by an attorney-at-law. A party may be represented by an attorney-at-law if the attorney is in good standing and has been admitted to practice before any Court of the United States, the District of Columbia, or the highest court of any State, territory, or possession of the United States. Any person appearing in a representative capacity shall file with the Commission a written notice of appearance. The notice must state his or her name, address, telephone number, and facsimile number and email address, if any; the name and address of the person or entity on whose behalf he or she appears; and, in the case of an attorney-at-law, the basis of his or her eligibility as a representative or, in the case of another representative, the basis of his or her authority to act on behalf of the party. (c) Reprimand, censure or suspension from the proceeding. (1) A presiding officer, or the Commission may, if necessary for the orderly conduct of a proceeding, reprimand, censure or suspend from participation in the particular proceeding pending before it any party or representative of a party who refuses to comply with its directions, or who is disorderly, disruptive, or engages in contemptuous conduct. (2) A reprimand, censure, or a suspension that is ordered to run for one day or less must state the grounds for the action in the record of the proceeding, and must advise the per… | |||
| 10:10:1.0.1.1.2.3.20.16 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.315 Participation by a person not a party. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46592, Aug. 3, 2012] | (a) A person who is not a party (including persons who are affiliated with or represented by a party) may, in the discretion of the presiding officer, be permitted to make a limited appearance by making an oral or written statement of his or her position on the issues at any session of the hearing or any prehearing conference within the limits and on the conditions fixed by the presiding officer. However, that person may not otherwise participate in the proceeding. Such statements of position shall not be considered evidence in the proceeding. (b) The Secretary will give notice of a hearing to any person who requests it before the issuance of the notice of hearing, and will furnish a copy of the notice of hearing to any person who requests it thereafter. If a communication bears more than one signature, the Commission will give the notice to the person first signing unless the communication clearly indicates otherwise. (c) The presiding officer will afford an interested State, local governmental body (county, municipality or other subdivision), and Federally-recognized Indian Tribe that has not been admitted as a party under § 2.309, a reasonable opportunity to participate in a hearing. The participation of any State, local governmental body, or Federally-recognized Indian Tribe shall be limited to unresolved issues and contentions, and issues and contentions that are raised after the State, local governmental body, or Federally-recognized Indian Tribe becomes a participant. Each State, local governmental body, and Federally-recognized Indian Tribe shall, in its request to participate in a hearing, designate a single representative for the hearing. The representative shall be permitted to introduce evidence, interrogate witnesses where cross examination by the parties is permitted, advise the Commission without requiring the representative to take a position with respect to the issue, file proposed findings in those proceedings where findings are permitted, and petition for review by the Commission under § 2.34… | |||
| 10:10:1.0.1.1.2.3.20.17 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.316 Consolidation of parties. | NRC | [88 FR 57876, Aug. 24, 2023] | On motion or on its own initiative, the Commission or the presiding officer may order any parties in a proceeding who have substantially the same interest that may be affected by the proceeding and who raise substantially the same questions, to consolidate their presentation of evidence, cross-examination, briefs, proposed findings of fact, and conclusions of law and argument. However, it may not order any consolidation that would prejudice the rights of any party. A consolidation under this section may be for all purposes of the proceeding, all of the issues of the proceeding, or with respect to any one or more issues thereof. | |||
| 10:10:1.0.1.1.2.3.20.18 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.317 Separate hearings; consolidation of proceedings. | NRC | (a) Separate hearings. On motion by the parties or upon request of the presiding officer for good cause shown, or on its own initiative, the Commission may establish separate hearings in a proceeding if it is found that the action will be conducive to the proper dispatch of its business and to the ends of justice and will be conducted in accordance with the other provisions of this subpart. (b) Consolidation of proceedings. On motion and for good cause shown or on its own initiative, the Commission or the presiding officers of each affected proceeding may consolidate for hearing or for other purposes two or more proceedings, or may hold joint hearings with interested States and/or other Federal agencies on matters of concurrent jurisdiction, if it is found that the action will be conducive to the proper dispatch of its business and to the ends of justice and will be conducted in accordance with the other provisions of this subpart. | ||||
| 10:10:1.0.1.1.2.3.20.19 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.318 Commencement and termination of jurisdiction of presiding officer. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 73 FR 5716, Jan. 31, 2008; 77 FR 46592, Aug. 3, 2012; 84 FR 65643, Nov. 29, 2019] | (a) Unless the Commission orders otherwise, the jurisdiction of the presiding officer designated to conduct a hearing over the proceeding, including motions and procedural matters, commences when the proceeding commences. If a presiding officer has not been designated, the Chief Administrative Judge has jurisdiction or, if he or she is unavailable, another administrative judge or administrative law judge has jurisdiction. A proceeding commences when a notice of hearing or a notice of proposed action under § 2.105 is issued. When a notice of hearing provides that the presiding officer is to be an administrative judge or an administrative law judge, the Chief Administrative Judge will designate by order the administrative judge or administrative law judge, as appropriate, who is to preside. The presiding officer's jurisdiction in each proceeding terminates when the period within which the Commission may direct that the record be certified to it for final decision expires, when the Commission renders a final decision, or when the presiding officer withdraws from the case upon considering himself or herself disqualified, whichever is earliest. (b) The Director, Office of Nuclear Reactor Regulation, or the Director, Office of Nuclear Material Safety and Safeguards, as appropriate, may issue an order and take any otherwise proper administrative action with respect to a licensee who is a party to a pending proceeding. Any order related to the subject matter of the pending proceeding may be modified by the presiding officer as appropriate for the purpose of the proceeding. | |||
| 10:10:1.0.1.1.2.3.20.20 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.319 Power of the presiding officer. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46592, Aug. 3, 2012] | A presiding officer has the duty to conduct a fair and impartial hearing according to law, to take appropriate action to control the prehearing and hearing process, to avoid delay and to maintain order. The presiding officer has all the powers necessary to those ends, including the powers to: (a) Administer oaths and affirmations; (b) Issue subpoenas authorized by law, including subpoenas requested by a participant for the attendance and testimony of witnesses or the production of evidence upon the requestor's showing of general relevance and reasonable scope of the evidence sought; (c) Consolidate parties and proceedings in accordance with §§ 2.316 and 2.317 and/or direct that common interests be represented by a single spokesperson; (d) Rule on offers of proof and receive evidence. In proceedings under this part, strict rules of evidence do not apply to written submissions. However, the presiding officer may, on motion or on the presiding officer's own initiative, strike any portion of a written presentation or a response to a written question that is irrelevant, immaterial, unreliable, duplicative or cumulative. (e) Restrict irrelevant, immaterial, unreliable, duplicative or cumulative evidence and/or arguments; (f) Order depositions to be taken as appropriate; (g) Regulate the course of the hearing and the conduct of participants; (h) Dispose of procedural requests or similar matters; (i) Examine witnesses; (j) Hold conferences before or during the hearing for settlement, simplification of contentions, or any other proper purpose; (k) Set reasonable schedules for the conduct of the proceeding and take actions reasonably calculated to maintain overall schedules; (l) Refer rulings to the Commission under § 2.323(f)(1), or certify questions to the Commission for its determination, either in the presiding officer's discretion, or on petition of a party under § 2.323(f)(2), or on direction of the Commission. (m) Reopen a proceeding for the receipt of further evidence at any time before the initial dec… | |||
| 10:10:1.0.1.1.2.3.20.21 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.320 Default. | NRC | If a party fails to file an answer or pleading within the time prescribed in this part or as specified in the notice of hearing or pleading, to appear at a hearing or prehearing conference, to comply with any prehearing order entered by the presiding officer, or to comply with any discovery order entered by the presiding officer, the Commission or the presiding officer may make any orders in regard to the failure that are just, including, among others, the following: (a) Without further notice, find the facts as to the matters regarding which the order was made in accordance with the claim of the party obtaining the order, and enter the order as appropriate; or (b) Proceed without further notice to take proof on the issues specified. | ||||
| 10:10:1.0.1.1.2.3.20.22 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.321 Atomic Safety and Licensing Boards. | NRC | (a) The Commission or the Chief Administrative Judge may establish one or more Atomic Safety and Licensing Boards, each comprised of three members, one of whom will be qualified in the conduct of administrative proceedings and two of whom have such technical or other qualifications as the Commission or the Chief Administrative Judge determines to be appropriate to the issues to be decided. The members of an Atomic Safety and Licensing Board shall be designated from the Atomic Safety and Licensing Board Panel established by the Commission. In proceedings for granting, suspending, revoking, or amending licenses or authorizations as the Commission may designate, the Atomic Safety and Licensing Board shall perform the adjudicatory functions that the Commission determines are appropriate. (b) The Commission or the Chief Administrative Judge may designate an alternate qualified in the conduct of administrative proceedings, or an alternate having technical or other qualifications, or both, for an Atomic Safety and Licensing Board established under paragraph (a) of this section. If a member of a board becomes unavailable, the Commission or the Chief Administrative Judge may constitute the alternate qualified in the conduct of administrative proceedings, or the alternate having technical or other qualifications, as appropriate, as a member of the board by notifying the alternate who will, as of the date of the notification, serve as a member of the board. If an alternate is unavailable or no alternates have been designated, and a member of a board becomes unavailable, the Commission or Chief Administrative Judge may appoint a member of the Atomic Safety and Licensing Board Panel who is qualified in the conduct of administrative proceedings or a member having technical or other qualifications, as appropriate, as a member of the Atomic Safety and Licensing Board by notifying the appointee who will, as of the date of the notification, serve as a member of the board. (c) An Atomic Safety and Licensing Board has the duties a… | ||||
| 10:10:1.0.1.1.2.3.20.23 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.322 Special assistants to the presiding officer. | NRC | (a) In consultation with the Chief Administrative Judge, the presiding officer may, at his or her discretion, appoint personnel from the Atomic Safety and Licensing Board Panel established by the Commission to assist the presiding officer in taking evidence and preparing a suitable record for review. The appointment may occur at any appropriate time during the proceeding but must, at the time of the appointment, be subject to the notice and disqualification provisions as described in § 2.313. The special assistants may function as: (1) Technical interrogators in their individual fields of expertise. The interrogators shall study the written testimony and sit with the presiding officer to hear the presentation and, where permitted in the proceeding, the cross-examination by the parties of all witnesses on the issues of the interrogators' expertise. The interrogators shall take a leading role in examining the witnesses to ensure that the record is as complete as possible; (2) Upon consent of all the parties, special masters to hear evidentiary presentations by the parties on specific technical matters, and, upon completion of the presentation of evidence, to prepare a report that would become part of the record. Special masters may rule on evidentiary issues brought before them, in accordance with § 2.333. Appeals from special masters' rulings may be taken to the presiding officer in accordance with procedures established in the presiding officer's order appointing the special master. Special masters' reports are advisory only; the presiding officer retains final authority with respect to the issues heard by the special master; (3) Alternate Atomic Safety and Licensing Board members to sit with the presiding officer, to participate in the evidentiary sessions on the issue for which the alternate members were designated by examining witnesses, and to advise the presiding officer of their conclusions through an on-the-record report. This report is advisory only; the presiding officer retains final authority on the… | ||||
| 10:10:1.0.1.1.2.3.20.24 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.323 Motions. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46593, Aug. 3, 2012; 85 FR 70438, Nov. 5, 2020] | (a) Scope and general requirements —(1) Applicability to § 2.309(c). Section 2.309 motions for new or amended contentions filed after the deadline in § 2.309(b) are not subject to the requirements of this section. For the purposes of this section the term “all motions” includes any motion except § 2.309 motions for new or amended contentions filed after the deadline. (2) Presentation and disposition. All motions must be addressed to the Commission or other designated presiding officer. All motions, other than motions for summary disposition, must be made no later than ten (10) days after the occurrence or circumstance from which the motion arises. All written motions must be filed with the Secretary and served on all parties to the proceeding. (b) Form and content. Unless made orally on-the-record during a hearing, or the presiding officer directs otherwise, or under the provisions of subpart N of this part, a motion must be in writing, state with particularity the grounds and the relief sought, be accompanied by any affidavits or other evidence relied on, and, as appropriate, a proposed form of order. A motion must be rejected if it does not include a certification by the attorney or representative of the moving party that the movant has made a sincere effort to contact other parties in the proceeding and resolve the issue(s) raised in the motion, and that the movant's efforts to resolve the issue(s) have been unsuccessful. (c) Answers to motions. For all written motions, other than motions for summary disposition, within ten (10) days after service of the motion, or other period as determined by the Secretary, the Assistant Secretary, or the presiding officer, a party may file an answer in support of or in opposition to the motion, accompanied by affidavits or other evidence. The moving party has no right to reply, except as permitted by the Secretary, the Assistant Secretary, or the presiding officer. Permission may be granted only in compelling circumstances, such as where the moving party demon… | |||
| 10:10:1.0.1.1.2.3.20.25 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.324 Order of procedure. | NRC | The presiding officer or the Commission will designate the order of procedure at a hearing. The proponent of an order will ordinarily open and close. | ||||
| 10:10:1.0.1.1.2.3.20.26 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.325 Burden of proof. | NRC | Unless the presiding officer otherwise orders, the applicant or the proponent of an order has the burden of proof. | ||||
| 10:10:1.0.1.1.2.3.20.27 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.326 Motions to reopen. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46593, Aug. 3, 2012] | (a) A motion to reopen a closed record to consider additional evidence will not be granted unless the following criteria are satisfied: (1) The motion must be timely. However, an exceptionally grave issue may be considered in the discretion of the presiding officer even if untimely presented; (2) The motion must address a significant safety or environmental issue; and (3) The motion must demonstrate that a materially different result would be or would have been likely had the newly proffered evidence been considered initially. (b) The motion must be accompanied by affidavits that set forth the factual and/or technical bases for the movant's claim that the criteria of paragraph (a) of this section have been satisfied. Affidavits must be given by competent individuals with knowledge of the facts alleged, or by experts in the disciplines appropriate to the issues raised. Evidence contained in affidavits must meet the admissibility standards of this subpart. Each of the criteria must be separately addressed, with a specific explanation of why it has been met. When multiple allegations are involved, the movant must identify with particularity each issue it seeks to litigate and specify the factual and/or technical bases which it believes support the claim that this issue meets the criteria in paragraph (a) of this section. (c) A motion predicated in whole or in part on the allegations of a confidential informant must identify to the presiding officer the source of the allegations and must request the issuance of an appropriate protective order. (d) A motion to reopen that relates to a contention not previously in controversy among the parties must also satisfy the § 2.309(c) requirements for new or amended contentions filed after the deadline in § 2.309(b). | |||
| 10:10:1.0.1.1.2.3.20.28 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.327 Official recording; transcript. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 81 FR 47006, July 20, 2016] | (a) Recording hearings. A hearing will be recorded stenographically or by other means under the supervision of the presiding officer. If the hearing is recorded on videotape or some other video medium, before an official transcript is prepared under paragraph (b) of this section, that video recording will be considered to constitute the record of events at the hearing. (b) Official transcript. For each hearing, a transcript will be prepared from the recording made in accordance with paragraph (a) of this section that will be the sole official transcript of the hearing. The transcript will be prepared by an official reporter who may be designated by the Commission or may be a regular employee of the Commission. Except as limited by section 181 of the Act or order of the Commission, the transcript will be available for inspection in the agency's public records system. (c) Availability of copies. Copies of transcripts prepared in accordance with paragraph (b) of this section are available to the parties and to the public from the official reporter on payment of the charges fixed therefor. If a hearing is recorded on videotape or other video medium, copies of the recording of each daily session of the hearing may be made available to the parties and to the public from the presiding officer upon payment of a charge specified by the Chief Administrative Judge. (d) Transcript corrections. Corrections ordered or approved by the presiding officer must be included in the record through the issuance of an order by the presiding officer or the Secretary, as appropriate under the regulations in this part. The order shall reflect the corrections to the transcript through the use of a table, the issuance of a corrected or new transcript, or some other method selected by the presiding officer that will ensure a clear and concise description of the corrections. | |||
| 10:10:1.0.1.1.2.3.20.29 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.328 Hearings to be public. | NRC | Except as may be requested under section 181 of the Act, all hearings will be public unless otherwise ordered by the Commission. | ||||
| 10:10:1.0.1.1.2.3.20.30 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.329 Prehearing conference. | NRC | (a) Necessity for prehearing conference; timing. The Commission or the presiding officer may, and in the case of a proceeding on an application for a construction permit or an operating license for a facility of a type described in §§ 50.21(b) or 50.22 of this chapter or a testing facility, shall direct the parties or their counsel to appear at a specified time and place for a conference or conferences before trial. A prehearing conference in a proceeding involving a construction permit or operating license for a facility of a type described in §§ 50.21(b) or 50.22 of this chapter must be held within sixty (60) days after discovery has been completed or any other time specified by the Commission or the presiding officer. (b) Objectives. The following subjects may be discussed, as directed by the Commission or the presiding officer, at the prehearing conference: (1) Expediting the disposition of the proceeding; (2) Establishing early and continuing control so that the proceeding will not be protracted because of lack of management; (3) Discouraging wasteful prehearing activities; (4) Improving the quality of the hearing through more thorough preparation, and; (5) Facilitating the settlement of the proceeding or any portions of it. (c) Other matters for consideration. As appropriate for the particular proceeding, a prehearing conference may be held to consider such matters as: (1) Simplification, clarification, and specification of the issues; (2) The necessity or desirability of amending the pleadings; (3) Obtaining stipulations and admissions of fact and the contents and authenticity of documents to avoid unnecessary proof, and advance rulings from the presiding officer on the admissibility of evidence; (4) The appropriateness and timing of summary disposition motions under subparts G and L of this part, including appropriate limitations on the page length of motions and responses thereto; (5) The control and scheduling of discovery, including orders affecting disclosures and discovery under the… | ||||
| 10:10:1.0.1.1.2.3.20.31 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.330 Stipulations. | NRC | Apart from any stipulations made during or as a result of a prehearing conference, the parties may stipulate in writing at any stage of the proceeding or orally during the hearing, any relevant fact or the contents or authenticity of any document. These stipulations may be received in evidence. The parties may also stipulate as to the procedure to be followed in the proceeding. These stipulations may, on motion of all parties, be recognized by the presiding officer to govern the conduct of the proceeding. | ||||
| 10:10:1.0.1.1.2.3.20.32 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.331 Oral argument before the presiding officer. | NRC | When, in the opinion of the presiding officer, time permits and the nature of the proceeding and the public interest warrant, the presiding officer may allow, and fix a time for, the presentation of oral argument. The presiding officer will impose appropriate limits of time on the argument. The transcript of the argument is part of the record. | ||||
| 10:10:1.0.1.1.2.3.20.33 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.332 General case scheduling and management. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 70 FR 20461, Apr. 20, 2005] | (a) Scheduling order. The presiding officer shall, as soon as practicable after consulting with the parties by a scheduling conference, telephone, mail, or other suitable means, enter a scheduling order that establishes limits for the time to file motions, conclude discovery, commence the oral phase of the hearing (if applicable), and take other actions in the proceeding. The scheduling order may also include: (1) Modifications of the times for disclosures under §§ 2.336 and 2.704 and of the extent of discovery to be permitted; (2) The date or dates for prehearing conferences; and (3) Any other matters appropriate in the circumstances of the proceeding. (b) Model milestones. In developing the scheduling order under paragraph (a) of this section, the presiding officer shall utilize the applicable model milestones in Appendix B to this part as a starting point. The presiding officer shall make appropriate modifications based upon all relevant information, including but not limited to, the number of contentions admitted, the complexity of the issues presented, relevant considerations which a party may bring to the attention of the presiding officer, the NRC staff's schedule for completion of its safety and environmental evaluations (paragraph (e) of this section), and the NRC's interest in providing a fair and expeditious resolution of the issues sought to be adjudicated by the parties in the proceeding. (c) Objectives of scheduling order. The scheduling order must have as its objectives proper case management purposes such as: (1) Expediting the disposition of the proceeding; (2) Establishing early and continuing control so that the proceeding will not be protracted because of lack of management; (3) Discouraging wasteful prehearing activities; (4) Improving the quality of the hearing through more thorough preparation; and (5) Facilitating the settlement of the proceeding or any portions thereof, including the use of Alternative Dispute Resolution, when and if the presiding officer, upon consultatio… | |||
| 10:10:1.0.1.1.2.3.20.34 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.333 Authority of the presiding officer to regulate procedure in a hearing. | NRC | To prevent unnecessary delays or an unnecessarily large record, the presiding officer: (a) May limit the number of witnesses whose testimony may be cumulative; (b) May strike argumentative, repetitious, cumulative, unreliable, immaterial, or irrelevant evidence; (c) Shall require each party or participant who requests permission to conduct cross-examination to file a cross-examination plan for each witness or panel of witnesses the party or participant proposes to cross-examine; (d) Must ensure that each party or participant permitted to conduct cross-examination conducts its cross-examination in conformance with the party's or participant's cross-examination plan filed with the presiding officer; (e) May take necessary and proper measures to prevent argumentative, repetitious, or cumulative cross-examination; and (f) May impose such time limitations on arguments as the presiding officer determines appropriate, having regard for the volume of the evidence and the importance and complexity of the issues involved. | ||||
| 10:10:1.0.1.1.2.3.20.35 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.334 Implementing hearing schedule for proceeding. | NRC | [70 FR 20461, Apr. 20, 2005] | (a) Unless the Commission directs otherwise in a particular proceeding, the presiding officer assigned to the proceeding shall, based on information and projections provided by the parties and the NRC staff, take appropriate action to maintain the hearing schedule established by the presiding officer in accordance with 10 CFR 2.332(a) of this part for the completion of the evidentiary record and, as appropriate, the issuance of its initial decision. (b) Modification of hearing schedule. A hearing schedule may not be modified except upon a finding of good cause by the presiding officer or the Commission. In making such a good cause determination, the presiding officer or the Commission should take into account the following factors, among other things: (1) Whether the requesting party has exercised due diligence to adhere to the schedule; (2) Whether the requested change is the result of unavoidable circumstances; and (3) Whether the other parties have agreed to the change and the overall effect of the change on the schedule of the case. (c) The presiding officer shall provide written notification to the Commission any time during the course of the proceeding when it appears that there will be a delay of more than forty-five (45) days in meeting any of the dates for major activities in the hearing schedule established by the presiding officer under 10 CFR 2.332(a), or that the completion of the record or the issuance of the initial decision will be delayed more than sixty (60) days beyond the time specified in the hearing schedule established under 10 CFR 2.332(a). The notification must include an explanation of the reasons for the projected delay and a description of the actions, if any, that the presiding officer or the Board proposes to take to avoid or mitigate the delay. | |||
| 10:10:1.0.1.1.2.3.20.36 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.335 Consideration of Commission rules and regulations in adjudicatory proceedings. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 77 FR 46593, Aug. 3, 2012] | (a) Except as provided in paragraphs (b), (c), and (d) of this section, no rule or regulation of the Commission, or any provision thereof, concerning the licensing of production and utilization facilities, source material, special nuclear material, or byproduct material, is subject to attack by way of discovery, proof, argument, or other means in any adjudicatory proceeding subject to this part. (b) A participant to an adjudicatory proceeding subject to this part may petition that the application of a specified Commission rule or regulation or any provision thereof, of the type described in paragraph (a) of this section, be waived or an exception be made for the particular proceeding. The sole ground for petition of waiver or exception is that special circumstances with respect to the subject matter of the particular proceeding are such that the application of the rule or regulation (or a provision of it) would not serve the purposes for which the rule or regulation was adopted. The petition must be accompanied by an affidavit that identifies the specific aspect or aspects of the subject matter of the proceeding as to which the application of the rule or regulation (or provision of it) would not serve the purposes for which the rule or regulation was adopted. The affidavit must state with particularity the special circumstances alleged to justify the waiver or exception requested. Any other participant may file a response by counter-affidavit or otherwise. (c) If, on the basis of the petition, affidavit, and any response permitted under paragraph (b) of this section, the presiding officer determines that the petitioning participant has not made a prima facie showing that the application of the specific Commission rule or regulation (or provision thereof) to a particular aspect or aspects of the subject matter of the proceeding would not serve the purposes for which the rule or regulation was adopted and that application of the rule or regulation should be waived or an exception granted, no evidence may be rec… | |||
| 10:10:1.0.1.1.2.3.20.37 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.336 General discovery. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 73 FR 63567, Oct. 24, 2008, 77 FR 46593, Aug. 3, 2012] | (a) Except for proceedings conducted under subparts G and J of this part or as otherwise ordered by the Commission, the presiding officer or the Atomic Safety and Licensing Board assigned to the proceeding, all parties, other than the NRC staff, to any proceeding subject to this part shall, within thirty (30) days of the issuance of the order granting a request for hearing or petition to intervene and without further order or request from any party, disclose and provide: (1) The name and, if known, the address and telephone number of any person, including any expert, upon whose opinion the party bases its claims and contentions and may rely upon as a witness, and a copy of the analysis or other authority upon which that person bases his or her opinion; (2)(i) A copy, or a description by category and location, of all documents and data compilations in the possession, custody, or control of the party that are relevant to the contentions, provided that if only a description is provided of a document or data compilation, a party shall have the right to request copies of that document and/or data compilation, and (ii) A copy (for which there is no claim of privilege or protected status), or a description by category and location, of all tangible things (e.g., books, publications and treatises) in the possession, custody or control of the party that are relevant to the contention. (iii) When any document, data compilation, or other tangible thing that must be disclosed is publicly available from another source, such as at the NRC Web site, http://www.nrc.gov, and/or the NRC Public Document Room, a sufficient disclosure would be the location, the title and a page reference to the relevant document, data compilation, or tangible thing. (3) A list of documents otherwise required to be disclosed for which a claim of privilege or protected status is being made, together with sufficient information for assessing the claim of privilege or protected status of the documents. (b) Except for proceedings conducted under su… | |||
| 10:10:1.0.1.1.2.3.20.38 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.337 Evidence at a hearing. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 73 FR 5716, Jan. 31, 2008; 77 FR 46594, Aug. 3, 2012; 84 FR 65643, Nov. 29, 2019; 85 FR 70438, Nov. 5, 2020; 88 FR 57876, Aug. 24, 2023; 89 FR 67834, Aug. 22, 2024] | (a) Admissibility. Only relevant, material, and reliable evidence which is not unduly repetitious will be admitted. Immaterial or irrelevant parts of an admissible document will be segregated and excluded so far as is practicable. (b) Objections. An objection to evidence must briefly state the grounds of objection. The transcript must include the objection, the grounds, and the ruling. Exception to an adverse ruling is preserved without notation on-the-record. (c) Offer of proof. An offer of proof, made in connection with an objection to a ruling of the presiding officer excluding or rejecting proffered oral testimony, must consist of a statement of the substance of the proffered evidence. If the excluded evidence is in written form, a copy must be marked for identification. Rejected exhibits, adequately marked for identification, must be retained in the record. (d) Exhibits. Exhibits must be marked in accordance with any instructions provided by the presiding officer. Exhibits must be filed through the agency's E-Filing system, unless the presiding officer grants an exemption permitting an alternative filing method under § 2.302(h)(1) or (2) or unless the filing falls within the scope of § 2.302(g)(2) or (3) as not being subject to electronic transmission. When an exhibit is not filed through the E-Filing system, a duplicate is admissible to the same extent as the original unless a genuine question is raised about the original's authenticity or the circumstances make it unfair to admit the duplicate. Information that a party references through hyperlinks in an exhibit must be submitted by that party, in its entirety, either as part of the exhibit or as a separate exhibit, for that information to be included in the evidentiary record. (e) Official record. An official record of a government agency or entry in an official record may be evidenced by an official publication or by a copy attested by the officer having legal custody of the record and accompanied by a certificate of their custody. (f) Of… | |||
| 10:10:1.0.1.1.2.3.20.39 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.338 Settlement of issues; alternative dispute resolution. | NRC | The fair and reasonable settlement and resolution of issues proposed for litigation in proceedings subject to this part is encouraged. Parties are encouraged to employ various methods of alternate dispute resolution to address the issues without the need for litigation in proceedings subject to this part. (a) Availability. The parties shall have the opportunity to submit a proposed settlement of some or all issues to the Commission or presiding officer, as appropriate, or submit a request for alternative dispute resolution under paragraph (b) of this section. (b) Settlement judge; alternative dispute resolution. (1) The presiding officer, upon joint motion of the parties, may request the Chief Administrative Judge to appoint a Settlement Judge to conduct settlement negotiations or remit the proceeding to alternative dispute resolution as the Commission may provide or to which the parties may agree. The order appointing the Settlement Judge may confine the scope of settlement negotiations to specified issues. The order must direct the Settlement Judge to report to the Chief Administrative Judge at specified time periods. (2) If a Settlement Judge is appointed, the Settlement Judge shall: (i) Convene and preside over conferences and settlement negotiations between the parties and assess the practicalities of a potential settlement; (ii) Report to the Chief Administrative Judge describing the status of the settlement negotiations and recommending the termination or continuation of the settlement negotiations; and (iii) Not discuss the merits of the case with the Chief Administrative Judge or any other person, or appear as a witness in the case. (3) Settlement negotiations conducted by the Settlement Judge terminate upon the order of the Chief Administrative Judge issued after consultation with the Settlement Judge. (4) No decision concerning the appointment of a Settlement Judge or the termination of the settlement negotiation is subject to review by, appeal to, or rehearing by the presiding officer or t… | ||||
| 10:10:1.0.1.1.2.3.20.40 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.339 Expedited decisionmaking procedure. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49475, Aug. 28, 2007] | (a) The presiding officer may determine a proceeding by an order after the conclusion of a hearing without issuing an initial decision, when: (1) All parties stipulate that the initial decision may be omitted and waive their rights to file a petition for review, to request oral argument, and to seek judicial review; (2) No unresolved substantial issue of fact, law, or discretion remains, and the record clearly warrants granting the relief requested; and (3) The presiding officer finds that dispensing with the issuance of the initial decision is in the public interest. (b) An order entered under paragraph (a) of this section is subject to review by the Commission on its own motion within forty (40) days after its date. (c) An initial decision may be made effective immediately, subject to review by the Commission on its own motion within thirty (30) days after its date, except as otherwise provided in this chapter, when: (1) All parties stipulate that the initial decision may be made effective immediately and waive their rights to file a petition for review, to request oral argument, and to seek judicial review; (2) No unresolved substantial issue of fact, law, or discretion remains and the record clearly warrants granting the relief requested; and (3) The presiding officer finds that it is in the public interest to make the initial decision effective immediately. (d) The provisions of this section do not apply to an initial decision directing the issuance of a limited work authorization under 10 CFR 50.10, an early site permit under subpart A of part 52 of this chapter, a construction permit or construction authorization, a combined license under subpart C of part 52 of this chapter, or a manufacturing license under subpart F of part 52. | |||
| 10:10:1.0.1.1.2.3.20.41 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.340 Initial decision in certain contested proceedings; immediate effectiveness of initial decisions; issuance of authorizations, permits, and licenses. | NRC | [77 FR 46594, Aug. 3, 2012, as amended at 77 FR 51891, Aug. 28, 2012;79 FR 75739, Dec. 19, 2014; 84 FR 65643, Nov. 29, 2019] | (a) Initial decision—production or utilization facility operating license. (1) Matters in controversy; presiding officer consideration of matters not put in controversy by parties. In any initial decision in a contested proceeding on an application for an operating license or renewed license (including an amendment to or renewal of an operating license or renewed license) for a production or utilization facility, the presiding officer shall make findings of fact and conclusions of law on the matters put into controversy by the parties and any matter designated by the Commission to be decided by the presiding officer. The presiding officer shall also make findings of fact and conclusions of law on any matter not put into controversy by the parties, but only to the extent that the presiding officer determines that a serious safety, environmental, or common defense and security matter exists, and the Commission approves of an examination of and decision on the matter upon its referral by the presiding officer under, inter alia, the provisions of §§ 2.323 and 2.341. (2) Presiding officer initial decision and issuance of permit or license. (i) In a contested proceeding for the initial issuance or renewal of a construction permit, operating license, or renewed license, or the amendment of an operating or renewed license where the NRC has not made a determination of no significant hazards consideration, the Commission or the Director, Office of Nuclear Reactor Regulation, as appropriate, after making the requisite findings, shall issue, deny, or appropriately condition the permit or license in accordance with the presiding officer's initial decision once that decision becomes effective. (ii) In a contested proceeding for the amendment of a construction permit, operating license, or renewed license where the NRC has made a determination of no significant hazards consideration, the Commission or the Director, Office of Nuclear Reactor Regulation, as appropriate (appropriate official), after making the requisite fin… | |||
| 10:10:1.0.1.1.2.3.20.42 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.341 Review of decisions and actions of a presiding officer. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49476, Aug. 28, 2007; 77 FR 46596, Aug. 3, 2012; 89 FR 67834, Aug. 22, 2024] | (a)(1) Review of decisions and actions of a presiding officer are treated under this section; provided, however, that no party may request further Commission review of a Commission determination to allow a period of interim operation under § 52.103(c) of this chapter. This section does not apply to appeals under § 2.311 or to appeals in the high-level waste proceeding, which are governed by § 2.1015. (2) Within 120 days after the date of a decision or action by a presiding officer, or within 120 days after a petition for review of the decision or action has been served under paragraph (b) of this section, whichever is greater, the Commission may review the decision or action on its own motion, unless the Commission, in its discretion, extends the time for its review. (b)(1) Within 25 days after service of a full or partial initial decision by a presiding officer, and within 25 days after service of any other decision or action by a presiding officer with respect to which a petition for review is authorized by this part, a party may file a petition for review with the Commission on the grounds specified in paragraph (b)(4) of this section. Unless otherwise authorized by law, a party to an NRC proceeding must file a petition for Commission review before seeking judicial review of an agency action. (2) A petition for review under this paragraph may not be longer thanthirty (30) pages, and must contain the following: (i) A concise summary of the decision or action of which review is sought; (ii) A statement (including record citation) where the matters of fact or law raised in the petition for review were previously raised before the presiding officer and, if they were not, why they could not have been raised; (iii) A concise statement why in the petitioner's view the decision or action is erroneous; and (iv) A concise statement why Commission review should be exercised. (3) Any other party to the proceeding may, within 25 days after service of a petition for review, file an answer supporting or opposing Comm… | |||
| 10:10:1.0.1.1.2.3.20.43 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.342 Stays of decisions. | NRC | (a) Within ten (10) days after service of a decision or action of a presiding officer, any party to the proceeding may file an application for a stay of the effectiveness of the decision or action pending filing of and a decision on a petition for review. This application may be filed with the Commission or the presiding officer, but not both at the same time. (b) An application for a stay may be no longer than ten (10) pages, exclusive of affidavits, and must contain the following: (1) A concise summary of the decision or action which is requested to be stayed; (2) A concise statement of the grounds for stay, with reference to the factors specified in paragraph (e) of this section; and (3) To the extent that an application for a stay relies on facts subject to dispute, appropriate references to the record or affidavits by knowledgeable persons. (c) Service of an application for a stay on the other parties must be by the same method, e.g., electronic or facsimile transmission, mail, as the method for filing the application with the Commission or the presiding officer. (d) Within ten (10) days after service of an application for a stay under this section, any party may file an answer supporting or opposing the granting of a stay. This answer may not be longer than ten (10) pages, exclusive of affidavits, and should concisely address the matters in paragraph (b) of this section to the extent appropriate. Further replies to answers will not be entertained. Filing of and service of an answer on the other parties must be by the same method, e.g., electronic or facsimile transmission, mail, as the method for filing the application for the stay. (e) In determining whether to grant or deny an application for a stay, the Commission or presiding officer will consider: (1) Whether the moving party has made a strong showing that it is likely to prevail on the merits; (2) Whether the party will be irreparably injured unless a stay is granted; (3) Whether the granting of a stay would harm other parties; and (4) Wher… | ||||
| 10:10:1.0.1.1.2.3.20.44 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.343 Oral argument. | NRC | In its discretion, the Commission may allow oral argument upon the request of a party made in a petition for review, brief on review, or upon its own initiative. | ||||
| 10:10:1.0.1.1.2.3.20.45 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.344 Final decision. | NRC | (a) The Commission will ordinarily consider the whole record on review, but may limit the issues to be reviewed to those identified in an order taking review. (b) The Commission may adopt, modify, or set aside the findings, conclusions and order in the initial decision, and will state the basis of its action. The final decision will be in writing and will include: (1) A statement of findings and conclusions, with the basis for them on all material issues of fact, law or discretion presented; (2) All facts officially noticed; (3) The ruling on each material issue; and (4) The appropriate ruling, order, or denial of relief, with the effective date. | ||||
| 10:10:1.0.1.1.2.3.20.46 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.345 Petition for reconsideration. | NRC | (a)(1) Any petition for reconsideration of a final decision must be filed by a party within ten (10) days after the date of the decision. (2) Petitions for reconsideration of Commission decisions are subject to the requirements in § 2.341(d). (b) A petition for reconsideration must demonstrate a compelling circumstance, such as the existence of a clear and material error in a decision, which could not have been reasonably anticipated, which renders the decision invalid. The petition must state the relief sought. Within ten (10) days after a petition for reconsideration has been served, any other party may file an answer in opposition to or in support of the petition. (c) Neither the filing nor the granting of the petition stays the decision unless the Commission orders otherwise. | ||||
| 10:10:1.0.1.1.2.3.20.47 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.346 Authority of the Secretary. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49152, Aug. 28, 2007; 77 FR 46597, Aug. 3, 2012; 78 FR 34247, June 7, 2013] | When briefs, motions or other documents are submitted to the Commission itself, as opposed to officers who have been delegated authority to act for the Commission, the Secretary or the Assistant Secretary is authorized to: (a) Prescribe procedures for the filing of briefs, motions, or other pleadings, when the schedules differ from those prescribed by the rules of this part or when the rules of this part do not prescribe a schedule; (b) Rule on motions for extensions of time; (c) Reject motions, briefs, pleadings, and other documents filed with the Commission later then the time prescribed by the Secretary or the Assistant Secretary or established by an order, rule or regulation of the Commission unless good cause is shown for the late filing; (d) Prescribe all procedural arrangements relating to any oral argument to be held before the Commission; (e) Extend the time for the Commission to rule on a petition for review under § 2.341; (f) Extend the time for the Commission to grant review on its own motion under § 2.341; (g) Direct pleadings improperly filed before the Commission to the appropriate presiding officer for action; (h) Deny a request for hearings, where the request fails to comply with the Commission's pleading requirements set forth in this part, and fails to set forth an arguable basis for further proceedings; (i) Refer to the Atomic Safety and Licensing Board Panel or an Administrative Judge, as appropriate requests for hearing not falling under § 2.104, where the requestor is entitled to further proceedings; and (j) Take action on other minor matters. | |||
| 10:10:1.0.1.1.2.3.20.48 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.347 Ex parte communications. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49476, Aug. 28, 2007; 77 FR 46597, Aug. 3, 2012] | In any proceeding under this subpart— (a)(1) Interested persons outside the agency may not make or knowingly cause to be made to any Commission adjudicatory employee, any ex parte communication relevant to the merits of the proceeding. (2) For purposes of this section, merits of the proceeding includes: (i) A disputed issue; (ii) A matter which a presiding officer seeks to be referred to the Commission under 10 CFR 2.340(a); and (iii) A matter for which the Commission has approved examination by the presiding officer under § 2.340(a). (b) Commission adjudicatory employees may not request or entertain from any interested person outside the agency or make or knowingly cause to be made to any interested person outside the agency, any ex parte communication relevant to the merits of the proceeding. (c) Any Commission adjudicatory employee who receives, makes, or knowingly causes to be made a communication prohibited by this section shall ensure that it, and any responses to the communication, are promptly served on the parties and placed in the public record of the proceeding. In the case of oral communications, a written summary must be served and placed in the public record of the proceeding. (d) Upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of this section, the Commission or other adjudicatory employee presiding in a proceeding may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the party to show cause why its claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on account of the violation. (e)(1) The prohibitions of this section apply— (i) When a notice of hearing or other comparable order is issued in accordance with §§ 2.104(a), 2.105(e)(2), 2.202(c), 2.205(e), or 2.312; or (ii) Whenever the interested person or Commission adjudicatory employee responsible for the communication has knowledge that a notice of hearing or othe… | |||
| 10:10:1.0.1.1.2.3.20.49 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.348 Separation of functions. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49477, Aug. 28, 2007; 77 FR 46597, Aug. 3, 2012; 85 FR 70438, Nov. 5, 2020] | (a) In any proceeding under this part, any NRC officer or employee engaged in the performance of any investigative or litigating function in the proceeding or in a factually related proceeding with respect to a disputed issue in that proceeding, may not participate in or advise a Commission adjudicatory employee about the initial or final decision with respect to that disputed issue, except— (1) As witness or counsel in the proceeding; (2) Through a written communication served on all parties and made on-the-record of the proceeding; or (3) Through an oral communication made both with reasonable prior notice to all parties and with reasonable opportunity for all parties to respond. (b) The prohibition in paragraph (a) of this section does not apply to— (1) Communications to or from any Commission adjudicatory employee regarding— (i) The status of a proceeding; (ii) Matters for which the communications are specifically permitted by statute or regulation; (iii) NRC participation in matters pending before a court or another agency; or (iv) Generic issues involving public health and safety or other statutory responsibilities of the NRC (e.g., rulemakings, congressional hearings on legislation, budgetary planning) not associated with the resolution of any proceeding under this subpart pending before the NRC. (2) Communications to or from Commissioners, members of their personal staffs, employees of the Office of Commission Appellate Adjudication, Commission adjudicatory employees in the Office of the General Counsel, and the Secretary and employees of the Office of the Secretary, regarding— (i) Initiation or direction of an investigation or initiation of an enforcement proceeding; (ii) Supervision of NRC staff to ensure compliance with the general policies and procedures of the agency; (iii) NRC staff priorities and schedules or the allocation of agency resources; or (iv) General regulatory, scientific, or engineering principles that are useful for an understanding of the issues in a proceeding and are n… | |||
| 10:10:1.0.1.1.2.3.20.50 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.390 Public inspections, exemptions, requests for withholding. | NRC | [69 FR 2236, Jan. 14, 2004, as amended at 72 FR 49152, Aug. 28, 2007; 72 FR 49477, Aug. 28, 2007; 75 FR 73937, Nov. 30, 2010; 81 FR 96346, Dec. 30, 2016; 90 FR 54227, Nov. 26, 2025] | (a) Subject to the provisions of paragraphs (b), (d), (e), and (f) of this section, final NRC records and documents, including but not limited to correspondence to and from the NRC regarding the issuance, denial, amendment, transfer, renewal, modification, suspension, revocation, or violation of a license, permit, order, or standard design approval, or regarding a rulemaking proceeding subject to this part shall not, in the absence of an NRC determination of a compelling reason for nondisclosure after a balancing of the interests of the person or agency urging nondisclosure and the public interest in disclosure, be exempt from disclosure and will be made available for inspection and copying at the NRC Web site, http://www.nrc.gov , and/or at the NRC Public Document Room, except for matters that are: (1)(i) Specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy; and (ii) Are in fact properly classified under that Executive order; (2) Related solely to the internal personnel rules and practices of the Commission; (3) Specifically exempted from disclosure by statute (other than 5 U.S.C. 552(b)), but only if that statute requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or establishes particular criteria for withholding or refers to particular types or matters to be withheld. (4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) Interagency or intra-agency memorandums or letters that would not be available by law to a party other than an agency in litigation with the agency, provided that the deliberative process privilege shall not apply to records created 25 years or more before the date on which the records were requested; (6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) Records or information comp… | |||
| 10:10:1.0.1.1.2.4.20.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.400 Scope of subpart. | NRC | This subpart describes procedures applicable to licensing proceedings which involve the consideration in hearings of a number of applications, filed by one or more applicants pursuant to appendix N of parts 50 or 52 of this chapter, for licenses to construct and/or operate nuclear power reactors of identical design to be located at multiple sites. | ||||
| 10:10:1.0.1.1.2.4.20.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.401 Notice of hearing on construction permit or combined license applications pursuant to appendix N of 10 CFR parts 50 or 52. | NRC | (a) In the case of applications pursuant to appendix N of part 50 of this chapter for construction permits for nuclear power reactors of the type described in § 50.22 of this chapter, or applications pursuant to appendix N of part 52 of this chapter for combined licenses, the Secretary will issue notices of hearing pursuant to § 2.104. (b) The notice of hearing will also state the time and place of the hearings on any separate phase of the proceeding. | ||||
| 10:10:1.0.1.1.2.4.20.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.402 Separate hearings on separate issues; consolidation of proceedings. | NRC | (a) In the case of applications under appendix N of part 50 of this chapter for construction permits for nuclear power reactors of a type described in 10 CFR 50.22, or applications pursuant to appendix N of part 52 of this chapter for combined licenses, the Commission or the presiding officer may order separate hearings on particular phases of the proceeding, such as matters related to the acceptability of the design of the reactor, in the context of the site parameters postulated for the design or environmental matters. (b) If a separate hearing is held on a particular phase of the proceeding, the Commission or presiding officers of each affected proceeding may, under 10 CFR 2.317, consolidate for hearing on that phase two or more proceedings to consider common issues relating to the applications involved in the proceedings, if it finds that this action will be conducive to the proper dispatch of its business and to the ends of justice. In specifying the place of this consolidated hearing, due regard will be given to the convenience and necessity of the parties, petitioners for leave to intervene, or the attorneys or representatives of such persons, and the public interest. | ||||
| 10:10:1.0.1.1.2.4.20.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.403 Notice of proposed action on applications for operating licenses pursuant to appendix N of 10 CFR part 50. | NRC | [73 FR 5717, Jan. 31, 2008, as amended at 84 FR 65643, Nov. 29, 2019] | In the case of applications pursuant to appendix N of part 50 of this chapter for operating licenses for nuclear power reactors, if the Commission has not found that a hearing is in the public interest, the Commission or the Director, Office of Nuclear Reactor Regulation, as appropriate will, prior to acting thereon, cause to be published in the Federal Register, pursuant to § 2.105, a notice of proposed action with respect to each application as soon as practicable after the applications have been docketed. | |||
| 10:10:1.0.1.1.2.4.20.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.404 Hearings on applications for operating licenses pursuant to appendix N of 10 CFR part 50. | NRC | If a request for a hearing and/or petition for leave to intervene is filed within the time prescribed in the notice of proposed action on an application for an operating license pursuant to appendix N of part 50 of this chapter with respect to a specific reactor(s) at a specific site, and the Commission, the Chief Administrative Judge, or a presiding officer has issued a notice of hearing or other appropriate order, then the Commission, the Chief Administrative Judge, or the presiding officer may order separate hearings on particular phases of the proceeding and/or consolidate for hearing two or more proceedings in the manner described in § 2.402. | ||||
| 10:10:1.0.1.1.2.4.20.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.405 Initial decisions in consolidated hearings. | NRC | At the conclusion of a hearing held under this subpart, the presiding officer will render a partial initial decision on the common design. The partial initial decision on the common design may be appealed under § 2.341. If the proceedings have also been consolidated with respect to matters other than the common design under § 2.317(b), the presiding officer may issue a consolidated partial initial decision for those proceedings. No construction permit, full-power operating license, or combined license under part 52 of this chapter will be issued until an initial decision has been issued on all phases of the hearing and all issues under the Act and the National Environmental Policy Act of 1969 appropriate to the proceeding have been resolved. | ||||
| 10:10:1.0.1.1.2.4.20.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.406 Finality of decisions on separate issues. | NRC | Notwithstanding any other provision of this chapter, in a proceeding conducted pursuant to this subpart and appendices N of parts 50 or 52 of this chapter, no matter which has been reserved for consideration in one phase of the hearing shall be considered at another phase of the hearing except on the basis of significant new information that substantially affects the conclusion(s) reached at the other phase or other good cause. | ||||
| 10:10:1.0.1.1.2.4.20.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.407 Applicability of other sections. | NRC | The provisions of subparts A, C, G, L, and N of this part relating to construction permits, operating licenses, and combined licenses apply, respectively, to construction permits, operating licenses, and combined licenses subject to this subpart, except as may be qualified by the provisions of this subpart. | ||||
| 10:10:1.0.1.1.2.5.20.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.500 Scope of subpart. | NRC | [72 FR 49478, Aug. 28, 2007] | This subpart prescribes procedures applicable to licensing proceedings which involve the consideration in separate hearings of an application for a license to manufacture nuclear power reactors under subpart F of part 52 of this chapter. | |||
| 10:10:1.0.1.1.2.5.20.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.501 Notice of hearing on application under subpart F of 10 CFR part 52 for a license to manufacture nuclear power reactors. | NRC | [38 FR 30252, Nov. 2, 1973, as amended at 39 FR 26279, July 18, 1974; 39 FR 33202, Sept. 16, 1974; 49 FR 9401, Mar. 12, 1984; 54 FR 15398, Apr. 18, 1989; 54 FR 52342, Dec. 21, 1989; 72 FR 49478, Aug. 28, 2007] | (a) In the case of an application under subpart F of part 52 of this chapter for a license to manufacture nuclear power reactors of the type described in § 50.22 of this chapter to be operated at sites not identified in the license application, the Secretary will issue a notice of hearing to be published in the Federal Register at least 30 days before the date set for hearing in the notice. 1 The notice shall be issued as soon as practicable after the application has been docketed. The notice will state: 1 The thirty-day (30) requirement of this paragraph is not applicable to a notice of the time and place of hearing published by the presiding officer after the notice of hearing described in this section has been published. (1) The time, place, and nature of the hearing and/or the prehearing conference; (2) The authority within which the hearing is to be held; (3) The matters of fact and law to be considered; and (4) The time within which answers to the notice shall be filed. (b) The notice of hearing shall comply with the requirements of § 2.104(f) of this chapter. (c) The place of hearing on an application for a manufacturing license will be Washington, DC, or such other location as the Commission deems appropriate. | |||
| 10:10:1.0.1.1.2.5.20.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | §§ 2.502-2.504 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.6.20.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.600 Scope of subpart. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 72 FR 57440, Oct. 9, 2007; 90 FR 55627, Dec. 3, 2025] | This subpart prescribes procedures applicable to licensing proceedings which involve an early submittal of site suitability information in accordance with § 2.101(a-1), and a hearing and early partial decision on issues of site suitability, in connection with an application for a permit to construct a utilization facility which is subject to § 51.20(b) of this chapter and is of the type specified in § 50.21(b)(2) or (3) or § 50.22 of this chapter or is a testing facility. This subpart also prescribes procedures applicable to proceedings for a construction permit for a utilization facility which is subject to § 51.20(b) of this chapter and is of the type specified in § 50.21(b)(2) or (3) or § 50.22 of this chapter, or proceedings for a combined license under part 52 of this chapter, either of which includes a request to conduct the activities authorized under § 50.10(d) of part 50 of this chapter in advance of issuance of the construction permit or combined license, and submits an application in accordance with § 2.101(a)(9). (a) The procedures in §§ 2.601 through 2.609 apply to all applications under this subpart. (b) The procedures in §§ 2.611 through 2.619 apply to applications for a permit to construct a utilization facility which is subject to § 51.20(b) of this chapter and is of the type specified in § 50.21(b)(2) or (3) or § 50.22 of this chapter or is a testing facility. (c) The procedures in §§ 2.621 through 2.629 apply to applications for combined license under part 52 of this chapter for a nuclear power facility. (d) The procedures in §§ 2.641 through 2.649 apply to phased applications for construction permits or combined licenses which request limited work authorizations to be issued in advance of issuance of the construction permit or combined license ( i.e. , a phased application). (e) This section and §§ 2.601 through 2.629 shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after o… | |||
| 10:10:1.0.1.1.2.6.20.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.601 Applicability of other sections. | NRC | The provisions of subparts A, C, G, L, and N relating to applications for construction permits and combined licenses, and proceedings thereon apply, respectively, to such applications and proceedings in accordance with this subpart, except as specifically provided otherwise by the provisions of this subpart. | ||||
| 10:10:1.0.1.1.2.6.20.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.602 Filing fees. | NRC | Each application which contains a request for early review of site suitability issues under the procedures of this subpart shall be accompanied by any fee required by § 50.30(e) and part 170 of this chapter. | ||||
| 10:10:1.0.1.1.2.6.20.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.603 Acceptance and docketing of application for early review of site suitability issues in a construction permit proceeding. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 84 FR 65643, Nov. 29, 2019] | (a) Each part of an application for a construction permit submitted in accordance with § 2.101(a-1) of this part will be initially treated as a tendered application. If it is determined that any one of the parts as described in § 2.101(a-1) is incomplete and not acceptable for processing, the Director of the Office of Nuclear Reactor Regulation will inform the applicant of this determination and the respects in which the document is deficient. Such a determination of completeness will generally be made within a period of 30 days. (b)(1) The Director of the Office of Nuclear Reactor Regulation will accept for docketing part one of an application for a construction permit for a utilization facility which is subject to § 51.20(b) of this chapter and is of the type specified in § 50.21(b)(2) or (3) or § 50.22 of this chapter, or is a testing facility where part one of the application as described in § 2.101(a-1) is complete. Part one of any application will not be considered complete unless it contains proposed findings as required by § 2.101(a-1)(1)(i) and unless it describes the applicant's site selection process, specifies the extent to which that process involves the consideration of alternative sites, explains the relationship between that process and the application for early review of site suitability issues, and briefly describes the applicant's long-range plans for ultimate development of the site. Upon assignment of a docket number, the procedures in § 2.101(a)(3) and (4) relating to formal docketing and the submission and distribution of additional copies of the application shall be followed. (2) Additional parts of the application will be docketed upon a determination by the Director of the Office of Nuclear Reactor Regulation that they are complete. (c) If part one of the application is docketed, the Director of the Office of Nuclear Reactor Regulation will cause to be published in the Federal Register and send to the Governor or other appropriate official of the State in which the site is located, … | |||
| 10:10:1.0.1.1.2.6.20.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.604 Notice of hearing on application for early review of site suitability issues in construction permit proceeding. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 88 FR 57876, Aug. 24, 2023] | (a) Where an applicant for a construction permit requests an early review and hearing and an early partial decision on issues of site suitability pursuant to § 2.101(a-1), the provisions in the notice of hearing setting forth the matters of fact and law to be considered, as required by § 2.104, shall be modified so as to relate only to the site suitability issue or issues under review. (b) After docketing of part two of the application, as provided in §§ 2.101(a-1) and 2.603, a supplementary notice of hearing will be published under § 2.104 with respect to the remaining unresolved issues in the proceeding within the scope of § 2.104. This supplementary notice of hearing will provide that any person whose interest may be affected by the proceeding and who desires to participate as a party in the resolution of the remaining issues shall file a petition for leave to intervene pursuant to § 2.309 within the time prescribed in the notice. This supplementary notice will also provide appropriate opportunities for participation by a representative of an interested State under § 2.315(c) and for limited appearances under § 2.315(a). (c) Any person who was permitted to intervene as a party under the initial notice of hearing on site suitability issues and who was not dismissed or did not withdraw as a party may continue to participate as a party to the proceeding with respect to the remaining unresolved issues, provided that within the time prescribed for filing of petitions for leave to intervene in the supplementary notice of hearing, they file a notice of their intent to continue as a party, along with a supporting affidavit identifying the specific aspect or aspects of the subject matter of the proceeding as to which they wish to continue to participate as a party and setting forth with particularity the basis for their contentions with regard to each aspect or aspects. A party who files a non-timely notice of intent to continue as a party may be dismissed from the proceeding, absent a determination that the party ha… | |||
| 10:10:1.0.1.1.2.6.20.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.605 Additional considerations. | NRC | (a) The Commission will not conduct more than one review of site suitability issues with regard to a particular site prior to filing and review of part two of the application described in § 2.101(a-1) of this part. (b) The Commission, upon its own initiative, or upon the motion of any party to the proceeding filed at least 60 days prior to the date of the commencement of the evidentiary hearing on site suitability issues, may decline to initiate an early hearing or render an early partial decision on any issue or issues of site suitability: (1) In cases where no partial decision on the relative merits of the proposed site and alternative sites under subpart A of part 51 of this chapter is requested, upon determination that there is a reasonable likelihood that further review would identify one or more preferable alternative sites and the partial decision on one or more site suitability issues would lead to an irreversible and irretrievable commitment of resources prior to the submittal of the remainder of the information required by § 50.30(f) of this chapter that would prejudice the later review and decision on such alternative sites; or (2) In cases where it appears that an early partial decision on any issue or issues of site suitability would not be in the public interest considering: (i) The degree of likelihood that any early findings on those issues would retain their validity in later reviews; (ii) The objections, if any, of cognizant State or local government agencies to the conduct of an early review on those issues; and (iii) The possible effect on the public interest and the parties of having an early, if not necessarily conclusive, resolution of those issues. | ||||
| 10:10:1.0.1.1.2.6.20.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.606 Partial decision on site suitability issues in construction permit proceeding. | NRC | [72 FR 49479, Aug. 28, 2007, as amended at 72 FR 57440, Oct. 9, 2007] | (a) The provisions of §§ 2.331, 2.339, 2.340(b), 2.343, 2.712, and 2.713 apply to any partial initial decision rendered in accordance with this subpart. Section 2.340(c) does not apply to any partial initial decision rendered in accordance with this subpart. No construction permit or combined license may be issued without completion of the full review required by Section 102(2) of the NEPA, as amended, and subpart A of part 51 of this chapter. The authority of the Commission to review such a partial initial decision sua sponte, or to raise sua sponte an issue that has not been raised by the parties, will be exercised within the same time as in the case of a full decision relating to the issuance of a construction permit or combined license. (b)(1) A partial decision on one or more site suitability issues pursuant to the applicable provisions of part 50, subpart A of part 51, and part 100 of this chapter issued in accordance with this subpart shall: (i) Clearly identify the site to which the partial decision applies; and (ii) Indicate to what extent additional information may be needed and additional review may be required to enable the Commission to determine in accordance with the provisions of the Act and the applicable provisions of the regulations in this chapter whether a construction permit for a facility to be located on the site identified in the partial decision should be issued or denied. (2) Following either the Commission (acting in the function of a presiding officer) issuance of a partial initial decision, or completion of Commission review of the partial initial decision of the Atomic Safety and Licensing Board, after hearing, on the site suitability issues, the partial decision shall remain in effect either for a period of 5 years or, where the applicant for the construction permit has made timely submittal of the information required to support the application as provided in § 2.101(a-1), until the proceeding for a permit to construct a facility on the site identified in the partial decis… | |||
| 10:10:1.0.1.1.2.6.21.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.621 Acceptance and docketing of application for early review of site suitability issues in a combined license proceeding. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 84 FR 65643, Nov. 29, 2019] | (a) Each part of an application submitted in accordance with § 2.101(a-1) of this part will be initially treated as a tendered application. If it is determined that any one of the parts as described in § 2.101(a-1) is incomplete and not acceptable for processing, the Director of the Office of Nuclear Reactor Regulation will inform the applicant of this determination and the respects in which the document is deficient. Such a determination of completeness will generally be made within a period of 30 days. (b)(1) The Director of the Office of Nuclear Reactor Regulation will accept for docketing an application for a combined license for a nuclear power facility where part one of the application as described in § 2.101(a-1) is complete. Part one of any application will not be considered complete unless it contains proposed findings as required by § 2.101(a-1)(1)(i) and unless it describes the applicant's site selection process, specifies the extent to which that process involves the consideration of alternative sites, explains the relationship between that process and the application for early review of site suitability issues, and briefly describes the applicant's long-range plans for ultimate development of the site. Upon assignment of a docket number, the procedures in § 2.101(a)(3) and (4) relating to formal docketing and the submission and distribution of additional copies of the application shall be followed. (2) Additional parts of the application will be docketed upon a determination by the Director of the Office of Nuclear Reactor Regulation that they are complete. (c) If part one of the application is docketed, the Director of the Office of Nuclear Reactor Regulation will cause to be published in the Federal Register and send to the Governor or other appropriate official of the State in which the site is located, a notice of docketing of the application which states the purpose of the application, states the location of the proposed site, states that a notice of hearing will be published, requests comm… | |||
| 10:10:1.0.1.1.2.6.21.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.623 Notice of hearing on application for early review of site suitability issues in combined license proceeding. | NRC | (a) Where an applicant for a combined license under part 52 of this chapter requests an early review and hearing and an early partial decision on issues of site suitability pursuant to § 2.101(a-2), the provisions in the notice of hearing setting forth the matters of fact and law to be considered, as required by § 2.104, shall be modified so as to relate only to the site suitability issue or issues under review. The notice will provide appropriate opportunities for participation by a representative of an interested State under § 2.315(c) and for limited appearances under § 2.315(a), limited however, to the issues of site suitability for which early review has been requested by the applicant. (b) After docketing of part two of the application, as provided in §§ 2.101(a-1) and 2.603, a supplementary notice of hearing will be published under § 2.104 with respect to the remaining unresolved issues in the proceeding within the scope of § 2.104. This supplementary notice of hearing will provide that any person whose interest may be affected by the proceeding and who desires to participate as a party in the resolution of the remaining issues shall file a petition for leave to intervene pursuant to § 2.309 within the time prescribed in the notice. This supplementary notice will also provide appropriate opportunities for participation by a representative of an interested State under § 2.315(c) and for limited appearances under § 2.315(a). (c) Any person who was permitted to intervene as a party under the initial notice of hearing on site suitability issues and who was not dismissed or did not withdraw as a party may continue to participate as a party to the proceeding without having to demonstrate standing under § 2.309(d), provided, however, that within the time prescribed for filing of petitions for leave to intervene in the supplementary notice of hearing, the party files a notice of intent to continue as a party. The notice must include the information required by § 2.309(f). A party who files a non-timely notice … | ||||
| 10:10:1.0.1.1.2.6.21.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.625 Additional considerations. | NRC | (a) The Commission will not conduct more than one review of site suitability issues with regard to a particular site prior to filing and review of part two of the application described in § 2.101(a-1) of this part. (b) The Commission, upon its own initiative, or upon the motion of any party to the proceeding filed at least 60 days prior to the date of the commencement of the evidentiary hearing on site suitability issues, may decline to initiate an early hearing or render an early partial decision on any issue or issues of site suitability: (1) In cases where no partial decision on the relative merits of the proposed site and alternative sites under subpart A of part 51 is requested, upon determination that there is a reasonable likelihood that further review would identify one or more preferable alternative sites and the partial decision on one or more site suitability issues would lead to an irreversible and irretrievable commitment of resources prior to the submittal of the remainder of the information required by § 50.30(f) of this chapter that would prejudice the later review and decision on such alternative sites; or (2) In cases where it appears that an early partial decision on any issue or issues of site suitability would not be in the public interest considering: (i) The degree of likelihood that any early findings on those issues would retain their validity in later reviews; (ii) The objections, if any, of cognizant State or local government agencies to the conduct of an early review on those issues; and (iii) The possible effect on the public interest and the parties of having an early, if not necessarily conclusive, resolution of those issues. | ||||
| 10:10:1.0.1.1.2.6.21.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.627 Partial decision on site suitability issues in combined license proceeding. | NRC | (a) The provisions of §§ 2.331, 2.339, 2.340(b), 2.343, 2.712, and 2.713 shall apply to any partial initial decision rendered in accordance with this subpart. Section 2.340(c) shall not apply to any partial initial decision rendered in accordance with this subpart. A limited work authorization may not be issued under 10 CFR 50.10(e) and no construction permit may be issued without completion of the full review required by Section 102(2) of the National Environmental Policy Act of 1969, as amended, and subpart A of part 51 of this chapter. The authority of the Commission to review such a partial initial decision sua sponte, or to raise sua sponte an issue that has not been raised by the parties, will be exercised within the same time period as in the case of a full decision relating to the issuance of a construction permit. (b)(1) A partial decision on one or more site suitability issues pursuant to the applicable provisions of part 50, subpart A of part 51, and part 100 of this chapter issued in accordance with this subpart shall: (i) Clearly identify the site to which the partial decision applies; and (ii) Indicate to what extent additional information may be needed and additional review may be required to enable the Commission to determine in accordance with the provisions of the Act and the applicable provisions of the regulations in this chapter whether a construction permit for a facility to be located on the site identified in the partial decision should be issued or denied. (2) Following either the Commission (acting in the function of a presiding officer) issuance of a partial initial decision, or completion of Commission review of the partial initial decision of the presiding officer, after hearing, on the site suitability issues, the partial decision shall remain in effect either for a period of 5 years or, where the applicant for the combined license has made timely submittal of the information required to support the application as provided in § 2.101(a-2), until the proceeding for a combined lice… | ||||
| 10:10:1.0.1.1.2.6.21.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.629 Finality of partial decision on site suitability issues in a combined license proceeding. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 84 FR 63567, Nov. 18, 2019; 84 FR 65644, Nov. 29, 2019] | (a) The partial decision on site suitability issues in a combined license proceeding shall be incorporated in the decision regarding issuance of a combined license. Except as provided in 10 CFR 2.758, in making the findings required for issuance of a combined license, the Commission shall treat as resolved those matters resolved in connection with the issuance of the partial decision on site suitability issues. If the Commission reaches an adverse decision, the application shall be denied without prejudice for resubmission, provided, however, that in determining whether the resubmitted application is complete and acceptable for docketing under § 2.101(a)(3), the Director of the Office of Nuclear Reactor Regulation shall determine whether the resubmitted application addresses those matters identified as bases for denial of the original application. (b) Notwithstanding any provision in 10 CFR 50.109, while a partial decision on site suitability is in effect under § 2.627(b)(2), the Commission may not modify, rescind, or impose new requirements with respect to matters within the scope of the site suitability decision, whether on its own motion, or in response to a request or petition from any person, unless the Commission determines that a modification to the original decision is necessary either for compliance with the Commission's regulations applicable and in effect at the time the partial decision was issued, or to assure adequate protection of the public health and safety or the common defense and security. | |||
| 10:10:1.0.1.1.2.6.22.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.641 Filing fees. | NRC | Each application which contains a request for limited work authorization under the procedures of § 2.101(a)(9) and this subpart shall be accompanied by any fee required by § 50.30(e) and part 170 of this chapter. | ||||
| 10:10:1.0.1.1.2.6.22.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.643 Acceptance and docketing of application for limited work authorization. | NRC | [72 FR 49478, Aug. 28, 2007, as amended at 84 FR 65644, Nov. 29, 2019] | (a) Each part of an application submitted in accordance with § 2.101(a)(9) will be initially treated as a tendered application. If it is determined that any one of the parts as described in § 2.101(a)(9) is incomplete and not acceptable for processing, the Director of the Office of Nuclear Reactor Regulation will inform the applicant of this determination and the respects in which the document is deficient. A determination of completeness will generally be made within a period of 30 days. (b) The Director will accept for docketing part one of an application for a construction permit for a utilization facility which is subject to § 51.20(b) of this chapter and is of the type specified in § 50.21(b)(2) or (3) or § 50.22 of this chapter or an application for a combined license where part one of the application as described in § 2.101(a)(9) is complete. Part one will not be considered complete unless it contains the information required by § 50.10(d)(3) of this chapter. Upon assignment of a docket number, the procedures in § 2.101(a)(3) and (4) relating to formal docketing and the submission and distribution of additional copies of the application must be followed. (c) If part one of the application is docketed, the Director will cause to be published in the Federal Register and send to the Governor or other appropriate official of the State in which the site is located, a notice of docketing of the application which states the purpose of the application, states the location of the proposed site, states that a notice of hearing will be published, and requests comments on the limited work authorization from Federal, State, and local agencies and interested persons. The notice will state that comments must be submitted to the NRC within 60 days or such other time as may be specified in the notice. (d) Part two of the application will be docketed upon a determination by the Director that it is complete. (e) If part two of the application is docketed, the Director will cause to be published in the Federal Register… | |||
| 10:10:1.0.1.1.2.6.22.15 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.645 Notice of hearing. | NRC | (a) The notice of hearing on part one of the application must set forth the matters of fact and law to be considered, as required by § 2.104, which will be modified to state that the hearing will relate only to the matters related to § 50.33(a) through (f) of this chapter, and the limited work authorization. (b) After docketing of part two of the application, as provided in §§ 2.101(a)(9) and 2.643(d), a supplementary notice of hearing will be published under § 2.104 with respect to the remaining unresolved issues in the proceeding within the scope of § 2.104. The supplementary notice of hearing will provide that any person whose interest may be affected by the proceeding and who desires to participate as a party in the resolution of the remaining issues shall, file a petition for leave to intervene within the time prescribed in the notice. The petition to intervene must meet the applicable requirements in subpart C of this part, including § 2.309. This supplementary notice will also provide appropriate opportunities for participation by a representative of an interested State under § 2.315(c) and for limited appearances under § 2.315(a). (c) Any person who was permitted to intervene under the initial notice of hearing on the limited work authorization and who was not dismissed or did not withdraw as a party, may continue to participate as a party with respect to the remaining unresolved issues only if, within the time prescribed for filing of petitions for leave to intervene in the supplementary notice of hearing, that person files a petition for intervention which meets the applicable requirements in subpart C of this part, including § 2.309, provided, however, that the petition need not address § 2.309(d). However, a person who was granted discretionary intervention under § 2.309(e) must address in its petition the factors in § 2.309(e) as they apply to the supplementary hearing. (d) A party who files a non-timely petition for intervention under paragraph (b) of this section to continue as a party may be … | ||||
| 10:10:1.0.1.1.2.6.22.16 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.647 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.6.22.17 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.649 Partial decisions on limited work authorization. | NRC | The provisions of §§ 2.331, 2.339, 2.340(b), 2.343, 2.712, and 2.713 apply to any partial initial decision rendered in accordance with this subpart. Section 2.340(c) does not apply to any partial initial decision rendered in accordance with this subpart. A limited work authorization may not be issued under 10 CFR 50.10(d) without completion of the review for limited work authorizations required by subpart A of part 51 of this chapter. The authority of the Commission to review such a partial initial decision sua sponte, or to raise sua sponte an issue that has not been raised by the parties, will be exercised within the same time as in the case of a full decision relating to the issuance of a construction permit or combined license. | ||||
| 10:10:1.0.1.1.2.7.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.700 Scope of subpart G. | NRC | The provisions of this subpart apply to and supplement the provisions set forth in subpart C of this part with respect to enforcement proceedings initiated under subpart B of this part unless otherwise agreed to by the parties, proceedings conducted with respect to the initial licensing of a uranium enrichment facility, proceedings for the grant, renewal, licensee-initiated amendment, or termination of licenses or permits for nuclear power reactors, where the presiding officer by order finds that resolution of the contention necessitates resolution of: issues of material fact relating to the occurrence of a past event, where the credibility of an eyewitness may reasonably be expected to be at issue, and/or issues of motive or intent of the party or eyewitness material to the resolution of the contested matter, proceedings for initial applications for construction authorization for high-level radioactive waste repository noticed under §§ 2.101(f)(8) or 2.105(a)(5), proceedings for initial applications for a license to receive and possess high-level radioactive waste at a geologic repository operations area, and any other proceeding as ordered by the Commission. If there is any conflict between the provisions of this subpart and those set forth in subpart C of this part, the provisions of this subpart control. | ||||
| 10:10:1.0.1.1.2.7.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.701 Exceptions. | NRC | Consistent with 5 U.S.C. 554(a)(4) of the Administrative Procedure Act, the Commission may provide alternative procedures in adjudications to the extent that there is involved the conduct of military or foreign affairs functions. | ||||
| 10:10:1.0.1.1.2.7.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.702 Subpoenas. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 88 FR 57877, Aug. 24, 2023] | (a) On application by any party, the designated presiding officer or, if they are not available, the Chief Administrative Judge, or other designated officer will issue subpoenas requiring the attendance and testimony of witnesses or the production of evidence. The officer to whom application is made may require a showing of general relevance of the testimony or evidence sought, and may withhold the subpoena if such a showing is not made. However, the officer may not determine the admissibility of evidence. (b) Every subpoena will bear the name of the Commission, the name and office of the issuing officer and the title of the hearing, and will command the person to whom it is directed to attend and give testimony or produce specified documents or other things at a designated time and place. The subpoena will also advise of the quashing procedure provided in paragraph (f) of this section. (c) Unless the service of a subpoena is acknowledged on its face by the witness or is served by an officer or employee of the Commission, it must be served by a person who is not a party to the hearing and is not less than eighteen (18) years of age. Service of a subpoena must be made by delivery of a copy of the subpoena to the person named in it and tendering that person the fees for one day's attendance and the mileage allowed by law. When the subpoena is issued on behalf of the Commission, fees and mileage need not be tendered and the subpoena may be served by registered mail. (d) Witnesses summoned by subpoena must be paid the fees and mileage paid to witnesses in the district courts of the United States by the party at whose instance they appear. (e) The person serving the subpoena shall make proof of service by filing the subpoena and affidavit or acknowledgment of service with the officer before whom the witness is required to testify or produce evidence or with the Secretary. Failure to make proof of service does not affect the validity of the service. (f) On motion made promptly, and in any event at or before the ti… | |||
| 10:10:1.0.1.1.2.7.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.703 Examination by experts. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 88 FR 57877, Aug. 24, 2023] | (a) A party may request the presiding officer to permit a qualified individual who has scientific or technical training or experience to participate on behalf of that party in the examination and cross-examination of expert witnesses. The presiding officer may permit the individual to participate on behalf of the party in the examination and cross-examination of expert witnesses, upon finding: (1) That cross-examination by that individual would serve the purpose of furthering the conduct of the proceeding; (2) That the individual is qualified by scientific or technical training or experience to contribute to the development of an adequate decisional record in the proceeding by the conduct of such examination or cross-examination; (3) That the individual has read any written testimony on which they intend to examine or cross-examine and any documents to be used or referred to in the course of the examination or cross-examination; and (4) That the individual has prepared themselves to conduct a meaningful and expeditious examination or cross-examination, and has submitted a cross-examination plan in accordance with § 2.711(c). (b) Examination or cross-examination conducted under this section must be limited to areas within the expertise of the individual conducting the examination or cross-examination. The party on behalf of whom this examination or cross-examination is conducted and their attorney is responsible for the conduct of examination or cross-examination by such individuals. | |||
| 10:10:1.0.1.1.2.7.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.704 Discovery-required disclosures. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 73 FR 63567, Oct. 24, 2008; 77 FR 46597, Aug. 3, 2012; 90 FR 54227, Nov. 26, 2025] | (a) Initial disclosures. Except to the extent otherwise stipulated or directed by order of the presiding officer or the Commission, a party other than the NRC staff shall, without awaiting a discovery request, provide to other parties: (1) The name and, if known, the address and telephone number of each individual likely to have discoverable information relevant to disputed issues alleged with particularity in the pleadings, identifying the subjects of the information; and (2) A copy of, or a description by category and location of, all documents, data compilations, and tangible things in the possession, custody, or control of the party that are relevant to disputed issues alleged with particularity in the pleadings. When any document, data compilation, or other tangible thing that must be disclosed is publicly available from another source, such as at the NRC Web site, http://www.nrc.gov, and/or the NRC Public Document Room, a sufficient disclosure would be the location, the title and a page reference to the relevant document, data compilation, or tangible thing; (3) Unless otherwise stipulated by the parties or directed by order of the presiding officer, these disclosures must be made within 45 days after the issuance of a prehearing conference order following the initial prehearing conference specified in § 2.329. A party must make its initial disclosures based on the information then reasonably available to it. A party is not excused from making its disclosures because it has not fully completed its investigation of the case, because it challenges the sufficiency of another party's disclosures, or because another party has not made its disclosures. The duty of disclosure under this section is continuing. A disclosure update must be made every month after initial disclosures on a due date selected by the presiding officer, unless the parties agree upon a different due date or frequency. The disclosure update shall be limited to documents subject to disclosure under this section and does not need to incl… | |||
| 10:10:1.0.1.1.2.7.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.705 Discovery-additional methods. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 73 FR 63568, Oct. 24, 2008; 77 FR 46597, Aug. 3, 2012; 88 FR 57877, Aug. 24, 2023] | (a) Discovery methods. Parties may obtain discovery by one or more of the following methods: depositions upon oral examination or written interrogatories (§ 2.706); interrogatories to parties (§ 2.706); production of documents or things or permission to enter upon land or other property, for inspection and other purposes (§ 2.707); and requests for admission (§ 2.708). (b) Scope of discovery. Unless otherwise limited by order of the presiding officer in accordance with this section, the scope of discovery is as follows: (1) In general. Parties may obtain discovery regarding any matter, not privileged, that is relevant to the subject matter involved in the proceeding, whether it relates to the claim or defense of any other party, including the existence, description, nature, custody, condition, and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter. When any book, document, or other tangible thing sought is reasonably available from another source, such as at the NRC Web site, http://www.nrc.gov, and/or the NRC Public Document Room, sufficient response to an interrogatory on materials would be the location, the title and a page reference to the relevant book, document, or tangible thing. In a proceeding on an application for a construction permit or an operating license for a production or utilization facility, discovery begins only after the prehearing conference and relates only to those matters in controversy which have been identified by the Commission or the presiding officer in the prehearing order entered at the conclusion of that prehearing conference. In such a proceeding, discovery may not take place after the beginning of the prehearing conference held under § 2.329 except upon leave of the presiding officer upon good cause shown. It is not a ground for objection that the information sought will be inadmissible at the hearing if the information sought appears reasonably calculated to lead to the discov… | |||
| 10:10:1.0.1.1.2.7.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.706 Depositions upon oral examination and written interrogatories; interrogatories to parties. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 85 FR 70438, Nov. 5, 2020; 88 FR 57877, Aug. 24, 2023] | (a) Depositions upon oral examination and written interrogatories. (1) Any party desiring to take the testimony of any party or other person by deposition on oral examination or written interrogatories shall, without leave of the Commission or the presiding officer, give reasonable notice in writing to every other party, to the person to be examined and to the presiding officer of the proposed time and place of taking the deposition; the name and address of each person to be examined, if known, or if the name is not known, a general description sufficient to identify them or the class or group to which they belong; the matters upon which each person will be examined and the name or descriptive title and address of the officer before whom the deposition is to be taken. (2) [Reserved] (3) Within the United States, a deposition may be taken before any officer authorized to administer oaths by the laws of the United States or of the place where the examination is held. Outside of the United States, a deposition may be taken before a secretary of an embassy or legation, a consul general, vice consul or consular agent of the United States, or a person authorized to administer oaths designated by the Commission. (4) Before any questioning, the deponent shall either be sworn or affirm the truthfulness of their answers. Examination and cross-examination must proceed as at a hearing. Each question propounded must be recorded and the answer taken down in the words of the witness. Objections on questions of evidence must be noted in short form without the arguments. The officer may not decide on the competency, materiality, or relevancy of evidence but must record the evidence subject to objection. Objections on questions of evidence not made before the officer will not be considered waived unless the ground of the objection is one which might have been obviated or removed if presented at that time. (5) When the testimony is fully transcribed, the deposition must be submitted to the deponent for examination and signatu… | |||
| 10:10:1.0.1.1.2.7.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.707 Production of documents and things; entry upon land for inspections and other purposes. | NRC | (a) Request for discovery. Any party may serve on any other party a request to: (1) Produce and permit the party making the request, or a person acting on his or her behalf, to inspect and copy any designated documents, or to inspect and copy, test, or sample any tangible things which are within the scope of § 2.704 and which are in the possession, custody, or control of the party upon whom the request is served; or (2) Permit entry upon designated land or other property in the possession or control of the party upon whom the request is served for the purpose of inspection and measuring, surveying, photographing, testing, or sampling the property or any designated object or operation on the property, within the scope of § 2.704. (b) Service. The request may be served on any party without leave of the Commission or the presiding officer. Except as otherwise provided in § 2.704, the request may be served after the proceeding is set for hearing. (c) Contents. The request must identify the items to be inspected either by individual item or by category, and describe each item and category with reasonable particularity. The request must specify a reasonable time, place, and manner of making the inspection and performing the related acts. (d) Response. The party upon whom the request is served shall serve on the party submitting the request a written response within thirty (30) days after the service of the request. The response must state, with respect to each item or category, that inspection and related activities will be permitted as requested, unless the request is objected to, in which case the reasons for objection must be stated. If objection is made to part of an item or category, the part must be specified. (e) NRC records and documents. The provisions of paragraphs (a) through (d) of this section do not apply to the production for inspection and copying or photographing of NRC records or documents. Production of NRC records or documents is subject to the provisions of §§ 2.709 and 2.390. | ||||
| 10:10:1.0.1.1.2.7.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.708 Admissions. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 88 FR 57877, Aug. 24, 2023] | (a) Apart from any admissions made during or as a result of a prehearing conference, at any time after its answer has been filed, a party may file a written request for the admission of the genuineness and authenticity of any relevant document described in or attached to the request, or for the admission of the truth of any specified relevant matter of fact. A copy of the document for which an admission of genuineness and authenticity is requested must be delivered with the request unless a copy has already been furnished. (b)(1) Each requested admission is considered made unless, within a time designated by the presiding officer or the Commission, and not less than ten (10) days after service of the request or such further time as may be allowed on motion, the party to whom the request is directed serves on the requesting party either: (i) A sworn statement denying specifically the relevant matters of which an admission is requested or setting forth in detail the reasons why it can neither truthfully admit nor deny them; or (ii) Written objections on the ground that some or all of the matters involved are privileged or irrelevant or that the request is otherwise improper in whole or in part. (2) Answers on matters to which such objections are made may be deferred until the objections are determined. If written objections are made to only a part of a request, the remainder of the request must be answered within the time designated. (c) Admissions obtained under the procedure in this section may be used in evidence to the same extent and subject to the same objections as other admissions. | |||
| 10:10:1.0.1.1.2.7.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.709 Discovery against NRC staff. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 73 FR 63568, Oct. 24, 2008; 77 FR 46597, Aug. 3, 2012] | (a)(1) In a proceeding in which the NRC staff is a party, the NRC staff will make available one or more witnesses, designated by the Executive Director for Operations or a delegee of the Executive Director for Operations, for oral examination at the hearing or on deposition regarding any matter, not privileged, that is relevant to the issues in the proceeding. The attendance and testimony of the Commissioners and named NRC personnel at a hearing or on deposition may not be required by the presiding officer, by subpoena or otherwise. However, the presiding officer may, upon a showing of exceptional circumstances, such as a case in which a particular named NRC employee has direct personal knowledge of a material fact not known to the witnesses made available by the Executive Director for Operations or a delegee of the Executive Director for Operations, require the attendance and testimony of named NRC personnel. (2) A party may file with the presiding officer written interrogatories to be answered by NRC personnel with knowledge of the facts, as designated by the Executive Director for Operations, or a delegee of the Executive Director for Operations. Upon a finding by the presiding officer that answers to the interrogatories are necessary to a proper decision in the proceeding and that answers to the interrogatories are not reasonably obtainable from any other source, the presiding officer may require that the NRC staff answer the interrogatories. (3) A deposition of a particular named NRC employee or answer to interrogatories by NRC personnel under paragraphs (a)(1) and (2) of this section may not be required before the matters in controversy in the proceeding have been identified by order of the Commission or the presiding officer, or after the beginning of the prehearing conference held in accordance with § 2.329, except upon leave of the presiding officer for good cause shown. (4) The provisions of § 2.704(c) and (e) apply to interrogatories served under this paragraph. (5) Records or documents in the cust… | |||
| 10:10:1.0.1.1.2.7.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.710 Motions for summary disposition. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 77 FR 46598, Aug. 3, 2012; 88 FR 57877, Aug. 24, 2023] | (a) Any party to a proceeding may move, with or without supporting affidavits, for a decision by the presiding officer in that party's favor as to all or any part of the matters involved in the proceeding. Summary disposition motions must be filed no later than 20 days after the close of discovery. The moving party shall attach to the motion a short and concise statement of the material facts as to which the moving party contends that there is no genuine issue to be heard. Any other party may serve an answer supporting or opposing the motion, with or without affidavits, within 20 days after service of the motion. The party shall attach to any answer opposing the motion a short and concise statement of the material facts as to which it is contended there exists a genuine issue to be heard. All material facts set forth in the statement required to be served by the moving party will be considered to be admitted unless controverted by the statement required to be served by the opposing party. The opposing party may, within 10 days after service, respond in writing to new facts and arguments presented in any statement filed in support of the motion. No further supporting statements or responses to the motion will be entertained. (b) Affidavits must set forth the facts that would be admissible in evidence, and must demonstrate affirmatively that the affiant is competent to testify to the matters stated in the affidavit. The presiding officer may permit affidavits to be supplemented or opposed by depositions, answers to interrogatories or further affidavits. When a motion for summary decision is made and supported as provided in this section, a party opposing the motion may not rest upon the mere allegations or denials of its answer. The answer by affidavits or as otherwise provided in this section must set forth specific facts showing that there is a genuine issue of fact. If no answer is filed, the decision sought, if appropriate, must be rendered. (c) Should it appear from the affidavits of a party opposing the mot… | |||
| 10:10:1.0.1.1.2.7.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.711 Evidence. | NRC | [69 FR 2256, Jan. 14, 2004, as amended at 85 FR 70438, Nov. 5, 2020; 88 FR 57877, Aug. 24, 2023; 89 FR 67834, Aug. 22, 2024; 90 FR 54227, Nov. 26, 2025] | (a) General. Every party to a proceeding has the right to present oral or documentary evidence and rebuttal evidence and to conduct, in accordance with an approved cross-examination plan that contains the information specified in paragraph (c) of this section, any cross-examination required for full and true disclosure of the facts. (b) Testimony. The parties shall submit direct testimony of witnesses in written form, unless otherwise ordered by the presiding officer on the basis of objections presented. In any proceeding in which advance written testimony is to be used, each party shall serve copies of its proposed written testimony on every other party at least fifteen (15) days in advance of the session of the hearing at which its testimony is to be presented. The presiding officer may permit the introduction of written testimony not so served, either with the consent of all parties present or after they have had a reasonable opportunity to examine it. Written testimony must be offered and admitted in evidence as an exhibit or, in the discretion of the presiding officer, may be incorporated into the transcript of the record as if read. (c) Cross-examination. (1) The presiding officer shall require a party seeking an opportunity to cross-examine to request permission to do so in accordance with a schedule established by the presiding officer. A request to conduct cross-examination must be accompanied by a cross-examination plan containing the following information: (i) A brief description of the issue or issues on which cross-examination will be conducted; (ii) The objective to be achieved by cross-examination; and (iii) The proposed line of questions that may logically lead to achieving the objective of the cross-examination. (2) The cross-examination plan may be submitted only to the presiding officer and must be kept by the presiding officer in confidence until issuance of the initial decision on the issue being litigated. The presiding officer shall then provide each cross-examination plan to th… | |||
| 10:10:1.0.1.1.2.7.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.712 Proposed findings and conclusions. | NRC | (a) Any party to a proceeding may, or if directed by the presiding officer shall, file proposed findings of fact and conclusions of law, briefs and a proposed form of order or decision within the time provided by this section, except as otherwise ordered by the presiding officer: (1) The party who has the burden of proof shall, within thirty (30) days after the record is closed, file proposed findings of fact and conclusions of law and briefs, and a proposed form of order or decision. (2) Other parties may file proposed findings, conclusions of law and briefs within forty (40) days after the record is closed. (3) A party who has the burden of proof may reply within five (5) days after filing of proposed findings and conclusions of law and briefs by other parties. (b) Failure to file proposed findings of fact, conclusions of law, or briefs when directed to do so may be considered a default, and an order or initial decision may be entered accordingly. (c) Proposed findings of fact must be clearly and concisely set forth in numbered paragraphs and must be confined to the material issues of fact presented on-the-record, with exact citations to the transcript of record and exhibits in support of each proposed finding. Proposed conclusions of law must be set forth in numbered paragraphs as to all material issues of law or discretion presented on-the-record. An intervenor's proposed findings of fact and conclusions of law must be confined to issues which that party placed in controversy or sought to place in controversy in the proceeding. | ||||
| 10:10:1.0.1.1.2.7.23.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.713 Initial decision and its effect. | NRC | (a) After hearing, the presiding officer will render an initial decision which will constitute the final action of the Commission forty (40) days after its date unless any party petitions for Commission review in accordance with § 2.341 or the Commission takes review sua sponte. (b) Where the public interest so requires, the Commission may direct that the presiding officer certify the record to it without an initial decision, and may: (1) Prepare its own decision which will become final unless the Commission grants a petition for reconsideration under § 2.345; or (2) Omit an initial decision on a finding that due and timely execution of its functions imperatively and unavoidably so requires. (c) An initial decision will be in writing and will be based on the whole record and supported by reliable, probative, and substantial evidence. The initial decision will include: (1) Findings, conclusions, and rulings, with the reasons or basis for them, on all material issues of fact, law, or discretion presented on-the-record; (2) All facts officially noticed and relied on in making the decision; (3) The appropriate ruling, order, or denial of relief with the effective date; (4) The time within which a petition for review of the decision may be filed, the time within which answers in support of or in opposition to a petition for review filed by another party may be filed and, in the case of an initial decision which may become final in accordance with paragraph (a) of this section, the date when it may become final. | ||||
| 10:10:1.0.1.1.2.8.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.800 Scope and applicability. | NRC | [72 FR 49481, Aug. 28, 2007] | (a) This subpart governs the issuance, amendment, and repeal of regulations in which participation by interested persons is prescribed under Section 553 of title 5 of the U.S. Code. (b) The procedures in §§ 2.804 through 2.810 apply to all rulemakings. (c) The procedures in §§ 2.802 through 2.803 apply to all petitions for rulemaking except for initial applications for standard design certification rulemaking under subpart B of part 52 of this chapter, and subsequent petitions for amendment of an existing design certification rule filed by the original applicant for the design certification rule. (d) The procedures in §§ 2.811 through 2.819, as supplemented by the provisions of subpart B of part 52, apply to standard design certification rulemaking. | |||
| 10:10:1.0.1.1.2.8.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.801 Initiation of rulemaking. | NRC | [72 FR 49482, Aug. 28, 2007] | Rulemaking may be initiated by the Commission at its own instance, on the recommendation of another agency of the United States, or on the petition of any other interested person, including an application for design certification under subpart B of part 52 of this chapter. | |||
| 10:10:1.0.1.1.2.8.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.802 Petition for rulemaking—requirements for filing. | NRC | [80 FR 60526, Oct. 7, 2015, as amended at 83 FR 30287, June 28, 2018; 84 FR 65644, Nov. 29, 2019] | (a) Filing a petition for rulemaking. Any person may petition the Commission to issue, amend, or rescind any regulation in 10 CFR chapter I. The petition for rulemaking should be addressed to the Secretary, Attention: Rulemakings and Adjudications Staff, and sent by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by email to Rulemaking. Comments@nrc.gov; or by hand delivery to 11555 Rockville Pike, Rockville, Maryland 20852, between 7:30 a.m. and 4:15 p.m. (Eastern time) on Federal workdays. (b) Consultation with the NRC. A petitioner may consult with the NRC staff before and after filing a petition for rulemaking by contacting the Chief, Regulatory Analysis and Rulemaking Support Branch, Division of Rulemaking, Environmental, and Financial Support, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; telephone: 1-800-368-5642. (1) In any consultation regarding the drafting or amendment of a petition for rulemaking, the assistance that the NRC staff may provide is limited to the following: (i) Describing the process for filing, docketing, tracking, closing, amending, withdrawing, and resolving a petition for rulemaking; (ii) Clarifying an existing NRC regulation and the basis for the regulation; and (iii) Assisting the petitioner to clarify a petition for rulemaking so that the Commission is able to understand the issues of concern to the petitioner. (2) In any consultation regarding the drafting or amendment of a petition for rulemaking, in providing the assistance permitted in paragraph (b)(1) of this section, the NRC staff will not draft or develop text or alternative approaches to address matters in the petition for rulemaking. (3) In any consultation regarding a petition for rulemaking, the NRC staff will not advise a petitioner on whether a petition should be amended or withdrawn. (c) Content of petition. (1) Each petition for rulemaking filed under this section must clearly and concisely: (i) S… | |||
| 10:10:1.0.1.1.2.8.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.803 Petition for rulemaking—NRC action. | NRC | [80 FR 60526, Oct. 7, 2015] | (a) Notification of receipt. Following receipt of a petition for rulemaking, the NRC will acknowledge its receipt to the petitioner. (b) Docketing review. (1) The NRC will evaluate the petition for rulemaking, including supporting data or information submitted under § 2.802(c), for sufficiency according to the review criteria in § 2.803(b). (2) If the NRC determines that the petition for rulemaking does not include the information set out in § 2.802(c), that the regulatory change sought by the petitioner is not within the legal authority of the NRC, or that the petition for rulemaking does not raise a potentially valid issue that warrants further consideration, then the NRC will notify the petitioner in writing and explain the deficiencies in the petition for rulemaking. (3) The petitioner may resubmit the petition for rulemaking without prejudice. (c) Docketing. (1) The NRC will docket a petition for rulemaking and assign a docket number to the petition if the NRC determines the following: (i) The petition for rulemaking includes the information required by paragraph § 2.802(c), (ii) The regulatory change sought by the petitioner is within the NRC's legal authority, and (iii) The petition for rulemaking raises a potentially valid issue that warrants further consideration. (2) A copy of the docketed petition for rulemaking will be posted in the NRC's Agencywide Documents Access and Management System (ADAMS) and on the Federal rulemaking Web site at: http://www.regulations.gov . The NRC will publish a notice of docketing in the Federal Register informing the public that the NRC is reviewing the merits of the petition for rulemaking. The notice of docketing will include the docket number and explain how the public may track the status of the petition for rulemaking. (d) NRC communication with petitioners. If the petition is signed by multiple petitioners, any NRC obligation to inform a petitioner (as may be required under 10 CFR part 2, subpart H) is satisfied, with respect to all petitioners, w… | |||
| 10:10:1.0.1.1.2.8.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.804 Notice of proposed rulemaking. | NRC | [27 FR 377, Jan. 13, 1962, as amended at 50 FR 13010, Apr. 2, 1985; 64 FR 48949, Sept. 9, 1999] | (a) Except as provided by paragraph (d) of this section, when the Commission proposes to adopt, amend, or repeal a regulation, it will cause to be published in the Federal Register a notice of proposed rulemaking, unless all persons subject to the notice are named and either are personally served or otherwise have actual notice in accordance with law. (b) The notice will include: (1) Either the terms or substance of the proposed rule, or a specification of the subjects and issues involved; (2) The manner and time within which interested members of the public may comment, and a statement that copies of comments may be examined will be made available at the NRC Web site, http://www.nrc.gov; (3) The authority under which the regulation is proposed; (4) The time, place, and nature of the public hearing, if any; (5) If a hearing is to be held, designation of the presiding officer and any special directions for the conduct of the hearing; and (6) Such explanatory statement as the Commission may consider appropriate. (c) The publication or service of notice will be made not less than fifteen (15) days prior to the time fixed for hearing, if any, unless the Commission for good cause stated in the notice provides otherwise. (d) The notice and comment provisions contained in paragraphs (a), (b), and (c) of this section will not be required to be applied— (1) To interpretative rules, general statements of policy, or rules of agency organization, procedure, or practice; or (2) When the Commission for good cause finds that notice and public comment are impracticable, unnecessary, or contrary to the public interest, and are not required by statute. This finding, and the reasons therefor, will be incorporated into any rule issued without notice and comment for good cause. (e) The Commission shall provide for a 30-day post-promulgation comment period for— (1) Any rule adopted without notice and comment under the good cause exception on paragraph (d)(2) of this section where the basis is that notice and comment is… | |||
| 10:10:1.0.1.1.2.8.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.805 Participation by interested persons. | NRC | [27 FR 377, Jan. 13, 1962, as amended at 50 FR 13010, Apr. 2, 1985; 50 FR 15865, Apr. 22, 1985] | (a) In all rulemaking proceedings conducted under the provisions of § 2.804(a), the Commission will afford interested persons an opportunity to participate through the submission of statements, information, opinions, and arguments in the manner stated in the notice. The Commission may grant additional reasonable opportunity for the submission of comments. (b) The Commission may hold informal hearings at which interested persons may be heard, adopting procedures which in its judgment will best serve the purpose of the hearing. | |||
| 10:10:1.0.1.1.2.8.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.806 Commission action. | NRC | The Commission will incorporate in the notice of adoption of a regulation a concise general statement of its basis and purpose, and will cause the notice and regulation to be published in the Federal Register or served upon affected persons. | ||||
| 10:10:1.0.1.1.2.8.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.807 Effective date and sunsetting. | NRC | [90 FR 55627, Dec. 3, 2025] | (a) The notice of adoption of a regulation will specify the effective date. Publication or service of the notice and regulation, other than one granting or recognizing exemptions or relieving from restrictions, will be made not less than thirty (30) days prior to the effective date unless the Commission directs otherwise on good cause found and published in the notice of rulemaking. (b) All regulations promulgated after January 8, 2026, under the authority of the Atomic Energy Act of 1954, the Energy Reorganization Act of 1974, or the Nuclear Waste Policy Act of 1982 that are not required by statute or not part of a regulatory permitting regime authorized by statute, will include a conditional sunset date that will not be more than 5 years in the future from the effective date of the regulation. | |||
| 10:10:1.0.1.1.2.8.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.808 Authority of the Secretary to rule on procedural matters. | NRC | [39 FR 24219, July 1, 1974, as amended at 72 FR 49152, Aug. 28, 2007] | When briefs, motions or other documents listed herein are submitted to the Commission itself, as opposed to officers who have been delegated authority to act for the Commission, the Secretary or the Assistant Secretary is authorized to: (a) Prescribe schedules for the filing of statements, information, briefs, motions, responses or other pleadings, where such schedules may differ from those elsewhere prescribed in these rules or where these rules do not prescribe a schedule; (b) Rule on motions for extensions of time; (c) Reject motions, briefs, pleadings, and other documents filed with the Commission later than the time prescribed by the Secretary or the Assistant Secretary or established by an order, rule, or regulation of the Commission unless good cause is shown for the late filing; and (d) Prescribe all procedural arrangements relating to any oral argument to be held before the Commission. | |||
| 10:10:1.0.1.1.2.8.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.809 Participation by the Advisory Committee on Reactor Safeguards. | NRC | [46 FR 22358, Apr. 17, 1981, as amended at 64 FR 48949, Sept. 9, 1999] | (a) In its advisory capacity to the Commission, the ACRS may recommend that the Commission initiate rulemaking in a particular area. The Commission will respond to such rulemaking recommendation in writing within 90 days, noting its intent to implement, study, or defer action on the recommendation. In the event the Commission decides not to accept or decides to defer action on the recommendation, it will give its reasons for doing so. Both the ACRS recommendation and the Commission's response will be made available at the NRC Web site, http://www.nrc.gov, following transmittal of the Commission's response to the ACRS. (b) When a rule involving nuclear safety matters within the purview of the ACRS is under development by the NRC Staff, the Staff will ensure that the ACRS is given an opportunity to provide advice at appropriate stages and to identify issues to be considered during rulemaking hearings. | |||
| 10:10:1.0.1.1.2.8.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.810 NRC size standards. | NRC | [60 FR 18346, Apr. 11, 1995, as amended at 62 FR 26220, May 13, 1997; 72 FR 44953, Aug. 10, 2007; 73 FR 42673, July 23, 2008; 77 FR 39387, July 3, 2012; 79 FR 66601, Nov. 10, 2014; 87 FR 8946, Feb. 17, 2022] | The NRC shall use the size standards contained in this section to determine whether a licensee qualifies as a small entity in its regulatory programs. (a) A small business is a for-profit concern and is a— (1) Concern that provides a service or a concern not engaged in manufacturing with average gross receipts of $8.0 million or less over its last 5 completed fiscal years; or (2) Manufacturing concern with an average number of 500 or fewer employees based upon employment during each pay period for the preceding 12 calendar months. (b) A small organization is a not-for-profit organization which is independently owned and operated and has annual gross receipts of $8.0 million or less. (c) A small governmental jurisdiction is a government of a city, county, town, township, village, school district, or special district with a population of less than 50,000. (d) A small educational institution is one that is— (1) Supported by a qualifying small governmental jurisdiction; or (2) Not state or publicly supported and has 500 or fewer employees. (e) For the purposes of this section, the NRC shall use the Small Business Administration definition of receipts (13 CFR 121.104). A licensee who is a subsidiary of a large entity does not qualify as a small entity for purposes of this section. (f) Whenever appropriate in the interest of administering statutes and regulations within its jurisdiction, it is the practice of the NRC to answer inquiries from small entities concerning information on and advice about compliance with the statutes and regulations that affect them. To help small entities obtain information quickly, the NRC has established a toll-free telephone number at 1-800-368-5642. | |||
| 10:10:1.0.1.1.2.8.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.811 Filing of standard design certification application; required copies. | NRC | [72 FR 49482, Aug. 28, 2007, as amended at 74 FR 62679, Dec. 1, 2009; 77 FR 46598, Aug. 3, 2012; 80 FR 60527, Oct. 7, 2015; 80 FR 74978, Dec. 1, 2015; 84 FR 65644, Nov. 29, 2019] | (a) Serving of applications. The signed original of an application for a standard design certification, including all amendments to the applications, must be sent either by mail addressed: ATTN: Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by facsimile; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland, between the hours of 7:30 a.m. and 4:15 p.m. eastern time; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, e-mail, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov ; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. If the communication is on paper, the signed original must be sent. (b) Form of application. Each original of an application and an amendment of an application must meet the requirements in § 2.813. (c) Capability to provide additional copies. The applicant shall maintain the capability to generate additional copies of the general information and the safety analysis report, or part thereof or amendment thereto, for subsequent distribution in accordance with the written instructions of the Director, Office of Nuclear Reactor Regulation, or the Director, Office of Nuclear Material Safety and Safeguards, as appropriate. (d) Public hearing copy. In any hearing conducted under subpart O of this part for a design certification rulemaking, the applicant must make a copy of the updated application available at the publ… | |||
| 10:10:1.0.1.1.2.8.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.813 Written communications. | NRC | [72 FR 49482, Aug. 28, 2007, as amended at 74 FR 62679, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | (a) General requirements. All correspondence, reports, and other written communications from the applicant to the Nuclear Regulatory Commission concerning the regulations in this subpart, and parts 50, 52, and 100 of this chapter must be sent either by mail addressed: ATTN: Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland, between the hours of 7:30 a.m. and 4:15 p.m. eastern time; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, e-mail, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. If the communication is on paper, the signed original must be sent. If a submission due date falls on a Saturday, Sunday, or Federal holiday, the next Federal working day becomes the official due date. (b) Form of communications. All paper copies submitted to meet the requirements set forth in paragraph (a) of this section must be typewritten, printed or otherwise reproduced in permanent form on unglazed paper. Exceptions to these requirements imposed on paper submissions may be granted for the submission of micrographic, photographic, or similar forms. (c) Regulation governing submission. An applicant submitting correspondence, reports, and other written communications under the regulations of this chapter is requested but not required to cite when… | |||
| 10:10:1.0.1.1.2.8.23.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.815 Docketing and acceptance review. | NRC | [72 FR 49482, Aug. 28, 2007] | (a) Each application for a standard design certification will be assigned a docket number. However, to allow a determination as to whether an application is complete and acceptable for docketing, it will be initially treated as a tendered application. A copy of the tendered application will be available for public inspection at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public Document Room. Generally, the determination on acceptability for docketing will be made within a period of 30 days. The Commission may decide to determine acceptability on the basis of the technical adequacy of the application as well as its completeness. (b) If the Commission determines that a tendered application is complete and acceptable for docketing, a docket number will be assigned to the application or part thereof, and the applicant will be notified of the determination. | |||
| 10:10:1.0.1.1.2.8.23.15 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.817 Withdrawal of application. | NRC | [72 FR 49482, Aug. 28, 2007] | (a) The Commission may permit an applicant to withdraw an application for a standard design certification before the issuance of a notice of proposed rulemaking on such terms and conditions as the Commission may prescribe, or may, on receiving a request for withdrawal of an application, deny the application or dismiss it without prejudice. The NRC will publish in the Federal Register a document withdrawing the application, if the notice of receipt of the application, an advance notice of proposed rulemaking, or a notice of proposed rulemaking for the standard design certification has been previously published in the Federal Register. If the notice of receipt, advance notice of proposed rulemaking or notice of proposed rulemaking was published on the NRC Web site, then the notice of action on the withdrawal will also be published on the NRC Web site. (b) The withdrawal of an application does not authorize the removal of any document from the files of the Commission. | |||
| 10:10:1.0.1.1.2.8.23.16 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.819 Denial of application for failure to supply information. | NRC | [72 FR 49482, Aug. 28, 2007] | (a) The Commission may deny an application for a standard design certification if an applicant fails to respond to a request for additional information within 30 days from the date of the request, or within such other time as may be specified. (b) If the Commission denies an application because the applicant has failed to respond in a timely fashion to a request for additional information, the NRC will publish in the Federal Register a notice of denial and will notify the applicant with a simple statement of the grounds of denial. If a notice of receipt of application, advance notice of proposed rulemaking, or notice of proposed rulemaking for a standard design certification was published on the NRC Web site, then the notice of action on the denial will also be published on the NRC Web site. | |||
| 10:10:1.0.1.1.2.9.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.900 Purpose. | NRC | This subpart is issued pursuant to section 181 of the Atomic Energy Act of 1954, as amended, and section 201 of the Energy Reorganization Act of 1974, as amended, to provide such procedures in proceedings subject to this part as will effectively safeguard and prevent disclosure of Restricted Data and National Security Information to unauthorized persons, with minimum impairment of procedural rights. | ||||
| 10:10:1.0.1.1.2.9.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.901 Scope of subpart I. | NRC | [69 FR 2264, Jan. 14, 2004] | This subpart applies, as applicable, to all proceedings under subparts G, J, K, L, M, and N of this part. | |||
| 10:10:1.0.1.1.2.9.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.902 Definitions. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 47 FR 56314, Dec. 16, 1982; 69 FR 2264, Jan. 14, 2004] | As used in this subpart: (a) Government agency means any executive department, commission, independent establishment, corporation, wholly or partly owned by the United States of America, which is an instrumentality of the United States, or any board, bureau, division, service, office, officer, authority, administration, or other establishment in the executive branch of the Government. (b) Interested party means a party having an interest in the issue or issues to which particular Restricted Data or National Security Information is relevant. Normally the interest of a party in an issue may be determined by examination of the notice of hearing, the answers and replies. (c) The phrase introduced into a proceeding refers to the introduction or incorporation of testimony or documentary matter into any part of the official record of a proceeding subject to this part. (d) National Security Information means information that has been classified pursuant to Executive Order 12356. (e) Party, in the case of proceedings subject to this subpart includes a person admitted as a party under § 2.309 or an interested State admitted under § 2.315(c). | |||
| 10:10:1.0.1.1.2.9.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.903 Protection of restricted data and national security information. | NRC | Nothing in this subpart shall relieve any person from safeguarding Restricted Data or National Security Information in accordance with the applicable provisions of laws of the United States and rules, regulations or orders of any Government Agency. | ||||
| 10:10:1.0.1.1.2.9.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.904 Classification assistance. | NRC | On request of any party to a proceeding or of the presiding officer, the Commission will designate a representative to advise and assist the presiding officer and the parties with respect to security classification of information and the safeguards to be observed. | ||||
| 10:10:1.0.1.1.2.9.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.905 Access to restricted data and national security information for parties; security clearances. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 88 FR 57877, Aug. 24, 2023] | (a) Access to restricted data and national security information introduced into proceedings. Except as provided in paragraph (h) of this section, restricted data or national security information introduced into a proceeding subject to this part will be made available to any interested party having the required security clearance; to counsel for an interested party provided the counsel has the required security clearance; and to such additional persons having the required security clearance as the Commission or the presiding officer determined are needed by such party for adequate preparation or presentation of the case. Where the interest of such party will not be prejudiced, the Commission or presiding officer may postpone action upon an application for access under this paragraph until after a notice of hearing, answers, and replies have been filed. (b) Access to Restricted Data or National Security Information not introduced into proceedings. (1) On application showing that access to Restricted Data or National Security Information may be required for the preparation of a party's case, and except as provided in paragraph (h) of this section, the Commission or the presiding officer will issue an order granting access to such Restricted Data or National Security Information to the party upon obtaining the required security clearance, to counsel for the party upon their obtaining the required security clearance, and to such other individuals as may be needed by the party for the preparation and presentation of the case upon their obtaining the required clearance. (2) Where the interest of the party applying for access will not be prejudiced, the Commission or the presiding officer may postpone action on an application pursuant to this paragraph until after a notice of hearing, answers and replies have been filed. (c) The Commission will consider requests for appropriate security clearances in reasonable numbers pursuant to this section. A reasonable charge will be made by the Commission for costs of securi… | |||
| 10:10:1.0.1.1.2.9.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.906 Obligation of parties to avoid introduction of restricted data or national security information. | NRC | It is the obligation of all parties in a proceeding subject to this part to avoid, where practicable, the introduction of Restricted Data or National Security Information into the proceeding. This obligation rests on each party whether or not all other parties have the required security clearance. | ||||
| 10:10:1.0.1.1.2.9.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.907 Notice of intent to introduce restricted data or national security information. | NRC | (a) If, at the time of publication of a notice of hearing, it appears to the staff that it will be impracticable for it to avoid the introduction of Restricted Data or National Security Information into the proceeding, it will file a notice of intent to introduce Restricted Data or National Security Information. (b) If, at the time of filing of an answer to the notice of hearing it appears to the party filing that it will be impracticable for the party to avoid the introduction of Restricted Data or National Security Information into the proceeding, the party shall state in the answer a notice of intent to introduce Restricted Data or National Security Information into the proceeding. (c) If, at any later stage of a proceeding, it appears to any party that it will be impracticable to avoid the introduction of Restricted Data or National Security Information into the proceeding, the party shall give to the other parties prompt written notice of intent to introduce Restricted Data or National Security Information into the proceeding. (d) Restricted Data or National Security Information shall not be introduced into a proceeding after publication of a notice of hearing unless a notice of intent has been filed in accordance with § 2.908, except as permitted in the discretion of the presiding officer when it is clear that no party or the public interest will be prejudiced. | ||||
| 10:10:1.0.1.1.2.9.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.908 Contents of notice of intent to introduce restricted data or other national security information. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 88 FR 57877, Aug. 24, 2023] | (a) A party who intends to introduce Restricted Data or other National Security Information shall file a notice of intent with the Secretary. The notice shall be unclassified and, to the extent consistent with classification requirements, shall include the following: (1) The subject matter of the Restricted Data or other National Security Information which it is anticipated will be involved; (2) The highest level of classification of the information (confidential, secret, or other); (3) The stage of the proceeding at which the party anticipates a need to introduce the information; and (4) The relevance and materiality of the information to the issues on the proceeding. (b) In the discretion of the presiding officer, such notice, when required by § 2.907(c), may be given orally on the record. | |||
| 10:10:1.0.1.1.2.9.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.909 Rearrangement or suspension of proceedings. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 88 FR 57877, Aug. 24, 2023] | In any proceeding subject to this part where a party gives a notice of intent to introduce Restricted Data or other National Security Information, and the presiding officer determines that any other interested party does not have required security clearances, the presiding officer may in their discretion: (a) Rearrange the normal order of the proceeding in a manner which gives such interested parties an opportunity to obtain required security clearances with minimum delay in the conduct of the proceeding. (b) Suspend the proceeding or any portion of it until all interested parties have had opportunity to obtain required security clearances. No proceeding shall be suspended for such reasons for more than 100 days except with the consent of all parties or on a determination by the presiding officer that further suspension of the proceeding would not be contrary to the public interest. (c) Take such other action as they determine to be in the best interest of all parties to the public. | |||
| 10:10:1.0.1.1.2.9.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.910 Unclassified statements required. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 88 FR 57877, Aug. 24, 2023] | (a) Whenever Restricted Data or other National Security Information is introduced into a proceeding, the party offering it shall submit to the presiding officer and to all parties to the proceeding an unclassified statement setting forth the information in the classified matter as accurately and completely as possible. (b) In accordance with such procedures as may be agreed upon by the parties or prescribed by the presiding officer, and after notice to all parties and opportunity to be heard thereon, the presiding officer shall determine whether the unclassified statement or any portion of it, together with any appropriate modifications suggested by any party, may be substituted for the classified matter or any portion of it without prejudice to the interest of any party or to the public interest. (c) If the presiding officer determines that the unclassified statement, together with such unclassified modifications as they find are necessary or appropriate to protect the interest of other parties and the public interest, adequately sets forth information in the classified matter which is relevant and material to the issues in the proceeding, they shall direct that the classified matter be excluded from the record of the proceeding. The presiding officer's determination will be considered by the Commission as a part of the decision in the event of review. (d) If the presiding officer determines that an unclassified statement does not adequately present the information contained in the classified matter which is relevant and material to the issues in the proceeding, they shall include their reasons in their determination. This determination shall be included as part of the record and will be considered by the Commission in the event of review of the determination. (e) The presiding officer may postpone all or part of the procedures established in this section until the reception of all other evidence has been completed. Service of the unclassified statement required in paragraph (a) of this section shall not be … | |||
| 10:10:1.0.1.1.2.9.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.911 Admissibility of restricted data or other national security information. | NRC | [41 FR 53329, Dec. 6, 1976, as amended at 86 FR 43401, Aug. 9, 2021] | A presiding officer shall not receive any Restricted Data or other National Security Information in evidence unless: (a) The relevance and materiality of the Restricted Data or other National Security Information to the issues in the proceeding, and its competence, are clearly established; and (b) The exclusion of the Restricted Data or other National Security Information would prejudice the interests of a party or the public interest. | |||
| 10:10:1.0.1.1.2.9.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.912 Weight to be attached to classified evidence. | NRC | In considering the weight and effect of any Restricted Data or other National Security Information received in evidence to which an interested party has not had opportunity to receive access, the presiding officer and the Commission shall give to such evidence such weight as is appropriate under the circumstances, taking into consideration any lack of opportunity to rebut or impeach the evidence. | ||||
| 10:10:1.0.1.1.2.9.23.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.913 Review of Restricted Data or other National Security Information received in evidence. | NRC | At the close of the reception of evidence, the presiding officer shall review the record and shall direct that any Restricted Data or other National Security Information be expunged from the record where such expunction would not prejudice the interests of a party or the public interest. Such directions by the presiding officer will be considered by the Commission in the event of review of the determinations of the presiding officer. | ||||
| 10:10:1.0.1.1.2.10.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1000 Scope of this subpart. | NRC | [90 FR 54227, Nov. 26, 2025] ] | The rules in this subpart, together with the rules in subparts C and G of this part, govern the procedure for an application for authorization to construct a high-level radioactive waste repository at a geologic repository operations area noticed under § 2.101(f)(8) or § 2.105(a)(5), and for an application for a license to receive and possess high-level radioactive waste at a geologic repository operations area. The procedures in this subpart take precedence over those in subpart C, except for the following provisions: §§ 2.303; 2.307; 2.309; 2.312; 2.313; 2.314; 2.315; 2.316; 2.317(a); 2.318; 2.319; 2.320; 2.321; 2.322; 2.323; 2.324; 2.325; 2.326; 2.327; 2.328; 2.330; 2.331; 2.333; 2.335; 2.337(a) through (f); 2.338; 2.339; 2.342; 2.343; 2.344; 2.345; 2.346; 2.348; and 2.390. The procedures in this subpart take precedence over those in subpart G, except for the following provisions: §§ 2.701, 2.702; 2.703; 2.708; 2.709; 2.710; 2.711(a) through (d); and 2.712. | |||
| 10:10:1.0.1.1.2.10.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1001 Definitions. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991; 63 FR 71736, Dec. 30, 1998; 66 FR 29465, May 31, 2001; 66 FR 55788, Nov. 2, 2001; 69 FR 2264, Jan. 14, 2004; 69 FR 32848, June 14, 2004] | Bibliographic header means the minimum series of descriptive fields that a potential party, interested governmental participant, or party must submit with a document or other material. Circulated draft means a nonfinal document circulated for supervisory concurrence or signature in which the original author or others in the concurrence process have non-concurred. A “circulated draft” meeting the above criterion includes a draft of a document that eventually becomes a final document, and a draft of a document that does not become a final document due to either a decision not to finalize the document or the passage of a substantial period of time in which no action has been taken on the document. Complex document means a document that consists (entirely or in part) of electronic files having substantial portions that are neither textual nor image in nature, and graphic or other Binary Large Objects that exceed 50 megabytes and cannot logically be divided. For example, specialized submissions may include runtime executable software, viewer or printer executables, dynamic link library (.dll) files, large data sets associated with an executable, and actual software code for analytical programs that a party may intend to introduce into the proceeding. Document means any written, printed, recorded, magnetic, graphic matter, or other documentary material, regardless of form or characteristic. Documentary material means: (1) Any information upon which a party, potential party, or interested governmental participant intends to rely and/or to cite in support of its position in the proceeding for a construction authorization for a high-level radioactive waste repository at a geologic repository operations area pursuant to parts 60 or 63 of this chapter, a license to receive and possess high-level radioactive waste at a geologic repository operations area pursuant to parts 60 or 63 of this chapter; (2) Any information that is known to, and in the possession of, or developed by the party that is relevant to, but doe… | |||
| 10:10:1.0.1.1.2.10.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1002 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.10.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1003 Availability of material. | NRC | [63 FR 71737, Dec. 30, 1998, as amended at 66 FR 29465, May 31, 2001; 69 FR 2264, Jan. 14, 2004; 69 FR 32848, June 14, 2004; 73 FR 63569, Oct. 24, 2008] | (a) Subject to the exclusions in § 2.1005 and paragraphs (b), (c), and (e) of this section, DOE shall make available, no later than six months in advance of submitting its license application for a geologic repository, the NRC shall make available no later than thirty days after the DOE certification of compliance under § 2.1009(b), and each other potential party, interested governmental participant or party shall make available no later than ninety days after the DOE certification of compliance under § 2.1009(b)— (1) An electronic file including bibliographic header for all documentary material (including circulated drafts but excluding preliminary drafts) generated by, or at the direction of, or acquired by, a potential party, interested governmental participant or party; provided, however, that an electronic file need not be provided for acquired documentary material that has already been made available by the potential party, interested governmental participant or party that originally created the documentary material. Concurrent with the production of the electronic files will be an authentication statement for posting on the LSN Web site that indicates where an authenticated image copy of the documents can be obtained. (2) In electronic image format, subject to the claims of privilege in § 2.1006, graphic-oriented documentary material that includes raw data, computer runs, computer programs and codes, field notes, laboratory notes, maps, diagrams and photographs, which have been printed, scripted, or hand written. Text embedded within these documents need not be separately entered in searchable full text. A bibliographic header must be provided for all graphic-oriented documentary material. Graphic-oriented documents may include— (i) Calibration procedures, logs, guidelines, data and discrepancies; (ii) Gauge, meter and computer settings; (iii) Probe locations; (iv) Logging intervals and rates; (v) Data logs in whatever form captured; (vi) Text data sheets; (vii) Equations and sampling rates; (vii… | |||
| 10:10:1.0.1.1.2.10.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1004 Amendments and additions. | NRC | [63 FR 71737, Dec. 30, 1998] | Any document that has not been provided to other parties in electronic form must be identified in an electronic notice and made available for inspection and copying by the potential party, interested governmental participant, or party responsible for the submission of the document within five days after it has been requested unless some other time is approved by the Pre-License Application Presiding Officer or the Presiding Officer designated for the high-level waste proceeding. The time allowed under this paragraph will be stayed pending Officer action on a motion to extend the time. | |||
| 10:10:1.0.1.1.2.10.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1005 Exclusions. | NRC | [63 FR 71738, Dec. 30, 1998, as amended at 69 FR 32848, June 14, 2004] | The following material is excluded from the requirement to provide electronic access, either pursuant to § 2.1003, or through derivative discovery pursuant to § 2.1019(i)— (a) Official notice materials; (b) Reference books and text books; (c) Material pertaining exclusively to administration, such as material related to budgets, financial management, personnel, office space, general distribution memoranda, or procurement, except for the scope of work on a procurement related to repository siting, construction, or operation, or to the transportation of spent nuclear fuel or high-level waste; (d) Press clippings and press releases; (e) Junk mail; (f) References cited in contractor reports that are readily available; (g) Classified material subject to subpart I of this part; (h) Readily available references, such as journal articles and proceedings, which may be subject to copyright. (i) Correspondence between a potential party, interested governmental participant, or party and the Congress of the United States. | |||
| 10:10:1.0.1.1.2.10.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1006 Privilege. | NRC | [63 FR 71738, Dec. 30, 1998; 64 FR 15920, Apr. 2, 1999, as amended at 69 FR 2265, Jan. 14, 2004] | (a) Subject to the requirements in § 2.1003(a)(4), the traditional discovery privileges recognized in NRC adjudicatory proceedings and the exceptions from disclosure in § 2.390 may be asserted by potential parties, interested States, local governmental bodies, Federally-recognized Indian Tribes, and parties. In addition to Federal agencies, the deliberative process privilege may also be asserted by States, local governmental bodies, and Federally-recognized Indian Tribes. (b) Any document for which a claim of privilege is asserted, but is denied in whole or in part by the Pre-License Application Presiding Officer or the Presiding Officer, must be provided in electronic form by the party, interested governmental participant, or potential party that asserted the claim to— (1) The other participants; or (2) To the Pre-License Application Presiding Officer or to the Presiding Officer, for entry into a Protective Order file, if the Pre-License Application Presiding Officer or the Presiding Officer so directs under §§ 2.1010(b) or 2.1018(c). (c) Notwithstanding any availability of the deliberative process privilege under paragraph (a) of this section, circulated drafts not otherwise privileged shall be provided for electronic access pursuant to § 2.1003(a). | |||
| 10:10:1.0.1.1.2.10.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1007 Access. | NRC | [63 FR 71738, Dec. 30, 1998, as amended at 64 FR 48949, Sept. 9, 1999] | (a)(1) A system to provide electronic access to the Licensing Support Network shall be provided at the headquarters of DOE, and at all DOE Local Public Document Rooms established in the vicinity of the likely candidate site for a geologic repository, beginning in the pre-license application phase. (2) A system to provide electronic access to the Licensing Support Network shall be provided at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public Document Room beginning in the pre-license application phase. (3) [Reserved] (b) Public availability of paper and electronic copies of the records of NRC and DOE, as well as duplication fees, and fee waiver for those records, is governed by the regulations of the respective agencies. | |||
| 10:10:1.0.1.1.2.10.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1008 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.2.10.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1009 Procedures. | NRC | [63 FR 71738, Dec. 30, 1998, as amended at 66 FR 29466, May 31, 2001] | (a) Each potential party, interested governmental participant, or party shall— (1) Designate an official who will be responsible for administration of its responsibility to provide electronic files of documentary material ; (2) Establish procedures to implement the requirements in § 2.1003; (3) Provide training to its staff on the procedures for implementation of the responsibility to provide electronic files of documentary material; (4) Ensure that all documents carry the submitter's unique identification number; (5) Cooperate with the advisory review process established by the NRC under § 2.1011(d). (b) The responsible official designated under paragraph (a)(1) of this section shall certify to the Pre-License Application Presiding Officer that the procedures specified in paragraph (a)(2) of this section have been implemented, and that to the best of his or her knowledge, the documentary material specified in § 2.1003 has been identified and made electronically available. The initial certification must be made at the time the participant is required to comply with § 2.1003. The responsible official for the DOE shall also update this certification at the time DOE submits the license application. | |||
| 10:10:1.0.1.1.2.10.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1010 Pre-License Application Presiding Officer. | NRC | [63 FR 71738, Dec. 30, 1998, as amended at 66 FR 29466, May 31, 2001; 69 FR 2265, Jan. 14, 2004; 73 FR 63569, Oct. 24, 2008] | (a)(1) The Commission may designate one or more members of the Commission, or an atomic safety and licensing board, or a named officer who has been delegated final authority on the matter to serve as the Pre-License Application Presiding Officer to rule on disputes over the electronic availability of documents during the pre-license application phase, including disputes relating to privilege, and disputes relating to the implementation of the recommendations of the Advisory Review Panel established under § 2.1011(d). (2) The Pre-License Application Presiding Officer shall be designated at such time during the pre-license application phase as the Commission finds it appropriate, but in any event no later than fifteen days after the DOE certification of initial compliance under § 2.1009(b). (b) The Pre-License Application Presiding Officer shall rule on any claim of document withholding to determine— (1) Whether it is documentary material within the scope of this subpart; (2) Whether the material is excluded under § 2.1005; (3) Whether the material is privileged or otherwise excepted from disclosure under § 2.1006; (4) If privileged, whether it is an absolute or qualified privilege; (5) If qualified, whether the document should be disclosed because it is necessary to a proper decision in the proceeding; (6) Whether the material should be disclosed under a protective order containing such protective terms and conditions (including affidavits of nondisclosure) as may be necessary and appropriate to limit the disclosure to potential parties, interested governmental participants, and parties in the proceeding, or to their qualified witnesses and counsel. (i) The Pre-License Application Presiding Officer may issue an order requiring disclosure of Safeguards Information if— (A) The Pre-License Application Presiding Officer finds that the individual seeking access to Safeguards Information in order to participate in an NRC adjudication has the requisite “need to know,” as defined in 10 CFR 73.2; (B) The individ… | |||
| 10:10:1.0.1.1.2.10.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1011 Management of electronic information. | NRC | [63 FR 71739, Dec. 30, 1998, as amended at 66 FR 29466, May 31, 2001] | (a) Electronic document production and the electronic docket are subject to the provisions of this subpart. (b)(1) The NRC, DOE, parties, and potential parties participating in accordance with the provision of this subpart shall be responsible for obtaining the computer system necessary to comply with the requirements for electronic document production and service. (2) The NRC, DOE, parties, and potential parties participating in accordance with the provision of this subpart shall comply with the following standards in the design of the computer systems necessary to comply with the requirements for electronic document production and service: (i) The participants shall make textual (or, where non-text, image) versions of their documents available on a web accessible server which is able to be canvassed by web indexing software ( i.e. , a “robot”, “spider”, “crawler”) and the participant system must make both data files and log files accessible to this software. (ii) The participants shall make bibliographic header data available in an HTTP (Hypertext Transfer Protocol) accessible, ODBC (Open Database Connectivity) and SQL (Structured Query Language)-compliant (ANSI IX3.135-1992/ISO 9075-1992) database management system (DBMS). Alternatively, the structured data containing the bibliographic header may be made available in a standard database readable (e.g., XML (Extensible Markup Language http://www.w3.org/xml/ ), comma delimited, or comma separated value (.csv)) file. (iii) Textual material must be formatted to comply with the ISO/IEC 8859-1 character set and be in one of the following acceptable formats: ASCII, native word processing (Word, WordPerfect), PDF Normal, or HTML. (iv) Image files must be formatted as TIFF CCITT G4 for bi-tonal images or PNG (Portable Network Graphics) per [ http://www.w3.org/TR/REC-png-multi.html ]) format for grey-scale or color images, or PDF (Portable Document Format—Image). TIFF, PDF, or PNG images will be stored at 300 dpi (dots per inch) or greater, grey scale images at 1… | |||
| 10:10:1.0.1.1.2.10.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1012 Compliance. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7796, Feb. 26, 1991; 63 FR 71739, Dec. 30, 1998; 66 FR 29466, May 31, 2001; 69 FR 2265, Jan. 14, 2004; 69 FR 32848, June 14, 2004] | (a) If the Department of Energy fails to make its initial certification at least six months prior to tendering the application, upon receipt of the tendered application, notwithstanding the provisions of § 2.101(f)(3), the Director of the NRC's Office of Nuclear Material Safety and Safeguards will not docket the application until at least six months have elapsed from the time of the certification. The Director may determine that the tendered application is not acceptable for docketing under this subpart if the application is not accompanied by an updated certification pursuant to § 2.1009(b), or if the Secretary of the Commission determines that the application is not submitted on optical storage media in a format consistent with NRC regulations and guidance, or for non-compliance with any other requirements identified in this subpart. (b)(1) A person, including a potential party given access to the Licensing Support Network under this subpart, may not be granted party status under § 2.309, or status as an interested governmental participant under § 2.315, if it cannot demonstrate substantial and timely compliance with the requirements of § 2.1003 at the time it requests participation in the HLW licensing proceeding under § 2.309 or § 2.315. (2) A person denied party status or interested governmental participant status under paragraph (b)(1) of this section may request party status or interested governmental participant status upon a showing of subsequent compliance with the requirements of § 2.1003. Admission of such a party or interested governmental participant under §§ 2.309 or 2.315, respectively, is conditioned on accepting the status of the proceeding at the time of admission. (c) The Presiding Officer shall not make a finding of substantial and timely compliance pursuant to paragraph (b) of this section for any person who is not in compliance with all applicable orders of the Pre-License Application Presiding Officer designated pursuant to § 2.1010. | |||
| 10:10:1.0.1.1.2.10.23.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1013 Use of the electronic docket during the proceeding. | NRC | [63 FR 71739, Dec. 30, 1998, as amended at 66 FR 55788, Nov. 2, 2001; 69 FR 2265, Jan. 14, 2004; 69 FR 32849, June 14, 2004] | (a)(1) As specified in § 2.303, the Secretary of the Commission will maintain the official docket of the proceeding on the application for construction authorization for a high-level radioactive waste repository at a geologic repository operations area under parts 60 or 63 of this chapter, and for applications for a license to receive and possess high level radioactive waste at a geologic repository operations area under parts 60 or 63 of this Chapter. (2) The Secretary of the Commission will establish an electronic docket to contain the official record materials of the high-level radioactive waste repository licensing proceeding in searchable full text, or, for material that is not suitable for entry in searchable full text, by header and image, as appropriate. (b) Absent good cause, all exhibits tendered during the hearing must have been made available to the parties in electronic form before the commencement of that portion of the hearing in which the exhibit will be offered. The electronic docket will contain a list of all exhibits, showing where in the transcript each was marked for identification and where it was received into evidence or rejected. For any hearing sessions recorded stenographically or by other means, transcripts will be entered into the electronic docket on a daily basis in order to afford next-day availability at the hearing. However, for any hearing sessions recorded on videotape or other video medium, if a copy of the video recording is made available to all parties on a daily basis that affords next-day availability at the hearing, a transcript of the session prepared from the video recording will be entered into the electronic docket within twenty-four (24) hours of the time the transcript is tendered to the electronic docket by the transcription service. (c)(1) All filings in the adjudicatory proceeding on the application for a high-level radioactive waste geologic repository under part 60 or 63 of this chapter shall be transmitted by the submitter to the Presiding Officer, parties… | |||
| 10:10:1.0.1.1.2.10.23.15 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1015 Appeals. | NRC | [56 FR 7797, Feb. 26, 1991, as amended at 56 FR 29410, June 27, 1991; 69 FR 2265, Jan. 14, 2004] | (a) No appeals from any Pre-License Application Presiding Officer or Presiding Officer order or decision issued under this subpart are permitted, except as prescribed in paragraphs (b), (c), and (d) of this section. (b) A notice of appeal from a Pre-License Application presiding officer order issued under § 2.1010, a presiding officer prehearing conference order issued under § 2.1021, a presiding officer order granting or denying a motion for summary disposition issued in accordance with § 2.1025, or a presiding officer order granting or denying a petition to amend one or more contentions under § 2.309, must be filed with the Commission no later than ten (10) days after service of the order. A supporting brief must accompany the notice of appeal. Any other party, interested governmental participant, or potential party may file a brief in opposition to the appeal no later than ten (10) days after service of the appeal. (c) Appeals from a Presiding Officer initial decision or partial initial decision must be filed and briefed before the Commission in accordance with the following requirements. (1) Notice of appeal. Within ten (10) days after service of an initial decision, any party may take an appeal to the Commission by filing a notice of appeal. The notice shall specify: (i) The party taking the appeal; and (ii) The decision being appealed. (2) Filing appellant's brief. Each appellant shall file a brief supporting its position on appeal within thirty (30) days (40 days if Commission staff is the appellant) after the filing of notice required by paragraph (a) of this section. (3) Filing responsive brief. Any party who is not an appellant may file a brief in support of or in opposition to the appeal within thirty (30) days after the period has expired for the filing and service of the brief of all appellants. Commission staff may file a responsive brief within forty (40) days after the period has expired for the filing and service of the briefs of all appellants. A responding party shall file a single… | |||
| 10:10:1.0.1.1.2.10.23.16 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1017 Computation of time. | NRC | [63 FR 71740, Dec. 30, 1998] | In computing any period of time, the day of the act, event, or default after which the designated period of time begins to run is not included. The last day of the period so computed is included unless it is a Saturday, Sunday, or legal holiday at the place where the action or event is to occur, in which event the period runs until the end of the next day which is neither a Saturday, Sunday, nor holiday. Whenever a party, potential party, or interested governmental participant, has the right or is required to do some act within a prescribed period after the service of a notice or other document upon it, one day shall be added to the prescribed period. If the electronic docket is unavailable for more than four access hours of any day that would be counted in the computation of time, that day will not be counted in the computation of time. | |||
| 10:10:1.0.1.1.2.10.23.17 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1018 Discovery. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991; 63 FR 71740, Dec. 30, 1998; 69 FR 2266, Jan. 14, 2004; 73 FR 63570, Oct. 24, 2008] | (a)(1) Parties, potential parties, and interested governmental participants in the high-level waste licensing proceeding may obtain discovery by one or more of the following methods: (i) Access to the documentary material made available pursuant to § 2.1003; (ii) Entry upon land for inspection, access to raw data, or other purposes pursuant to § 2.1020; (iii) Access to, or the production of, copies of documentary material for which bibliographic headers only have been submitted pursuant to § 2.1003(a); (iv) Depositions upon oral examination pursuant to § 2.1019; (v) Requests for admissions pursuant to § 2.708; (vi) Informal requests for information not made electronically available, such as the names of witnesses and the subjects they plan to address; and (vii) Interrogatories and depositions upon written questions, as provided in paragraph (a)(2) of this section. (2) Interrogatories and depositions upon written questions may be authorized by order of the discovery master appointed under paragraph (g) of this section, or if no discovery master has been appointed, by order of the Presiding Officer, in the event that the parties are unable, after informal good faith efforts, to resolve a dispute in a timely fashion concerning the production of information. (b)(1) Parties, potential parties, and interested governmental participants, pursuant to the methods set forth in paragraph (a) of this section, may obtain discovery regarding any matter, not privileged, which is relevant to the licensing of the likely candidate site for a geologic repository, whether it relates to the claim or defense of the person seeking discovery or to the claim or defense of any other person. Except for discovery pursuant to §§ 2.1018(a)(2) and 2.1019 of this subpart, all other discovery shall begin during the pre-license application phase. Discovery pursuant to §§ 2.1018(a)(2) and 2.1019 of this subpart shall begin after the issuance of the first pre-hearing conference order under § 2.1021 of this subpart, and shall be limited to t… | |||
| 10:10:1.0.1.1.2.10.23.18 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1019 Depositions. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991; 63 FR 71740, Dec. 30, 1998; 69 FR 2266, Jan. 14, 2004] | (a) Any party or interested governmental participant desiring to take the testimony of any person by deposition on oral examination shall, without leave of the Commission or the Presiding Officer, give reasonable notice in writing to every other party and interested governmental participant, to the person to be examined, and to the Presiding Officer of the proposed time and place of taking the deposition; the name and address of each person to be examined, if known, or if the name is not known, a general description sufficient to identify him or her or the class or group to which he or she belongs, the matters upon which each person will be examined and the name or descriptive title and address of the officer before whom the deposition is to be taken. (b) Within the United States, a deposition may be taken before any officer authorized to administer oaths by the laws of the United States or of the place where the examination is held. Outside of the United States, a deposition may be taken before a secretary of an embassy or legation, a consul general, vice consul or consular agent of the United States, or a person authorized to administer oaths designated by the Commission. Depositions may be conducted by telephone or by video teleconference at the option of the party or interested governmental participant taking the deposition. (c) The deponent shall be sworn or shall affirm before any questions are put to him or her. Examination and cross-examination shall proceed as at a hearing. Each question propounded shall be recorded and the answer taken down in the words of the witness. Objections on questions of evidence shall be noted in short form without the arguments. The officer shall not decide on the competency, materiality, or relevancy of evidence but shall record the evidence subject to objection. Objections on questions of evidence not made before the officer shall not be deemed waived unless the ground of the objection is one which might have been obviated or removed if presented at that time. (d) When th… | |||
| 10:10:1.0.1.1.2.10.23.19 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1020 Entry upon land for inspection. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991] | (a) Any party, potential party, or interested governmental participant may serve on any other party, potential party, or interested governmental participant a request to permit entry upon designated land or other property in the possession or control of the party, potential party, or interested governmental participant upon whom the request is served for the purpose of access to raw data, inspection and measuring, surveying, photographing, testing, or sampling the property or any designated object or operation thereon, within the scope of § 2.1018 of this subpart. (b) The request may be served on any party, potential party, or interested governmental participant without leave of the Commission or the Presiding Officer. (c) The request shall describe with reasonable particularity the land or other property to be inspected either by individual item or by category. The request shall specify a reasonable time, place, and manner of making the inspection and performing the related acts. (d) The party, potential party, or interested governmental participant upon whom the request is served shall serve on the party, potential party, or interested governmental participant submitting the request a written response within ten days after the service of the request. The response shall state, with respect to each item or category, that inspection and related activities will be permitted as requested, unless the request is objected to, in which case the reasons for objection shall be stated. If objection is made to part of an item or category, the part shall be specified. | |||
| 10:10:1.0.1.1.2.10.23.20 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1021 First prehearing conference. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991; 66 FR 55788, Nov. 2, 2001; 69 FR 2266, Jan. 14, 2004] | (a) In any proceeding involving an application for a construction authorization for a HLW repository at a geologic repository operations area under parts 60 or 63 of this chapter, or an application for a license to receive and possess high-level radioactive waste at a geologic repository operations area pursuant to parts 60 or 63 of this chapter, the Commission or the presiding officer will direct the parties, interested governmental participants and any petitioners for intervention, or their counsel, to appear at a specified time and place, within seventy days after the notice of hearing is published, or such other time as the Commission or the presiding officer may deem appropriate, for a conference to: (1) Permit identification of the key issues in the proceeding; (2) Take any steps necessary for further identification of the issues; (3) Consider all intervention petitions to allow the Presiding Officer to make such preliminary or final determination as to the parties and interested governmental participants, as may be appropriate; (4) Establish a schedule for further actions in the proceeding; and (5) Establish a discovery schedule for the proceeding taking into account the objective of meeting the three year time schedule specified in section 114(d) of the Nuclear Waste Policy Act of 1982, as amended, 42 U.S.C. 10134(d). (b) The Presiding Officer may order any further formal and informal conferences among the parties and interested governmental participants including teleconferences, to the extent that it considers that such a conference would expedite the proceeding. (c) A prehearing conference held pursuant to this section shall be stenographically reported. (d) The Presiding Officer shall enter an order which recites the action taken at the conference, the schedule for further actions in the proceeding, and any agreements by the parties, and which identifies the key issues in the proceeding, makes a preliminary or final determination as to the parties and interested governmental participants in th… | |||
| 10:10:1.0.1.1.2.10.23.21 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1022 Second prehearing conference. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991; 69 FR 2266, Jan. 14, 2004] | (a) The Commission or the presiding officer in a proceeding on either an application for construction authorization for a high-level radioactive waste repository at a geologic repository operations area under parts 60 or 63 of this chapter, or an application for a license to receive and possess high-level radioactive waste at a geologic repository operations area under parts 60 or 63 of this chapter, shall direct the parties, interested governmental participants, or their counsel to appear at a specified time and place not later than thirty days after the Safety Evaluation Report is issued by the NRC staff for a conference to consider: (1) Any amended contentions submitted, which must be reviewed under the criteria in § 2.309(c) of this part; (2) Simplification, clarification, and specification of the issues; (3) The obtaining of stipulations and admissions of fact and of the contents and authenticity of documents to avoid unnecessary proof; (4) Identification of witnesses and the limitation of the number of expert witnesses, and other steps to expedite the presentation of evidence; (5) The setting of a hearing schedule; (6) Establishing a discovery schedule for the proceeding taking into account the objective of meeting the three year time schedule specified in section 114(d) of the Nuclear Waste Policy Act of 1982, as amended, 42 U.S.C. 10134(d); and (7) Such other matters as may aid in the orderly disposition of the proceeding. (b) A prehearing conference held pursuant to this section shall be stenographically reported. (c) The Presiding Officer shall enter an order which recites the action taken at the conference and the agreements by the parties, limits the issues or defines the matters in controversy to be determined in the proceeding, sets a discovery schedule, and sets the hearing schedule. | |||
| 10:10:1.0.1.1.2.10.23.22 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1023 Immediate effectiveness. | NRC | [54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991; 66 FR 55789, Nov. 2, 2001; 69 FR 2266, Jan. 14, 2004; 79 FR 66601, Nov. 10, 2014; 86 FR 43401, Aug. 9, 2021] | (a) Pending review and final decision by the Commission, an initial decision resolving all issues before the presiding officer in favor of issuance or amendment of either an authorization to construct a high-level radioactive waste repository at a geological repository operations area under parts 60 or 63 of this chapter, or a license to receive and possess high-level radioactive waste at a geologic repository operations area under parts 60 or 63 of this chapter will be immediately effective upon issuance except: (1) As provided in any order issued in accordance with § 2.342 that stays the effectiveness of an initial decision; or (2) As otherwise provided by the Commission in special circumstances. (b) The Director of Nuclear Material Safety and Safeguards, notwithstanding the filing or pendency of an appeal or a petition for review pursuant to § 2.1015 of this subpart, promptly shall issue a construction authorization or a license to receive and possess high-level radioactive waste at a geologic repository operations area, or amendments thereto, following an initial decision resolving all issues before the Presiding Officer in favor of the licensing action, upon making the appropriate licensing findings, except— (1) As provided in paragraph (c) of this section; or (2) As provided in any order issued in accordance with § 2.342 of this part that stays the effectiveness of an initial decision; or (3) As otherwise provided by the Commission in special circumstances. (c)(1) Before the Director of Nuclear Material Safety and Safeguards may issue a construction authorization or a license to receive and possess waste at a geologic repository operations area in accordance with paragraph (b) of this section, the Commission, in the exercise of its supervisory authority over agency proceedings, shall undertake and complete a supervisory examination of those issues contested in the proceeding before the Presiding Officer to consider whether there is any significant basis for doubting that the facility will be construc… | |||
| 10:10:1.0.1.1.2.10.23.23 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1025 Authority of the Presiding Officer to dispose of certain issues on the pleadings. | NRC | [56 FR 7798, Feb. 26, 1991] | (a) Any party may move, with or without supporting affidavits, for a decision by the Presiding Officer in that party's favor as to all or any part of the matters involved in the proceeding. The moving party shall annex to the motion a separate, short, and concise statement of the material facts as to which the moving party contends that there is no genuine issue to be heard. Motions may be filed at any time. Any other party may file an answer supporting or opposing the motion, with or without affidavits, within twenty (20) days after service of the motion. The party shall annex to any answer opposing the motion a separate, short, and concise, statement of the material facts as to which it is contended there exists a genuine issue to be heard. All material facts set forth in the statement to be filed by the moving party will be deemed to be admitted unless controverted by the statement required to be filed by the opposing party. The opposing party may, within ten (10) days after service, respond in writing to new facts and arguments presented in any statement filed in support of the motion. No further supporting statements or responses thereto may be entertained. The Presiding Officer may dismiss summarily or hold in abeyance motions filed shortly before the hearing commences or during the hearing if the other parties or the Presiding Officer would be required to divert substantial resources from the hearing in order to respond adequately to the motion. (b) Affidavits must set forth those facts that would be admissible in evidence and show affirmatively that the affiant is competent to testify to the matters stated therein. The Presiding Officer may permit affidavits to be supplemented or opposed by further affidavits. When a motion for summary disposition is made and supported as provided in this section, a party opposing the motion may not rest upon the mere allegations or denials of its answer; its answer by affidavits or as otherwise provided in this section must set forth specific facts showing that there is… | |||
| 10:10:1.0.1.1.2.10.23.24 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1026 Schedule. | NRC | [56 FR 7798, Feb. 26, 1991, as amended at 69 FR 2266, Jan. 14, 2004; 86 FR 43401, Aug. 9, 2021] | (a) Subject to paragraphs (b) and (c) of this section, the Presiding Officer shall adhere to the schedule set forth in appendix D of this part. (b)(1) Pursuant to § 2.307, the presiding officer may approve extensions of no more than fifteen (15) days beyond any required time set forth in this subpart for a filing by a party to the proceeding. Except in the case of exceptional and unforeseen circumstances, requests for extensions of more than fifteen (15) days must be filed no later than five (5) days in advance of the required time set forth in this subpart for a filing by a party to the proceeding. (2) Extensions beyond 15 days must be referred to the Commission. If the Commission does not disapprove the extension within 10 days of receiving the request, the extension will be effective. If the Commission disapproves the extension, the date which was the subject of the extension request will be set for 5 days after the Commission's disapproval action. (c)(1) The Presiding Officer may delay the issuance of an order up to thirty days beyond the time set forth for the issuance in appendix D. (2) If the Presiding Officer anticipates that the issuance of an order will not occur until after the thirty day extension specified in paragraph (c)(1) of this section, the Presiding Officer shall notify the Commission at least ten days in advance of the scheduled date for the milestone and provide a justification for the delay. | |||
| 10:10:1.0.1.1.2.10.23.25 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1027 Sua sponte. | NRC | [69 FR 2266, Jan. 14, 2004] | In any initial decision in a proceeding on an application for a construction authorization for a high-level radioactive waste repository at a geologic repository operations area under parts 60 or 63 of this chapter, or an application for a license to receive and possess high-level radioactive waste at a geologic repository operations area under parts 60 or 63 of this chapter, the Presiding Officer, other than the Commission, shall make findings of fact and conclusions of law on, and otherwise give consideration to, only those matters put into controversy by the parties and determined to be litigable issues in the proceeding. | |||
| 10:10:1.0.1.1.2.11.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1101 Purpose. | NRC | The regulations in this subpart establish hybrid hearing procedures, as authorized by section 134 of the Nuclear Waste Policy Act of 1982 (96 Stat. 2230), to be used at the request of any party in certain contested proceedings on applications for a license or license amendment to expand the spent nuclear fuel storage capacity at the site of a civilian nuclear power plant. These procedures are intended to encourage and expedite onsite expansion of spent nuclear fuel storage capacity. | ||||
| 10:10:1.0.1.1.2.11.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1103 Scope of subpart K. | NRC | [69 FR 2266, Jan. 14, 2004] | The provisions of this subpart, together with subpart C and applicable provisions of subparts G and L of this part, govern all adjudicatory proceedings on applications filed after January 7, 1983, for a license or license amendment under part 50 of this chapter, to expand the spent fuel storage capacity at the site of a civilian nuclear power plant, through the use of high density fuel storage racks, fuel rod compaction, the transshipment of spent nuclear fuel to another civilian nuclear power reactor within the same utility system, the construction of additional spent nuclear fuel pool capacity or dry storage capacity, or by other means. This subpart also applies to proceedings on applications for a license under part 72 of this chapter to store spent nuclear fuel in an independent spent fuel storage installation located at the site of a civilian nuclear power reactor. This subpart shall not apply to the first application for a license or license amendment to expand the spent fuel storage capacity at a particular site through the use of a new technology not previously approved by the Commission for use at any other nuclear power plant. This subpart shall not apply to proceedings on applications for transfer of a license issued under part 72 of this chapter. Subpart M of this part applies to license transfer proceedings. | |||
| 10:10:1.0.1.1.2.11.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1105 Definitions. | NRC | As used in this part: (a) Civilian nuclear power reactor means a civilian nuclear power plant required to be licensed as a utilization facility under section 103 or 104(b) of the Atomic Energy Act of 1954. (b) Spent nuclear fuel means fuel that has been withdrawn from a nuclear reactor following irradiation, the constituent elements of which have not been separated by reprocessing. | ||||
| 10:10:1.0.1.1.2.11.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1107 Notice of proposed action. | NRC | In connection with each application filed after January 7, 1983, for a license or an amendment to a license to expand the spent nuclear fuel storage capacity at the site of a civilian nuclear power plant, for which the Commission has not found that a hearing is required in the public interest, for which an adjudicatory hearing has not yet been convened, and for which a notice of proposed action has not yet been published as of the effective date of this subpart, the Commission will, prior to acting thereon, cause to be published in the Federal Register a notice of proposed action in accordance with § 2.105. The notice of proposed action will identify the availability of the hybrid hearing procedures in this subpart, specify that any party may invoke these procedures by filing a timely request for oral argument under § 2.1109, and provide that if a request for oral argument is granted, any hearing held on the application shall be conducted in accordance with the procedures in this subpart. | ||||
| 10:10:1.0.1.1.2.11.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1109 Requests for oral argument. | NRC | [50 FR 41670, Oct. 15, 1985, as amended at 69 FR 2267, Jan. 14, 2004] | (a)(1) In its request for hearing/petition to intervene filed in accordance with § 2.309 or in the applicant's or the NRC staff's response to a request for a hearing/petition to intervene, any party may invoke the hybrid hearing procedures in this Subpart by requesting an oral argument. If it is determined that a hearing will be held, the presiding officer shall grant a timely request for oral argument. (2) The presiding officer may grant an untimely request for oral argument only upon a showing of good cause by the requesting party for failure to file on time and after providing the other parties an opportunity to respond to the untimely request. (b) The presiding officer shall issue a written order ruling on any requests for oral argument. If the presiding officer grants a request for oral argument, the order shall include a schedule for discovery and subsequent oral argument with respect to the admitted contentions. (c) If no party to the proceeding requests oral argument, or if all untimely requests for oral argument are denied, the presiding officer shall conduct the proceeding in accordance with the subpart under which the proceeding was initially conducted as determined in accordance with § 2.310. | |||
| 10:10:1.0.1.1.2.11.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1113 Oral argument. | NRC | [50 FR 41670, Oct. 15, 1985, as amended at 69 FR 2267, Jan. 14, 2004] | (a) Twenty-five (25) days prior to the date set for oral argument, each party, including the NRC staff, shall submit to the presiding officer a detailed written summary of all the facts, data, and arguments which are known to the party at such time and on which the party proposes to rely at the oral argument either to support or to refute the existence of a genuine and substantial dispute of fact. Each party shall also submit all supporting facts and data in the form of sworn written testimony or other sworn written submission. Each party's written summary and supporting information shall be simultaneously served on all other parties to the proceeding. (b) Ten (10) days prior to the date set for oral argument, each party, including the NRC staff, may submit to the presiding officer a reply limited to addressing whether the written summaries, facts, data, and arguments filed under paragraph (a) of this section support or refute the existence of a genuine and substantial dispute of fact. Each party's reply shall be simultaneously served on all other parties to the proceeding. (c) Only facts and data in the form of sworn written testimony or other sworn written submission may be relied on by the parties during oral argument, and the presiding officer shall consider those facts and data only if they are submitted in that form. | |||
| 10:10:1.0.1.1.2.11.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1115 Designation of issues for adjudicatory hearing. | NRC | [50 FR 41671, Oct. 15, 1985; 50 FR 45398, Oct. 31, 1985] | (a) After due consideration of the oral presentation and the written facts and data submitted by the parties and relied on at the oral argument, the presiding officer shall promptly by written order: (1) Designate any disputed issues of fact, together with any remaining issues of law, for resolution in an adjudicatory hearing; and (2) Dispose of any issues of law or fact not designated for resolution in an adjudicatory hearing. With regard to each issue designated for resolution in an adjudicatory hearing, the presiding officer shall identify the specific facts that are in genuine and substantial dispute, the reason why the decision of the Commission is likely to depend on the resolution of that dispute, and the reason why an adjudicatory hearing is likely to resolve the dispute. With regard to issues not designated for resolution in an adjudicatory hearing, the presiding officer shall include a brief statement of the reasons for the disposition. If the presiding officer finds that there are no disputed issues of fact or law requiring resolution in an adjudicatory hearing, the presiding officer shall also dismiss the proceeding. (b) No issue of law or fact shall be designated for resolution in an adjudicatory hearing unless the presiding officer determines that: (1) There is a genuine and substantial dispute of fact which can only be resolved with sufficient accuracy by the introduction of evidence in an adjudicatory hearing; and (2) The decision of the Commission is likely to depend in whole or in part on the resolution of that dispute. (c) In making a determination under paragraph (b) of this section, the presiding officer shall not consider: (1) Any issue relating to the design, construction, or operation of any civilian nuclear power reactor already licensed to operate at the site, or any civilian nuclear power reactor for which a construction permit has been granted at the site, unless the presiding officer determines that any such issue substantially affects the design, construction, or operation of… | |||
| 10:10:1.0.1.1.2.11.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1117 Burden of proof. | NRC | [69 FR 2267, Jan. 14, 2004] | The applicant bears the ultimate burden of proof (risk of non-persuasion) with respect to the contention in the proceeding. The proponent of the request for an adjudicatory hearing bears the burden of demonstrating under § 2.1115(b) that an adjudicatory hearing should be held. | |||
| 10:10:1.0.1.1.2.11.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1119 Applicability of other sections. | NRC | [69 FR 2267, Jan. 14, 2004] | In proceedings subject to this part, the provisions of subparts A, C, and L of this part are also applicable, except where inconsistent with the provisions of this subpart. | |||
| 10:10:1.0.1.1.2.12.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1200 Scope of this subpart. | NRC | [89 FR 67834, Aug. 22, 2024] | The provisions of this subpart, together with subpart C of this part, govern all adjudicatory proceedings conducted for the grant, renewal, licensee-initiated amendment, or termination of licenses or permits subject to parts 30, 32 through 36, 39, 40, 50, 52, 54, 55, 61, 70, and 72 of this chapter, except as determined through the application of § 2.310(b) through (h). | |||
| 10:10:1.0.1.1.2.12.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1201 Definitions. | NRC | The definitions of terms contained in § 2.4 apply to this subpart unless a different definition is provided in this subpart. | ||||
| 10:10:1.0.1.1.2.12.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1202 Authority and role of NRC staff. | NRC | [69 FR 2267, Jan. 14, 2004, as amended at 72 FR 49483, Aug. 28, 2007; 77 FR 46598, Aug. 3, 2012; 88 FR 57877, Aug. 24, 2023] | (a) During the pendency of any hearing under this subpart, consistent with the NRC staff's findings in its review of the application or matter which is the subject of the hearing and as authorized by law, the NRC staff is expected to promptly issue its approval or denial of the application, or take other appropriate action on the underlying regulatory matter for which a hearing was provided. When the NRC staff takes its action, it must notify the presiding officer and the parties to the proceeding of its action. That notice must include the NRC staff's explanation why the public health and safety is protected and why the action is in accord with the common defense and security despite the pendency of the contested matter before the presiding officer. The NRC staff's action on the matter is effective upon issuance by the staff, except in matters involving: (1) An application to construct and/or operate a production or utilization facility (including an application for a limited work authorization under 10 CFR 50.10, or an application for a combined license under subpart C of 10 CFR part 52); (2) An application for an early site permit under subpart A of 10 CFR part 52; (3) An application for a manufacturing license under subpart F of 10 CFR part 52; (4) An application for an amendment to a construction authorization for a high-level radioactive waste repository at a geologic repository operations area falling under either 10 CFR 60.32(c)(1) or 10 CFR part 63; (5) An application for the construction and operation of an independent spent fuel storage installation (ISFSI) located at a site other than a reactor site or a monitored retrievable storage installation (MRS) under 10 CFR part 72; and (6) Production or utilization facility licensing actions that involve significant hazards considerations as defined in 10 CFR 50.92. (b)(1) The NRC staff is not required to be a party to a proceeding under this subpart, except where: (i) The proceeding involves an application denied by the NRC staff or an enforcement ac… | |||
| 10:10:1.0.1.1.2.12.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1203 Hearing file; prohibition on discovery. | NRC | (a)(1) Within thirty (30) days of the issuance of the order granting requests for hearing/petitions to intervene and admitting contentions, the NRC staff shall file in the docket, present to the presiding officer, and make available to the parties to the proceeding a hearing file. (2) The hearing file must be made available to the parties either by service of hard copies or by making the file available at the NRC Web site, http://www.nrc.gov. (3) The hearing file also must be made available for public inspection and copying at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public Document Room. (b) The hearing file consists of the application, if any, and any amendment to the application, and, when available, any NRC environmental impact statement or assessment and any NRC report related to the proposed action, as well as any correspondence between the applicant/licensee and the NRC that is relevant to the proposed action. Hearing file documents already available at the NRC Web site and/or the NRC Public Document Room when the hearing request/petition to intervene is granted may be incorporated into the hearing file at those locations by a reference indicating where at those locations the documents can be found. The presiding officer shall rule upon any issue regarding the appropriate materials for the hearing file. (c) The NRC staff has a continuing duty to keep the hearing file up to date with respect to the materials set forth in paragraph (b) of this section and to provide those materials as required in paragraphs (a) and (b) of this section. (d) Except as otherwise permitted by subpart C of this part, a party may not seek discovery from any other party or the NRC or its personnel, whether by document production, deposition, interrogatories or otherwise. | ||||
| 10:10:1.0.1.1.2.12.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1204 Motions and requests. | NRC | (a) General requirements. In proceedings under this subpart, requirements for motions and requests and responses to them are as specified in § 2.323. (b) Requests for cross-examination by the parties. (1) In any oral hearing under this subpart, a party may file a motion with the presiding officer to permit cross-examination by the parties on particular admitted contentions or issues. The motion must be accompanied by a cross-examination plan containing the following information: (i) A brief description of the issue or issues on which cross-examination will be conducted; (ii) The objective to be achieved by cross-examination; and (iii) The proposed line of questions that may logically lead to achieving the objective of the cross-examination. (2) The cross-examination plan may be submitted only to the presiding officer and must be kept by the presiding officer in confidence until issuance of the initial decision on the issue being litigated. The presiding officer shall then provide each cross-examination plan to the Commission's Secretary for inclusion in the official record of the proceeding. (3) The presiding officer shall allow cross-examination by the parties only if the presiding officer determines that cross-examination by the parties is necessary to ensure the development of an adequate record for decision. | ||||
| 10:10:1.0.1.1.2.12.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1205 Summary disposition. | NRC | [69 FR 2267, Jan. 14, 2004, as amended at 77 FR 46598, Aug. 3, 2012] | (a) Unless the presiding officer or the Commission directs otherwise, motions for summary disposition may be submitted to the presiding officer by any party no later than 45 days before the commencement of hearing. The motions must be in writing and must include a written explanation of the basis of the motion. The moving party must attach a short and concise statement of material facts for which the moving party contends that there is no genuine issue to be heard. Motions for summary disposition must be served on the parties and the Secretary at the same time that they are submitted to the presiding officer. (b) Any other party may serve an answer supporting or opposing the motion within twenty (20) days after service of the motion. (c) The presiding officer shall issue a determination on each motion for summary disposition no later than fifteen (15) days before the date scheduled for commencement of hearing. In ruling on motions for summary disposition, the presiding officer shall apply the standards for summary disposition set forth in subpart G of this part. | |||
| 10:10:1.0.1.1.2.12.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1206 Informal hearings. | NRC | Hearings under this subpart will be oral hearings as described in § 2.1207, unless, within fifteen (15) days of the service of the order granting the request for hearing, the parties unanimously agree and file a joint motion requesting a hearing consisting of written submissions. A motion to hold a hearing consisting of written submissions will not be entertained unless there is unanimous consent of the parties. | ||||
| 10:10:1.0.1.1.2.12.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1207 Process and schedule for submissions and presentations in an oral hearing. | NRC | [69 FR 2267, Jan. 14, 2004, as amended at 88 FR 57877, Aug. 24, 2023] | (a) Unless otherwise limited by this subpart or by the presiding officer, participants in an oral hearing may submit and sponsor in the hearings: (1) Initial written statements of position and written testimony with supporting affidavits on the admitted contentions. These materials must be filed on the dates set by the presiding officer. (2) Written responses and rebuttal testimony with supporting affidavits directed to the initial statements and testimony of other participants. These materials must be filed within twenty (20) days of the service of the materials submitted under paragraph (a)(1) of this section unless the presiding officer directs otherwise. (3)(i) Proposed questions for the presiding officer to consider for propounding to the persons sponsoring the testimony. Unless the presiding officer directs otherwise, these questions must be received by the presiding officer no later than twenty (20) days after the service of the materials submitted under paragraph (a)(1) of this section, unless that date is less than five (5) days before the scheduled commencement of the oral hearing, in which case the questions must be received by the presiding officer no later than five (5) days before the scheduled commencement of the hearing. Proposed questions need not be filed with any other party. (ii) Proposed questions directed to rebuttal testimony for the presiding officer to consider for propounding to persons sponsoring the testimony. Unless the presiding officer directs otherwise, these questions must be received by the presiding officer no later than seven (7) days after the service of the rebuttal testimony submitted under paragraph (a)(2) of this section, unless that date is less than five (5) days before the scheduled commencement of the oral hearing, in which case the questions must be received by the presiding officer no later than five (5) days before the scheduled commencement of the hearing. Proposed questions directed to rebuttal need not be filed with any other party. (iii) Questions submitted… | |||
| 10:10:1.0.1.1.2.12.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1208 Process and schedule for a hearing consisting of written presentations. | NRC | (a) Unless otherwise limited by this subpart or by the presiding officer, participants in a hearing consisting of written presentations may submit: (1) Initial written statements of position and written testimony with supporting affidavits on the admitted contentions. These materials must be filed on the dates set by the presiding officer; (2) Written responses, rebuttal testimony with supporting affidavits directed to the initial statements and testimony of witnesses and other participants, and proposed written questions for the presiding officer to consider for submission to the persons sponsoring testimony under paragraph (a)(1) of this section. These materials must be filed within twenty (20) days of the service of the materials submitted under paragraph (a)(1) of this section unless the presiding officer directs otherwise; (3) Written questions on the written responses and rebuttal testimony submitted under paragraph (a)(2) of this section, which the presiding officer may, in his or her discretion, require the persons offering the written responses and rebuttal testimony to provide responses. These questions must be filed within seven (7) days of service of the materials submitted under paragraph (a)(2) of this section unless the presiding officer directs otherwise; and (4) Written concluding statements of position on the contentions. These statements shall be filed within twenty (20) days of the service of written responses to the presiding officer's questions to the participants or, in the absence of questions from the presiding officer, within twenty (20) days of the service of the materials submitted under paragraph (a)(2) of this section unless the presiding officer directs otherwise. (b) The presiding officer may formulate and submit written questions to the participants that he or she considers appropriate to develop an adequate record. | ||||
| 10:10:1.0.1.1.2.12.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1209 Findings of fact and conclusions of law. | NRC | [77 FR 46598, Aug. 3, 2012] | Each party shall file written post-hearing proposed findings of fact and conclusions of law on the contentions addressed in an oral hearing under § 2.1207 or a written hearing under § 2.1208 within 30 days of the close of the hearing or at such other time as the presiding officer directs. Proposed findings of fact and conclusions of law must conform to the format requirements in § 2.712(c). | |||
| 10:10:1.0.1.1.2.12.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1210 Initial decision and its effect. | NRC | [69 FR 2267, Jan. 14, 2004, as amended at 77 FR 46598, Aug. 3, 2012; 79 FR 66601, Nov. 10, 2014] | (a) Unless the Commission directs that the record be certified to it in accordance with paragraph (b) of this section, the presiding officer shall render an initial decision after completion of an informal hearing under this subpart. That initial decision constitutes the final action of the Commission on the contested matter 120 days after the date of issuance, unless: (1) Any party files a petition for Commission review in accordance with § 2.1212; (2) The Commission, in its discretion, determines that the presiding officer's initial decision is inconsistent with the staff's action as described in the notice required by § 2.1202(a) and that the inconsistency warrants Commission review, in which case the Commission will review the initial decision; or (3) The Commission takes review of the decision sua sponte. (b) The Commission may direct that the presiding officer certify the record to it without an initial decision and prepare a final decision if the Commission finds that due and timely execution of its functions warrants certification. (c) An initial decision must be in writing and must be based only upon information in the record or facts officially noticed. The record must include all information submitted in the proceeding with respect to which all parties have been given reasonable prior notice and an opportunity to comment as provided in §§ 2.1207 or 2.1208. The initial decision must include: (1) Findings, conclusions, and rulings, with the reasons or basis for them, on all material issues of fact or law admitted as part of the contentions in the proceeding; (2) The appropriate ruling, order, or grant or denial of relief with its effective date; (3) The action the NRC staff shall take upon transmittal of the decision to the NRC staff under paragraph (e) of this section, if the initial decision is inconsistent with the NRC staff action as described in the notice required by § 2.1202(a); and (4) The time within which a petition for Commission review may be filed, the time within which any answers … | |||
| 10:10:1.0.1.1.2.12.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1212 Petitions for Commission review of initial decisions. | NRC | Parties may file petitions for review of an initial decision under this subpart in accordance with the procedures set out in § 2.341. Unless otherwise authorized by law, a party to an NRC proceeding must file a petition for Commission review before seeking judicial review of an agency action. | ||||
| 10:10:1.0.1.1.2.12.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1213 Application for a stay. | NRC | [69 FR 2267, Jan. 14, 2004, as amended at 77 FR 46598, Aug. 3, 2012; 89 FR 67834, Aug. 22, 2024] | (a) Any application for a stay of the effectiveness of the NRC staff's action on a matter involved in a hearing under this subpart must be filed with the presiding officer within seven (7) days of the issuance of the notice of the NRC staff's action under § 2.1202(a) and must be filed and considered in accordance with paragraphs (b), (c) and (d) of this section. (b) An application for a stay of the NRC staff's action may not be longer than ten (10) pages, exclusive of affidavits, and must contain: (1) A concise summary of the action which is requested to be stayed; and (2) A concise statement of the grounds for a stay, with reference to the factors specified in paragraph (d) of this section. (c) Within ten (10) days after service of an application for a stay of the NRC staff's action under this section, any party and/or the NRC staff may file an answer supporting or opposing the granting of a stay. Answers may not be longer than ten (10) pages, exclusive of affidavits, and must concisely address the matters in paragraph (b) of this section as appropriate. Further replies to answers will not be entertained. (d) In determining whether to grant or deny an application for a stay of the NRC staff's action, the following will be considered: (1) Whether the requestor will be irreparably injured unless a stay is granted; (2) Whether the requestor has made a strong showing that it is likely to prevail on the merits; (3) Whether the granting of a stay would harm other participants; and (4) Where the public interest lies. (e) Any application for a stay of the effectiveness of the presiding officer's initial decision or action under this subpart shall be filed with the Commission in accordance with § 2.342. (f) Stays are not available on matters limited to whether a no significant hazards consideration determination was proper in proceedings on power reactor license amendments. | |||
| 10:10:1.0.1.1.2.13.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1300 Scope of subpart M. | NRC | [77 FR 46598, Aug. 3, 2012] | The provisions of this subpart, together with the generally applicable intervention provisions in subpart C of this part, govern all adjudicatory proceedings on an application for the direct or indirect transfer of control of an NRC license when the transfer requires prior approval of the NRC under the Commission's regulations, governing statutes, or pursuant to a license condition. This subpart provides the only mechanism for requesting hearings on license transfer requests, unless contrary case specific orders are issued by the Commission. | |||
| 10:10:1.0.1.1.2.13.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1301 Public notice of receipt of a license transfer application. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 64 FR 48949, Sept. 9, 1999] | (a) The Commission will notice the receipt of each application for direct or indirect transfer of a specific NRC license by placing a copy of the application at the NRC Web site, http://www.nrc.gov. (b) The Commission will also publish in the Federal Register a notice of receipt of an application for approval of a license transfer involving 10 CFR part 50 and part 52 licenses, major fuel cycle facility licenses issued under part 70, or part 72 licenses. This notice constitutes the notice required by § 2.105 with respect to all matters related to the application requiring NRC approval. (c) Periodic lists of applications received may be obtained upon request addressed to the NRC Public Document Room, US Nuclear Regulatory Commission, Washington, DC 20555-0001. | |||
| 10:10:1.0.1.1.2.13.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1302 Notice of withdrawal of an application. | NRC | The Commission will notice the withdrawal of an application by publishing the notice of withdrawal in the same manner as the notice of receipt of the application was published under § 2.1301. | ||||
| 10:10:1.0.1.1.2.13.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1303 Availability of documents. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 64 FR 48949, Sept. 9, 1999] | Unless exempt from disclosure under part 9 of this chapter, the following documents pertaining to each application for a license transfer requiring Commission approval will be placed at the NRC Web site, http://www.nrc.gov, when available: (a) The license transfer application and any associated requests; (b) Commission correspondence with the applicant or licensee related to the application; (c) Federal Register notices; (d) The NRC staff Safety Evaluation Report (SER). (e) Any NRC staff order which acts on the license transfer application; and (f) If a hearing is held, the hearing record and decision. | |||
| 10:10:1.0.1.1.2.13.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1305 Written comments. | NRC | (a) As an alternative to requests for hearings and petitions to intervene, persons may submit written comments regarding license transfer applications. The Commission will consider and, if appropriate, respond to these comments, but these comments do not otherwise constitute part of the decisional record. (b) These comments should be submitted within 30 days after public notice of receipt of the application and addressed to the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff. (c) The Commission will provide the applicant with a copy of the comments. Any response the applicant chooses to make to the comments must be submitted within 10 days of service of the comments on the applicant. Such responses do not constitute part of the decisional record. | ||||
| 10:10:1.0.1.1.2.13.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1308 Oral hearings. | NRC | [69 FR 2270, Jan. 14, 2004] | Hearings under this subpart will be oral hearings, unless, within 15 days of the service of the notice or order granting the hearing, the parties unanimously agree and file a joint motion requesting a hearing consisting of written comments. No motion to hold a hearing consisting of written comments will be entertained absent consent of all the parties. | |||
| 10:10:1.0.1.1.2.13.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1309 Notice of oral hearing. | NRC | (a) A notice of oral hearing will— (1) State the time, place, and issues to be considered; (2) Provide names and addresses of participants, (3) Specify the time limit for participants and others to indicate whether they wish to present views; (4) Specify the schedule for the filing of written testimony, statements of position, proposed questions for the Presiding Officer to consider, and rebuttal testimony consistent with the schedule provisions of § 2.1321. (5) Specify that the oral hearing shall commence within 15 days of the date for submittal of rebuttal testimony unless otherwise ordered; (6) State any other instructions the Commission deems appropriate; (7) If so determined by the NRC staff or otherwise directed by the Commission, direct that the staff participate as a party with respect to some or all issues. (b) If the Commission is not the Presiding Officer, the notice of oral hearing will also state: (1) When the jurisdiction of the Presiding Officer commences and terminates; (2) The powers of the Presiding Officer; (3) Instructions to the Presiding Officer to certify promptly the completed hearing record to the Commission without a recommended or preliminary decision. | ||||
| 10:10:1.0.1.1.2.13.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1310 Notice of hearing consisting of written comments. | NRC | A notice of hearing consisting of written comments will: (a) State the issues to be considered; (b) Provide the names and addresses of participants; (c) Specify the schedule for the filing of written testimony, statements of position, proposed questions for the Presiding Officer to consider for submission to the other parties, and rebuttal testimony, consistent with the schedule provisions of § 2.1321. (d) State any other instructions the Commission deems appropriate. | ||||
| 10:10:1.0.1.1.2.13.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1311 Conditions in a notice or order. | NRC | (a) A notice or order granting a hearing or permitting intervention shall— (1) Restrict irrelevant or duplicative testimony; and (2) Require common interests to be represented by a single participant. (b) If a participant's interests do not extend to all the issues in the hearing, the notice or order may limit her/his participation accordingly. | ||||
| 10:10:1.0.1.1.2.13.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1315 Generic determination regarding license amendments to reflect transfers. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2270, Jan. 14, 2004] | (a) Unless otherwise determined by the Commission with regard to a specific application, the Commission has determined that any amendment to the license of a utilization facility or the license of an Independent Spent Fuel Storage Installation which does no more than conform the license to reflect the transfer action, involves respectively, “no significant hazards consideration,” or “no genuine issue as to whether the health and safety of the public will be significantly affected.” (b) Where administrative license amendments are necessary to reflect an approved transfer, such amendments will be included in the order that approves the transfer. Any challenge to the administrative license amendment is limited to the question of whether the license amendment accurately reflects the approved transfer. | |||
| 10:10:1.0.1.1.2.13.23.11 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1316 Authority and role of NRC staff. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 77 FR 46599, Aug. 3, 2012] | (a) During the pendency of any hearing under this subpart, consistent with the NRC staff's findings in its Safety Evaluation Report (SER), the staff is expected to promptly issue approval or denial of license transfer requests. Notice of such action shall be promptly transmitted to the Presiding Officer and parties to the proceeding. (b) Except as otherwise directed in accordance with § 2.1309(a)(7), the NRC staff is not required to be a party to proceedings under this subpart but will offer into evidence its SER associated with the transfer application and provide one or more sponsoring witnesses. (c)(1) Within 15 days of the issuance of the order granting requests for hearing/petitions to intervene and admitting contentions, the NRC staff must notify the presiding officer and the parties whether it desires to participate as a party, and identify the contentions on which it wishes to participate as a party. If the NRC staff desires to be a party thereafter, the NRC staff must notify the presiding officer and the parties, and identify the contentions on which it wishes to participate as a party, and make the disclosures required by § 2.336(b)(3) through (b)(5) unless accompanied by an affidavit explaining why the disclosures cannot be provided to the parties with the notice. (2) Once the NRC staff chooses to participate as a party, it will have all the rights and responsibilities of a party with respect to the admitted contention/matter in controversy on which the staff chooses to participate. | |||
| 10:10:1.0.1.1.2.13.23.12 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1319 Presiding Officer. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 88 FR 57878, Aug. 24, 2023] | (a) The Commission will ordinarily be the Presiding Officer at a hearing under this part. However, the Commission may provide in a hearing notice that one or more Commissioners, or any other person permitted by law, will preside. (b) A participant may submit a written motion for the disqualification of any person presiding. The motion shall be supported by an affidavit setting forth the alleged grounds for disqualification. If the Presiding Officer does not grant the motion or the person does not disqualify themselves and the Presiding Officer or such other person is not the Commission or a Commissioner, the Commission will decide the matter. (c) If any person presiding deems themselves disqualified, they shall withdraw by notice on the record after notifying the Commission. (d) If a Presiding Officer becomes unavailable, the Commission will designate a replacement. (e) Any motion concerning the designation of a replacement Presiding Officer shall be made within 5 days after the designation. (f) Unless otherwise ordered by the Commission, the jurisdiction of a Presiding Officer other than the Commission commences as designated in the hearing notice and terminates upon certification of the hearing record to the Commission, or when the Presiding Officer is disqualified. | |||
| 10:10:1.0.1.1.2.13.23.13 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1320 Responsibility and power of the Presiding Officer in an oral hearing. | NRC | (a) The Presiding Officer in any oral hearing shall conduct a fair hearing, develop a record that will contribute to informed decisionmaking, and, within the framework of the Commission's orders, have the power necessary to achieve these ends, including the power to: (1) Take action to avoid unnecessary delay and maintain order; (2) Dispose of procedural requests; (3) Question participants and witnesses, and entertain suggestions as to questions which may be asked of participants and witnesses. (4) Order consolidation of participants; (5) Establish the order of presentation; (6) Hold conferences before or during the hearing; (7) Establish time limits; (8) Limit the number of witnesses; and (9) Strike or reject duplicative, unreliable, immaterial, or irrelevant presentations. (b) Where the Commission itself does not preside: (1) The Presiding Officer may certify questions or refer rulings to the Commission for decision; (2) Any hearing order may be modified by the Commission; and (3) The Presiding Officer will certify the completed hearing record to the Commission, which may then issue its decision on the hearing or provide that additional testimony be presented. | ||||
| 10:10:1.0.1.1.2.13.23.14 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1321 Participation and schedule for submission in a hearing consisting of written comments. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004; 77 FR 46599, Aug. 3, 2012] | Unless otherwise limited by this subpart or by the Commission, participants in a hearing consisting of written comments may submit: (a) Initial written statements of position and written testimony with supporting affidavits on the issues. These materials must be filed on the date set by the Commission or the presiding officer. (b) Written responses, rebuttal testimony with supporting affidavits directed to the initial statements and testimony of other participants, and proposed written questions for the Presiding Officer to consider for submittal to persons sponsoring testimony submitted under paragraph (a) of this section. These materials shall be filed within 20 days of the filing of the materials submitted under paragraph (a) of this section, unless the Commission or Presiding Officer directs otherwise. Proposed written questions directed to rebuttal testimony for the Presiding Officer to consider for submittal to persons offering such testimony shall be filed within 7 days of the filing of the rebuttal testimony. (c) Written concluding statements of position on the issues. These materials shall be filed within 20 days of the filing of the materials submitted under paragraph (b) of this section, unless the Commission or the Presiding Officer directs otherwise. | |||
| 10:10:1.0.1.1.2.13.23.15 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1322 Participation and schedule for submissions in an oral hearing. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] | (a) Unless otherwise limited by this subpart or by the Commission, participants in an oral hearing may submit and sponsor in the hearings: (1) Initial written statements of position and written testimony with supporting affidavits on the issues. These materials must be filed on the date set by the Commission or the presiding officer. (2)(i) Written responses and rebuttal testimony with supporting affidavits directed to the initial statements and testimony of other participants; (ii) Proposed questions for the Presiding Officer to consider for propounding to persons sponsoring testimony. (3) These materials must be filed within 20 days of the filing of the materials submitted under paragraph (a)(1) of this section, unless the Commission or Presiding Officer directs otherwise. (4) Proposed questions directed to rebuttal testimony for the Presiding Officer to consider for propounding to persons offering such testimony shall be filed within 7 days of the filing of the rebuttal testimony. (b) The oral hearing should commence within 65 days of the date of the Commission's notice granting a hearing unless the Commission or Presiding Officer directs otherwise. Ordinarily, questioning in the oral hearing will be conducted by the Presiding Officer, using either the Presiding Officer's questions or questions submitted by the participants or a combination of both. (c) Written post-hearing statements of position on the issues addressed in the oral hearing may be submitted within 20 days of the close of the oral hearing. (d) The Commission, on its own motion, or in response to a request from a Presiding Officer other than the Commission, may use additional procedures, such as direct and cross-examination, or may convene a formal hearing under subpart G of this part on specific and substantial disputes of fact, necessary for the Commission's decision, that cannot be resolved with sufficient accuracy except in a formal hearing. The staff will be a party in any such formal hearing. Neither the Commission nor the Presiding… | |||
| 10:10:1.0.1.1.2.13.23.16 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1323 Presentation of testimony in an oral hearing. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] | (a) All direct testimony in an oral hearing shall be filed no later than 15 days before the hearing or as otherwise ordered or allowed pursuant to the provisions of § 2.1322. (b) Written testimony will be received into evidence in exhibit form. (c) Participants may designate and present their own witnesses to the Presiding Officer. (d) Testimony for the NRC staff will be presented only by persons designated for that purpose by either the Executive Director for Operations or a delegee of the Executive Director for Operations. (e) Participants and witnesses will be questioned orally or in writing and only by the Presiding Officer. Questions may be addressed to individuals or to panels of participants or witnesses. (f) The Presiding Officer may accept written testimony from a person unable to appear at the hearing, and may request him or her to respond to questions. (g) No subpoenas will be granted at the request of participants for attendance and testimony of participants or witnesses or the production of evidence. | |||
| 10:10:1.0.1.1.2.13.23.17 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1324 Appearance in an oral hearing. | NRC | (a) A participant may appear in a hearing on her or his own behalf or be represented by an authorized representative. (b) A person appearing shall file a written notice stating her or his name, address and telephone number, and if an authorized representative, the basis of her or his eligibility and the name and address of the participant on whose behalf she or he appears. (c) A person may be excluded from a hearing for disorderly, dilatory or contemptuous conduct, provided he or she is informed of the grounds and given an opportunity to respond. | ||||
| 10:10:1.0.1.1.2.13.23.18 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1325 Motions and requests. | NRC | (a) Motions and requests shall be addressed to the Presiding Officer, and, if written, also filed with the Secretary and served on other participants. (b) Other participants may respond to the motion or request. Responses to written motions or requests shall be filed within 5 days after service unless the Commission or Presiding Officer directs otherwise. (c) The Presiding Officer may entertain motions for extension of time and changes in schedule in accordance with paragraphs (a) and (b) of this section. (d) When the Commission does not preside, in response to a motion or request, the Presiding Officer may refer a ruling or certify a question to the Commission for decision and notify the participants. (e) Unless otherwise ordered by the Commission, a motion or request, or the certification of a question or referral of a ruling, shall not stay or extend any aspect of the hearing. | ||||
| 10:10:1.0.1.1.2.13.23.19 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1327 Application for a stay of the effectiveness of NRC staff action on license transfer. | NRC | (a) Any application for a stay of the effectiveness of the NRC staff's order on the license transfer application shall be filed with the Commission within 5 days of the issuance of the notice of staff action pursuant to § 2.1316(a). (b) An application for a stay must be no longer than 10 pages, exclusive of affidavits, and must contain: (1) A concise summary of the action which is requested to be stayed; and (2) A concise statement of the grounds for a stay, with reference to the factors specified in paragraph (d) of this section. (c) Within 10 days after service of an application for a stay under this section, any participant may file an answer supporting or opposing the granting of a stay. Answers must be no longer than 10 pages, exclusive of affidavits, and should concisely address the matters in paragraph (b) of this section, as appropriate. No further replies to answers will be entertained. (d) In determining whether to grant or deny an application for a stay, the Commission will consider: (1) Whether the requestor will be irreparably injured unless a stay is granted; (2) Whether the requestor has made a strong showing that it is likely to prevail on the merits; (3) Whether the granting of a stay would harm other participants; and (4) Where the public interest lies. | ||||
| 10:10:1.0.1.1.2.13.23.20 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1331 Commission action. | NRC | [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] | (a) Upon completion of a hearing, the Commission will issue a written opinion including its decision on the license transfer application and the reasons for the decision. (b) The decision on issues designated for hearing under § 2.309 will be based on the record developed at hearing. | |||
| 10:10:1.0.1.1.2.14.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1400 Purpose and scope of this subpart. | NRC | [89 FR 67834, Aug. 22, 2024, as amended at 90 FR 55627, Dec. 3, 2025] | The purpose of this subpart is to provide simplified procedures for the expeditious resolution of disputes among parties in an informal hearing process. The provisions of this subpart, together with subpart C of this part, govern adjudicatory proceedings that the Commission, the presiding officer, or the Atomic Safety and Licensing Board designated to rule on the request/petition determine will be conducted under this subpart in accordance with § 2.310. This subpart shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this subpart and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.2.14.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1401 Definitions. | NRC | The definitions of terms in § 2.4 apply to this subpart unless a different definition is provided in this subpart. | ||||
| 10:10:1.0.1.1.2.14.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1402 General procedures and limitations; requests for other procedures. | NRC | (a) Generally-applicable procedures. For proceedings conducted under this subpart: (1) Except where provided otherwise in this subpart or specifically requested by the presiding officer or the Commission, written pleadings and briefs (regardless of whether they are in the form of a letter, a formal legal submission, or otherwise) are not permitted; (2) Requests to schedule a conference to consider oral motions may be in writing and served on the Presiding officer and the parties; (3) Motions for summary disposition before the hearing has concluded and motions for reconsideration to the presiding officer or the Commission are not permitted; (4) All motions must be presented and argued orally; (5) The presiding officer will reflect all rulings on motions and other requests from the parties in a written decision. A verbatim transcript of oral rulings satisfies this requirement; (6) Except for the information disclosure requirements set forth in subpart C of this part, requests for discovery will not be entertained; and (7) The presiding officer may issue written orders and rulings necessary for the orderly and effective conduct of the proceeding; (b) Other procedures. If it becomes apparent at any time before a hearing is held that a proceeding selected for adjudication under this subpart is not appropriate for application of this subpart, the presiding officer or the Commission may, on its own motion or at the request of a party, order the proceeding to continue under another appropriate subpart. If a proceeding under this subpart is discontinued because the proceeding is not appropriate for application of this subpart, the presiding officer may issue written orders necessary for the orderly continuation of the hearing process under another subpart. (c) Request for cross-examination. A party may present an oral motion to the presiding officer to permit cross-examination by the parties on particular admitted contentions or issues. The presiding officer may allow cross-examination by the parties if he … | ||||
| 10:10:1.0.1.1.2.14.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1403 Authority and role of the NRC staff. | NRC | [69 FR 2271, Jan. 14, 2004, as amended at 77 FR 46599, Aug. 3, 2012] | (a) During the pendency of any hearing under this subpart, consistent with the NRC staff's findings in its review of the application or matter that is the subject of the hearing and as authorized by law, the NRC staff is expected to promptly issue its approval or denial of the application, or take other appropriate action on the matter that is the subject of the hearing. When the NRC staff takes its action, it must notify the presiding officer and the parties to the proceeding of its action. That notice must include the NRC staff's explanation why the public health and safety is protected and why the action is in accord with the common defense and security despite the pendency of the contested matter before the presiding officer. The NRC staff's action on the matter is effective upon issuance, except in matters involving: (1) An application to construct and/or operate a production or utilization facility; (2) An application for the construction and operation of an independent spent fuel storage installation located at a site other than a reactor site or a monitored retrievable storage facility under 10 CFR part 72; or (3) Production or utilization facility licensing actions that involve significant hazards considerations as defined in 10 CFR 50.92. (b)(1) The NRC staff is not required to be a party to proceedings under this subpart, except where: (i) The proceeding involves an application denied by the NRC staff or an enforcement action proposed by the staff; or (ii) The presiding officer determines that the resolution of any issue in the proceeding would be aided materially by the NRC staff's participation in the proceeding as a party and orders the staff to participate as a party for the identified issue. In the event that the presiding officer determines that the NRC staff's participation is necessary, the presiding officer shall issue an order identifying the issue(s) on which the staff is to participate as well as setting forth the basis for the determination that staff participation will materially ai… | |||
| 10:10:1.0.1.1.2.14.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1404 Prehearing conference. | NRC | (a) No later than forty (40) days after the order granting requests for hearing/petitions to intervene, the presiding officer shall conduct a prehearing conference. At the discretion of the presiding officer, the prehearing conference may be held in person or by telephone or through the use of video conference technology. (b) At the prehearing conference, each party shall provide the presiding officer and the parties participating in the conference with a statement identifying each witness the party plans to present at the hearing and a written summary of the oral and written testimony of each proposed witness. If the prehearing conference is not held in person, each party shall forward the summaries of the party's witnesses' testimony to the presiding officer and the other parties by such means that will ensure the receipt of the summaries by the commencement of the prehearing conference. (c) At the prehearing conference, the parties shall describe the results of their efforts to settle their disputes or narrow the contentions that remain for hearing, provide an agreed statement of facts, if any, identify witnesses that they propose to present at hearing, provide questions or question areas that they would propose to have the presiding officer cover with the witnesses at the hearing, and discuss other pertinent matters. At the conclusion of the conference, the presiding officer will issue an order specifying the issues to be addressed at the hearing and setting forth any agreements reached by the parties. The order must include the scheduled date for any hearing that remains to be held, and address any other matters as appropriate. | ||||
| 10:10:1.0.1.1.2.14.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1405 Hearing. | NRC | (a) No later than twenty (20) days after the conclusion of the prehearing conference, the presiding officer shall hold a hearing on any contention that remains in dispute. At the beginning of the hearing, the presiding officer shall enter into the record all agreements reached by the parties before the hearing. (b) A hearing will be recorded stenographically or by other means, under the supervision of the presiding officer. A transcript will be prepared from the recording that will be the sole official transcript of the hearing. The transcript will be prepared by an official reporter who may be designated by the Commission or may be a regular employee of the Commission. Except as limited by section 181 of the Act or order of the Commission, the transcript will be available for inspection in the agency's public records system. Copies of transcripts are available to the parties and to the public from the official reporter on payment of the charges fixed therefor. If a hearing is recorded on videotape or other video medium, copies of the recording of each daily session of the hearing may be made available to the parties and to the public from the presiding officer upon payment of a charge fixed by the Chief Administrative Judge. Parties may purchase copies of the transcript from the reporter. (c) Hearings will be open to the public, unless portions of the hearings involving proprietary or other protectable information are closed in accordance with the Commission's regulations. (d) At the hearing, the presiding officer will not receive oral evidence that is irrelevant, immaterial, unreliable or unduly repetitious. Testimony will be under oath or affirmation. (e) The presiding officer may question witnesses who testify at the hearing, but the parties may not do so. (f) Each party may present oral argument and a final statement of position at the close of the hearing. Written post-hearing briefs and proposed findings are not permitted unless ordered by the presiding officer. | ||||
| 10:10:1.0.1.1.2.14.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1406 Initial decision—issuance and effectiveness. | NRC | [69 FR 2271, Jan. 14, 2004, as amended at 79 FR 66602, Nov. 10, 2014] | (a) Where practicable, the presiding officer will render a decision from the bench. In rendering a decision from the bench, the presiding officer shall state the issues in the proceeding and make clear its findings of fact and conclusions of law on each issue. The presiding officer's decision and order must be reduced to writing and transmitted to the parties as soon as practicable, but not later than twenty (20) days, after the hearing ends. If a decision is not rendered from the bench, a written decision and order will be issued not later than thirty (30) days after the hearing ends. Approval of the Chief Administrative Judge must be obtained for an extension of these time periods, and in no event may a written decision and order be issued later than sixty (60) days after the hearing ends without the express approval of the Commission. (b) The presiding officer's written decision must be served on the parties and filed with the Commission when issued. (c) The presiding officer's initial decision is effective and constitutes the final action of the Commission twenty-five (25) days after the date of issuance of the written decision unless any party appeals to the Commission in accordance with § 2.1407 or the Commission takes review of the decision sua sponte or the regulations in this part specify other requirements with regard to the effectiveness of decisions on certain applications. | |||
| 10:10:1.0.1.1.2.14.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1407 Appeal and Commission review of initial decision. | NRC | [69 FR 2271, Jan. 14, 2004, as amended at 77 FR 46599, Aug. 3, 2012] | (a)(1) Within 25 days after service of a written initial decision, a party may file a written appeal seeking the Commission's review on the grounds specified in paragraph (b) of this section. Unless otherwise authorized by law, a party must file an appeal with the Commission before seeking judicial review. (2) An appeal under this section may not be longer than twenty (20) pages and must contain the following: (i) A concise statement of the specific rulings and decisions that are being appealed; (ii) A concise statement (including record citations) where the matters of fact or law raised in the appeal were previously raised before the presiding officer and, if they were not, why they could not have been raised; (iii) A concise statement why, in the appellant's view, the decision or action is erroneous; and (iv) A concise statement why the Commission should review the decision or action, with particular reference to the grounds specified in paragraph (b) of this section. (3) Any other party to the proceeding may, within 25 days after service of the appeal, file an answer supporting or opposing the appeal. The answer may not be longer than 20 pages and should concisely address the matters specified in paragraph (a)(2) of this section. The appellant does not have a right to reply. Unless it directs additional filings or oral arguments, the Commission will decide the appeal on the basis of the filings permitted by this paragraph. (b) In considering the appeal, the Commission will give due weight to the existence of a substantial question with respect to the following considerations: (1) A finding of material fact is clearly erroneous or in conflict with a finding as to the same fact in a different proceeding; (2) A necessary legal conclusion is without governing precedent or is a departure from, or contrary to, established law; (3) A substantial and important question of law, policy or discretion has been raised by the appeal; (4) The conduct of the proceeding involved a prejudicial procedural error; or (… | |||
| 10:10:1.0.1.1.2.15.23.1 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1500 Purpose and scope. | NRC | [69 FR 2273, Jan. 14, 2004, as amended at 90 FR 55627, Dec. 3, 2025] | The purpose of this subpart is to provide for simplified, legislative hearing procedures to be used, at the Commission's sole discretion, in: (a) Any design certification rulemaking hearings under subpart B of part 52 of this chapter that the Commission may choose to conduct; and (b) Developing a record to assist the Commission in resolving, under § 2.335(d), a petition filed under § 2.335(b). (c) This subpart shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this subpart and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this paragraph (c) accordingly. | |||
| 10:10:1.0.1.1.2.15.23.2 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1501 Definitions. | NRC | Demonstrative information means physical things, not constituting documentary information. Documentary information means information, ordinarily contained in documents or electronic files, but may also include photographs and digital audio files. | ||||
| 10:10:1.0.1.1.2.15.23.3 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1502 Commission decision to hold legislative hearing. | NRC | (a) The Commission may, in its discretion, hold a legislative hearing in either a design certification rulemaking under § 52.51(b) of this chapter, or a proceeding where a question has been certified to it under § 2.335(d). (b) Notice of Commission decision—(1) Hearing in design certification rulemakings. If, at the time a proposed design certification rule is published in the Federal Register under § 52.51(a) of this chapter, the Commission decides that a legislative hearing should be held, the information required by paragraph (c) of this section must be included in the Federal Register notice for the proposed design certification rule. If, following the submission of written public comments submitted on the proposed design certification rule which are submitted in accordance with § 52.51(a) of this chapter, the Commission decides to conduct a legislative hearing, the Commission shall publish a notice in the Federal Register and on the NRC Web site indicating its determination to conduct a legislative hearing. The notice shall contain the information specified in paragraph (c) of this section, and specify whether the Commission or a presiding officer will conduct the legislative hearing. (2) Hearings under § 2.335(d). If, following a certification of a question to the Commission by a Licensing Board under § 2.335(d), the Commission decides to hold a legislative hearing to assist it in resolving the certified question, the Commission shall issue an order containing the information required by paragraph (c) of this section. The Commission shall serve the order on all parties in the proceeding. In addition, if the Commission decides that persons and entities other than those identified in paragraph (c)(2) may request to participate in the legislative hearing, the Commission shall publish a notice of its determination to hold a legislative hearing in the Federal Register and on the NRC Web site. The notice shall contain the information specified in paragraph (c) of this section, and refer to the criteria … | ||||
| 10:10:1.0.1.1.2.15.23.4 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1503 Authority of presiding officer. | NRC | If the Commission appoints a presiding officer to conduct the legislative hearing, the presiding officer shall be responsible for expeditious development of a sufficient record on the Commission-identified issues, consistent with the direction provided by the Commission under § 2.1502(c). The presiding officer has the authority otherwise accorded to it under §§ 2.319(a), (c), (e), (g), (h), and (i), 2.324, and 2.333 to control the course of the proceeding, and may exercise any other authority granted to it by the Commission in accordance with § 2.1502(c)(6). | ||||
| 10:10:1.0.1.1.2.15.23.5 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1504 Request to participate in legislative hearing. | NRC | (a) Any person or entity who wishes to participate in a legislative hearing noticed under either § 2.1502(b)(1) or (b)(2) shall submit a request to participate by the date specified in the notice. The request must address: (1) A summary of the person's position on the subject matter of the legislative hearing; and (2) The specific information, expertise or experience that the person possesses with respect to the subject matter of the legislative hearing. (b) The Commission or presiding officer shall, within ten (10) days of the date specified for submission of requests to participate, determine whether the person or entity has met the criteria specified by the Commission under § 2.1502(c)(4) for determining requests to participate in the legislative hearing, and issue an order to that person or entity informing them of the presiding officer's decision. A presiding officer's determinations in this regard are final and not subject to any motion for reconsideration or appeal to the Commission; and the Commission's determination in this regard are final and are not subject to a motion for reconsideration. | ||||
| 10:10:1.0.1.1.2.15.23.6 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1505 Role of the NRC staff. | NRC | The NRC staff shall be available to answer any Commission or presiding officer's questions on staff-prepared documents, provide additional information or documentation that may be available to the staff, and provide other assistance that the Commission or presiding officer may request without requiring the NRC staff to assume the role of an advocate. The NRC staff may request to participate in the legislative hearing by providing notice to the Commission or presiding officer, as applicable, within the time period established for submitting a request to participate; or if no notice is provided under § 2.1502(b)(2), within ten (10) days of the Commission's order announcing its determination to conduct a legislative hearing. | ||||
| 10:10:1.0.1.1.2.15.23.7 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1506 Written statements and submission of information. | NRC | All participants shall file written statements on the Commission-identified issues, and may submit documentary and demonstrative information. Written statements, copies of documentary information, and a list and short description of any demonstrative information to be submitted must be received by the NRC (and in a hearing on issues stemming from a § 2.335(b) petition, by the parties in the proceeding in which the petition was filed) no later than ten (10) days before the commencement of the oral hearing. | ||||
| 10:10:1.0.1.1.2.15.23.8 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1507 Oral hearing. | NRC | (a) Not less than five (5) days before the commencement of the oral hearing, the presiding officer shall issue an order setting forth the grouping and order of appearance of the witnesses at the oral hearing. The order shall be filed upon all participants by email or facsimile transmission if possible, otherwise by overnight mail. (b) The Commission or presiding officer may question witnesses. Neither the Commission nor the presiding officer will ordinarily permit participants to submit recommended questions for the Commission or presiding officer to propound to witnesses. However, if the Commission or presiding officer believe that the conduct of the oral hearing will be expedited and that consideration of such proposed questions will assist in developing a more focused hearing record, the Commission or presiding officer may, in its discretion, permit the participants to submit recommended questions for the Commission or presiding officer's consideration. (c) The Commission or presiding officer may request, or upon request of a participant may, in the presiding officer's discretion, permit the submission of additional information following the close of the oral hearing. Such information must be submitted no later than five (5) days after the close of the oral hearing and must be served at the same time upon all participants at the oral hearing. | ||||
| 10:10:1.0.1.1.2.15.23.9 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1508 Recommendation of presiding officer. | NRC | (a) If the Commission is not acting as a presiding officer, the presiding officer shall, within thirty (30) days following the close of the legislative hearing record, certify the record to the Commission on each of the issues identified by the Commission. (b) The presiding officer's certification for each Commission-identified issue shall contain: (1) A transcript of the oral phase of the legislative hearing; (2) A list of all participants; (3) A list of all witnesses at the oral hearing, and their affiliation with a participant; (4) A list, and copies of, all documentary information submitted by the participants with ADAMS accession numbers; (5) All demonstrative information submitted by the participants; (6) Any written answers submitted by the NRC staff in response to questions posed by the presiding officer with ADAMS accession numbers; (7) A certification that all documentary information has been entered into ADAMS, and have been placed on the NRC Web site unless otherwise protected from public disclosure; (8) A certification by the presiding officer that the record contains sufficient information for the Commission to make a reasoned determination on the Commission-identified issue; and (9) At the option of the presiding officer, a summary of the information in the record and a proposed resolution of the Commission-identified issue with a supporting basis. | ||||
| 10:10:1.0.1.1.2.15.23.10 | 10 | Energy | 2 | PART 2—AGENCY RULES OF PRACTICE AND PROCEDURE | § 2.1509 Ex parte communications and separation of functions. | NRC | Section 2.347 applies in a legislative hearing. Section 2.348 applies in a legislative hearing only where the hearing addresses an issue certified to the Commission under § 2.335(d), and then only with respect to the underlying contested matter. | ||||
| 10:10:1.0.1.1.3.0.39.1 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.1 Purpose and scope. | NRC | [52 FR 25357, July 7, 1987] | The regulations in this part implement: (a) The provisions of title VI of the Civil Rights Act of 1964, Pub. L. 88-352; (78 Stat. 241; 42 U.S.C. 2000a note), and title IV of the Energy Reorganization Act of 1974, Pub. L. 93-438, (88 Stat. 1233; 42 U.S.C. 5801 note), which relate to nondiscrimination with respect to race, color, national origin or sex in any program or activity receiving Federal financial assistance from NRC; (b) The provisions of section 504 of the Rehabilitation Act of 1973, as amended, Pub. L. 93-112 (87 Stat. 355; 29 U.S.C. 701 note), Pub. L. 95-602 (92 Stat. 2955; 29 U.S.C. 701 note), which relates to nondiscrimination with respect to the disabled in any program or activity receiving Federal financial assistance; and (c) The provisions of the Age Discrimination Act of 1975, as amended Pub. L. 94-135 (89 Stat. 713; 42 U.S.C. 3001 note), Pub. L. 95-478 (92 Stat. 1513; 42 U.S.C. 3001 note), which relates to nondiscrimination on the basis of age in any program or activity receiving Federal financial assistance. | |||
| 10:10:1.0.1.1.3.0.39.2 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.2 Subparts. | NRC | [52 FR 25358, July 7, 1987] | Subpart A sets forth rules applicable to title VI of the Civil Rights Act of 1964 and title IV of the Energy Reorganization Act of 1974. (The Acts are collectively referred to in subpart A as “the Act”.) Subpart B sets forth rules applicable specifically to matters pertaining to section 504 of the Rehabilitation Act of 1973, as amended. Subpart C sets forth rules pertaining to the provisions of the Age Discrimination Act of 1975, as amended, Pub. L. 94-135 (89 Stat. 713; 42 U.S.C. 3001 note), Pub. L. 95-478 (92 Stat. 1513; 42 U.S.C. 3001 note), which relates to nondiscrimination on the basis of age in any program or activity receiving Federal financial assistance. | |||
| 10:10:1.0.1.1.3.0.39.3 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.3 Application of this part. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51344, Aug. 26, 2003] | This part applies to any program for which Federal financial assistance is authorized under a law administered by NRC. The types of Federal financial assistance to which this part applies are listed in appendix A of this part; appendix A may be revised from time to time by notice published in the Federal Register. This part applies to money paid, property transferred, or other Federal assistance extended, by way of grant, entitlement, cooperative agreement, loan, contract, or other agreement by NRC, or an authorized contractor or subcontractor of NRC, the terms of which require compliance with this part. If any statutes implemented by this part are otherwise applicable, the failure to list a type of Federal financial assistance in appendix A does not mean a program or activity is not covered by this part. This part does not apply to— (a) Contracts of insurance or guaranty; or (b) Procurement contracts; or (c) Employment practices under any program or activity except as provided in §§ 4.13, 4.122 and 4.302. | |||
| 10:10:1.0.1.1.3.0.39.4 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.4 Definitions. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 45 FR 14535, Mar. 6, 1980; 45 FR 18905, Mar. 24, 1980. Redesignated and amended at 52 FR 25358, July 7, 1987; 63 FR 15742, Apr. 1, 1998; 68 FR 51344, Aug. 26, 2003; 68 FR 75389, Dec. 31, 2003] | (a) Applicant means one who submits an application, request, or plan required to be approved by NRC, or by a primary recipient, as a condition to eligibility for Federal financial assistance; “application” means such an application, request, or plan. (b) Commission means the Commission of five members or a quorum thereof sitting as a body; “NRC” means the Nuclear Regulatory Commission and its duly authorized representatives. (c) Facility includes all or any portion of structures, equipment, or other real or personal property or interests therein, and the provisions of facilities includes the construction, expansion, renovation, remodeling, alteration or acquisition of facilities. (d) Federal financial assistance means any grant, entitlement, loan, cooperative agreement, contract (other than a procurement contract or a contract of insurance or guaranty), or any other arrangement by which NRC provides or otherwise makes available assistance in the form of— (1) Funds; (2) Services of Federal personnel or other personnel at Federal expense; or (3) Real and personal property or any interest in or use of property, including— (i) Transfers or leases of property for less than fair market value or for reduced consideration; (ii) Proceeds from a subsequent transfer or lease of property if the Federal share of its fair market value is not returned to the Federal Government; and the (iii) Sale and lease of, and the permission to use (other than on casual or transient basis) Federal property or any interest in such property without consideration or at a nominal consideration, or at a consideration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by such sale or lease to the recipient. (e) Administrative Law Judge means an individual appointed pursuant to section 11 of the Administrative Procedure Act to conduct proceedings subject to this part. (f) Primary recipient means any recipient which is authorized or required to extend Federal fin… | |||
| 10:10:1.0.1.1.3.0.39.5 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.5 Communications and reports. | NRC | [68 FR 58799, Oct. 10, 2003, as amended at 74 FR 62679, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | Except as otherwise indicated, communications and reports relating to this part may be sent to the NRC by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | |||
| 10:10:1.0.1.1.3.0.39.6 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.6 Maintenance of records. | NRC | [53 FR 19244, May 27, 1988] | Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. | |||
| 10:10:1.0.1.1.3.0.39.7 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.8 Information collection requirements: OMB approval. | NRC | [62 FR 52184, Oct. 6, 1997] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0053. (b) The approved information collection requirements contained in this part appear in §§ 4.32, 4.34, 4.125, 4.127, 4.231, 4.232, 4.322, and 4.324. | |||
| 10:10:1.0.1.1.3.1.40.1 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.11 General prohibition. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975] | No person in the United States shall, on the ground of sex, race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program to which this subpart applies. | |||
| 10:10:1.0.1.1.3.1.40.2 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.12 Specific discriminatory actions prohibited. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17927, July 5, 1973; 40 FR 8778, Mar. 3, 1975; 68 FR 51344, Aug. 26, 2003] | (a) A recipient to which this subpart applies may not, directly or through contractual or other arrangements, on the ground of sex, race, color, or national origin: (1) Deny an individual any service, financial aid, or other benefit provided under the program; (2) Provide any service, financial aid, or other benefit to an individual which is different, or is provided in a different manner, from that provided to others under the program; (3) Subject an individual to segregation or separate treatment in any matter related to his receipt of any service, financial aid, or other benefit under the program; (4) Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service, financial aid, or other benefit under the program; (5) Treat an individual differently from others in determining whether he satisfies any admission, enrollment, quota, eligibilty, membership or other requirement or condition which individuals must meet in order to be provided any service, financial aid, or other benefit provided under the program; (6) Deny an individual an opportunity to participate in the program through the provision of services or otherwise or afford him an opportunity to do so which is different from that afforded others under the program (including the opportunity to participate in the program as an employee but only to the extent set forth in § 4.13). (b) A recipient in determining the types of services, financial aid, or other benefits, or facilities which will be provided under any such program, or the class of individuals to whom, or the situations in which, such services, financial aid, other benefits, or facilities will be provided under any such program, or the class of individuals to be afforded an opportunity to participate in any such program, may not, directly or through contractual or other arrangements, utilize criteria or methods of administration which have the effect of subjecting individuals to discrimination because of their sex, race, color, or … | |||
| 10:10:1.0.1.1.3.1.40.3 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.13 Employment practices. | NRC | [38 FR 17927, July 5, 1973, as amended at 40 FR 8778, Mar. 3, 1975; 68 FR 51344, Aug. 26, 2003] | (a) Where a primary objective of the Federal financial assistance to a program to which this subpart applies is to provide employment, a recipient may not, directly or through contractual or other arrangements, subject an individual to discrimination on the ground of sex, race, color, or national origin in its employment practices under such program (including recruitment or recruitment advertising, employment, layoff or termination, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and use of facilities), including programs where a primary objective of the Federal financial assistance to a program is (1) to assist such individuals through employment to meet expenses incident to the commencement or continuation of their education or training, or (2) to provide work experience which contributes to the education or training of such individuals. (Examples of such Federal financial assistance are nuclear training equipment grants, grants and loans of materials for training, and fellowships.) The requirements applicable to construction employment under any such program shall be those specified in or pursuant to part III of Executive Order 11246 or any Executive order which supersedes it. (b) Where a primary objective of the Federal financial assistance is not to provide employment, but discrimination on the grounds of sex, race, color, or national origin in the employment practices of the recipient or other persons subject to this subpart tends, on the grounds of sex, race, color, or national origin, to exclude individuals from participation in, to deny them the benefits of, or to subject them to discrimination under any program to which this subpart applies, the provisions of paragraph (a) of this section shall apply to the employment practices of the recipient or other persons subject to this subpart to the extent necessary to assure equality of opportunity to, and nondiscriminatory treatment of, beneficiaries. | |||
| 10:10:1.0.1.1.3.1.40.4 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.14 Medical emergencies. | NRC | A recipient shall not be deemed to have failed to comply with § 4.11 if immediate provision of a service or other benefit to an individual is necessary to prevent his death or serious impairment of his health, and such service or other benefit cannot be provided except by or through a medical institution which refuses or fails to comply with § 4.11. | ||||
| 10:10:1.0.1.1.3.1.41.5 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.21 General requirements. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17927, July 5, 1973; 68 FR 51344, Aug. 26, 2003; 68 FR 75389, Dec. 31, 2003] | (a) Every grant, loan or contract to which this subpart applies, except an application to which § 4.22 applies, shall, as a condition to its approval by NRC, or by the appropriate NRC contractor or subcontractor, and the extension of any Federal financial assistance pursuant thereto, contain or be accompanied by an assurance that the program will be conducted in compliance with all requirements imposed by or pursuant to this subpart. In the case of a grant, loan, or contract involving Federal financial assistance to provide real property or structures thereon, the assurance shall obligate the recipient, or, in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits. In the case of personal property the assurance shall obligate the recipient for the period during which he retains ownership or possession of the property. In all other cases the assurance shall obligate the recipient for the period during which Federal financial assistance is extended pursuant to the grant, loan or contract. The Commission will specify the form of the foregoing assurances and the extent to which like assurances will be required of subgrantees, contractors and subcontractors, successors in interest, and other participants. Any such assurance shall include provisions which give the United States a right to seek its judicial enforcement. (b) In the case of real property, structures or improvements thereon, or interests therein, which was acquired with Federal financial assistance, or in the case where Federal financial assistance is provided in the form of a transfer of real property or interest therein from the Federal Government, the instrument effecting or recording the transfer shall contain a covenant running with the land assuring nondiscrimination for the period during which the real property is used for a purpose for w… | |||
| 10:10:1.0.1.1.3.1.41.6 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.22 Continuing Federal financial assistance. | NRC | [38 FR 17928, July 5, 1973, as amended at 68 FR 51344, Aug. 26, 2003] | Every application by a State or a State agency for continuing Federal financial assistance shall require the submission of and every grant, loan, or contract to or with a State or a State agency for continuing Federal financial assistance to which this subpart applies, shall, as a condition to its approval and the extension of any Federal financial assistance pursuant to the grant, loan or contract, contain or be accompanied by, a statement that the program is (or, in the case of a new program, will be) conducted in compliance with all requirements imposed by or pursuant to this subpart, and shall provide or be accompanied by provisions for such methods of administration for the program as are found by the responsible NRC official to give reasonable assurance that the recipient and all other recipients of Federal financial assistance under such program will comply with all requirements imposed by or pursuant to this subpart. | |||
| 10:10:1.0.1.1.3.1.41.7 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.24 Assurances from institutions. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 68 FR 51344, Aug. 26, 2003] | (a) In the case of a grant, loan or contract involving Federal financial assistance to an institution of higher education, the assurance required by § 4.21 shall extend to admission practices and to all other practices relating to the treatment of students. (b) The assurance required with respect to an institution of higher education, hospital, or any other institution, insofar as the assurance relates to the institution's practices with respect to admission or other treatment of individuals as students, patients, or clients of the institution or to the opportunity to participate in the provision of services or other benefits to such individuals, shall be applicable to the entire institution. | |||
| 10:10:1.0.1.1.3.1.42.8 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.31 Cooperation and assistance. | NRC | The responsible NRC official shall to the fullest extent practicable seek the cooperation of recipients in obtaining compliance with this subpart and shall provide assistance and guidance to recipients to help them comply voluntarily with this subpart. | ||||
| 10:10:1.0.1.1.3.1.42.9 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.32 Compliance reports. | NRC | [53 FR 19244, May 27, 1988, as amended at 68 FR 51344, Aug. 26, 2003] | (a) Each recipient shall keep records and submit to the responsible NRC official, timely, complete, and accurate compliance reports at the times and in the form and containing the information that the responsible NRC official may determine to be necessary to enable the official to ascertain whether the recipient has complied or is complying with this subpart. (b) In the case in which a primary recipient extends Federal financial assistance to any other recipient, the other recipient shall also submit necessary compliance reports to the primary recipient to enable the primary recipient to carry out its obligations under this subpart. (c) The primary recipient shall retain each record of information needed to complete a compliance report pursuant to paragraph (a) of this section for three years or as long as the primary recipient retains the status of primary recipient as defined in § 4.4, whichever is shorter. | |||
| 10:10:1.0.1.1.3.1.42.10 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.33 Access to sources of information. | NRC | Each recipient shall permit access by the responsible NRC official during normal business hours to such of its books, records, accounts, and other sources of information, and its facilities as may be pertinent to ascertain compliance with this subpart. Where any information required of a recipient is in the exclusive possession of any other agency, institution or person and that agency, institution or person shall fail or refuse to furnish this information, the recipient shall so certify in its report and shall set forth what efforts it has made to obtain the information. | ||||
| 10:10:1.0.1.1.3.1.42.11 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.34 Information to beneficiaries and participants. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 68 FR 51344, Aug. 26, 2003] | Each recipient shall make available to participants, beneficiaries, and other interested persons such information regarding the provisions of this subpart and its applicability to the program for which the recipient receives Federal financial assistance, and make such information available to them in such manner, as the responsible NRC official finds necessary to apprise such persons of the protections against discrimination assured them by the Act and this subpart. | |||
| 10:10:1.0.1.1.3.1.43.12 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.41 Periodic compliance reviews. | NRC | The responsible NRC official shall from time to time review the practices of recipients to determine whether they are complying with this subpart. | ||||
| 10:10:1.0.1.1.3.1.43.13 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.42 Complaints. | NRC | Any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this subpart may by himself or by a representative file with the responsible NRC official a written complaint. A complaint must be filed not later than ninety (90) days from the date of the alleged discrimination, unless the time for filing is extended by the responsible NRC official. A complaint shall be signed by the complainant or his representative. | ||||
| 10:10:1.0.1.1.3.1.43.14 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.43 Investigations. | NRC | The responsible NRC official will make a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with this subpart. The investigation should include, where appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this subpart occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this subpart. | ||||
| 10:10:1.0.1.1.3.1.43.15 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.44 Resolution of matters. | NRC | (a) If an investigation pursuant to § 4.43 indicates a failure to comply with this subpart, the responsible NRC official will so inform the recipient and the matter will be resolved by voluntary means whenever possible. If it has been determined that the matter cannot be resolved by voluntary means, action will be taken as provided for in §§ 4.46 through 4.49. (b) If an investigation does not warrant action pursuant to paragraph (a) of this section, the responsible NRC official will so inform the recipient and the complainant, if any, in writing. | ||||
| 10:10:1.0.1.1.3.1.43.16 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.45 Intimidatory or retaliatory acts prohibited. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975] | No recipient or other person shall intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by the Act or this subpart, or because he has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this subpart. The identity of complainants shall be kept confidential, except to the extent necessary to carry out the purposes of this subpart including the conduct of any investigation, hearing, or judicial proceeding arising thereunder. | |||
| 10:10:1.0.1.1.3.1.44.17 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.46 Means available. | NRC | If there appears to be a failure or threatened failure to comply with any of the provisions of this subpart, and if the noncompliance or threatened concompliance cannot be corrected by informal means, compliance with this subpart may be effected by the suspension or termination of or refusal to grant or to continue Federal financial assistance or by any other means authorized by law. Such other means may include, but are not limited to: (a) A reference to the Department of Justice with a recommendation that appropriate proceedings be brought to enforce any rights of the United States under any law of the United States (including other titles of the Act), or any assurance or other contractual undertaking, and (b) any applicable proceeding under State or local law. | ||||
| 10:10:1.0.1.1.3.1.44.18 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.47 Noncompliance with § 4.21. | NRC | [45 FR 14535, Mar. 6, 1980] | If an applicant fails or refuses to furnish an assurance required under § 4.21 or otherwise fails or refuses to comply with a requirement imposed by or pursuant to that section, Federal financial assistance may be refused in accordance with the procedures of § 4.48. | |||
| 10:10:1.0.1.1.3.1.44.19 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.48 Termination of or refusal to grant or to continue Federal financial assistance. | NRC | No order suspending, terminating, or refusing to grant or continue Federal financial assistance shall become effective until: (a) The responsible NRC official has advised the applicant or recipient of his failure to comply and has determined that compliance cannot be secured by voluntary means, (b) there has been an express finding on the record, after opportunity for hearing, of a failure by the applicant or recipient to comply with the requirement imposed by or pursuant to this subpart, (c) the action has been approved by the Commission pursuant to § 4.72, and (d) the expiration of thirty (30) days after the Commission has filed with the committee of the House and the committee of the Senate having legislative jurisdiction over the program involved, a full written report of the circumstances and the grounds for such action. Any action to suspend or terminate or to refuse to grant or to continue Federal financial assistance shall be limited to the particular political entity, or part thereof, or other applicant or recipient as to whom such finding has been made and shall be limited in its effect to the particular program, or part thereof, in which such noncompliance has been so found. | ||||
| 10:10:1.0.1.1.3.1.44.20 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.49 Other means authorized by law. | NRC | [38 FR 17928, July 5, 1973] | No action to effect compliance by any other means authorized by law shall be taken until: (a) The responsible NRC official has determined that compliance cannot be secured by voluntary means, (b) the recipient or other person has been notified of its failure to comply and of the action to be taken to effect compliance, and (c) the expiration of at least ten (10) days from the mailing of such notice to the recipient or other person. During this period of at least ten (10) days, additional efforts shall be made to persuade the recipient or other person to comply with this subpart and to take such corrective action as may be appropriate. | |||
| 10:10:1.0.1.1.3.1.45.21 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.51 Notice of opportunity for hearing. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17928, July 5, 1973; 40 FR 8778, Mar. 3, 1975; 68 FR 51344, Aug. 26, 2003] | (a) Whenever an opportunity for hearing is required by § 4.48, the responsible NRC official shall serve on the applicant or recipient, by registered or certified mail, return receipt requested, a notice of opportunity for hearing which will: (1) Inform the applicant or recipient of his right within twenty (20) days of the date of the notice of opportunity for hearing, or such other period as may be specified in the notice, to request a hearing; (2) Set forth the alleged item or items of noncompliance with this subpart; (3) Specify the issues; (4) State that compliance with this subpart may be effected by an order providing for the termination of or refusal to grant or to continue assistance, as appropriate; and (5) Provide that the applicant or recipient may file a written answer to the notice of opportunity for hearing under oath or affirmation within twenty (20) days of its date, or such other period as may be specified in the notice. (b) The applicant or recipient may respond to a notice of opportunity for hearing by filing a written answer under oath or affirmation. The answer shall specifically admit or deny each allegation, or, where the applicant or recipient does not have knowledge or information sufficient to form a belief, the answer may so state and the statements shall have the effect of a denial. Allegations of fact not denied shall be deemed to be admitted. The answer shall separately state and identify matters alleged as affirmative defenses and may also set forth the matters of fact and law on which the applicant or recipient relies. The answer may request a hearing. (c) If the answer requests a hearing, the Commission will issue a notice of hearing specifying: (1) The time, place, and nature thereof; (2) The legal authority and jurisdiction under which the hearing is to be held; and (3) The matters of fact and law asserted or to be considered. The time and place of hearing will be fixed with due regard for the convenience and necessity of the parties or their representatives and for the… | |||
| 10:10:1.0.1.1.3.1.46.22 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.61 Presiding officer. | NRC | [35 FR 11459, July 17, 1970] | One or more members of the Commission or one or more administrative law judges appointed pursuant to section 3105 of title 5 of the United States Code shall: (a) Preside at a hearing and (b) make findings of fact and conclusions of law if an applicant or recipient waives a hearing and submits written information or argument for the record in accordance with § 4.51(d). | |||
| 10:10:1.0.1.1.3.1.46.23 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.62 Right to counsel. | NRC | In all proceedings under §§ 4.51-4.81, the applicant or recipient and the responsible NRC official shall have the right to be represented by counsel. A notice of appearance shall be filed by counsel prior to participation in any such proceedings. | ||||
| 10:10:1.0.1.1.3.1.46.24 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.63 Procedures, evidence, and record. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 35 FR 11459, July 17, 1970; 38 FR 17928, July 5, 1973] | (a) The hearing, decision, and any administrative review thereof shall be conducted in conformity with 5 U.S.C. 554-557 (sections 5-8 of the Administrative Procedure Act), and in accordance with such procedures as are proper (and not inconsistent with §§ 4.61 through 4.64) relating to the conduct of the hearing, giving of notices subsequent to those provided for in § 4.51, taking of testimony, exhibits, arguments and briefs, requests for finding, and other related matters. Both the responsible NRC official and the applicant or recipient shall be entitled to introduce all relevant evidence on the issues as stated in the notice of hearing or as determined by the presiding officer at the outset of or during the hearing. (b) Technical rules of evidence shall not apply to hearings conducted pursuant to this subpart, but rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination shall be applied where reasonably necessary by the presiding officer. The presiding officer may exclude irrelevant, immaterial, or unduly repetitious evidence. All documents and other evidence offered or taken for the record shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced on either side of the issues. A transcript shall be made of the oral evidence except to the extent the substance thereof is stipulated for the record. (c) Each decision made after a hearing has been held shall be based on the hearing record, and written findings of fact and conclusions of law shall be made. (d) If an applicant or recipient waives a hearing and submits written information or argument for the record in accordance with § 4.51(d), written findings of fact and conclusions of law shall be made. | |||
| 10:10:1.0.1.1.3.1.46.25 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.64 Consolidated or joint hearings. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975; 68 FR 51344, Aug. 26, 2003] | In cases in which the same or related facts are asserted to constitute noncompliance with this subpart with respect to two or more Federal statutes, authorities, or other means by which Federal financial assistance is extended and to which this subpart applies or noncompliance with this subpart and the regulations of one or more other Federal departments or agencies issued under title VI of the Civil Rights Act of 1964, the Commission may, by agreement with such other departments or agencies, where applicable, provide for the conduct of consolidated or joint hearings, and for the application to such hearings of rules of procedure not inconsistent with this subpart. Final decisions in such cases, insofar as this regulation is concerned shall be made in accordance with § 4.72. | |||
| 10:10:1.0.1.1.3.1.47.26 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.71 Initial decision or certification. | NRC | The officer designated: (a) To preside at a hearing, or, (b) To make findings of fact and conclusions of law if an applicant or recipient waives a hearing and submits written information or argument for the record in accordance with § 4.51(d), shall render an initial decision on the record, or, if the Commission so directs, shall certify the entire record to the Commission for decision, together with a recommended decision on the record. A copy of such initial decision, or of such certification and recommended decision, shall be mailed to the applicant or recipient. | ||||
| 10:10:1.0.1.1.3.1.47.27 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.72 Exceptions and final decision. | NRC | (a) The applicant or recipient, within thirty (30) days of the mailing of an initial decision or a recommended decision, may file with the Commission his exceptions to such decision, with his reasons therefor. (b) In the absence of exceptions to an initial decision, the Commission may, on its own motion within forty-five (45) days after the mailing of such initial decision, serve on the applicant or recipient a notice that the Commission will review the decision. (c) Upon the filing of exceptions to an initial decision or of a notice of review, the Commission shall review such initial decision and issue its own decision on the record with its reasons therefor. (d) In the absence of either exceptions to an initial decision or of a notice of review, such initial decision shall constitute the final decision of the Commission. (e) Upon the filing of exceptions to a recommended decision, the Commission shall review such recommended decision and issue its own decision on the record with its reasons therefor. (f) In the absence of exceptions to a recommended decision, the Commission shall review such recommended decision and issue its own decision on the record with its reasons therefor. | ||||
| 10:10:1.0.1.1.3.1.47.28 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.73 Rulings required. | NRC | Each decision of a presiding officer or the Commission shall set forth the rulings on each finding, conclusion, or exception presented, and shall identify the requirement or requirements imposed by or pursuant to this subpart with which it is found that the applicant or recipient has failed to comply. | ||||
| 10:10:1.0.1.1.3.1.47.29 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.74 Content of orders. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 68 FR 51344, Aug. 26, 2003] | The final decision may provide for suspension or termination of, or refusal to grant or continue Federal financial assistance, in whole or in part, to which this regulation applies, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Act and this subpart, including provisions designed to assure that no Federal financial assistance to which this regulation applies will thereafter be extended to the applicant or recipient determined by such decision to be in default in its performance of an assurance given by it pursuant to this subpart, or to have otherwise failed to comply with this subpart, unless and until it corrects its noncompliance and satisfies the NRC that it will fully comply with this subpart. A copy of the final decision shall be mailed to the applicant or recipient and the complainant, if any. | |||
| 10:10:1.0.1.1.3.1.47.30 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.75 Post termination proceedings. | NRC | [38 FR 17928, July 5, 1973, as amended at 40 FR 8778, Mar. 3, 1975] | (a) An applicant or recipient adversely affected by an order issued under § 4.74 shall be restored to full eligibility to receive Federal financial assistance if it satisfies the terms and conditions of that order for such eligibility or if it brings itself into compliance with this subpart and provides reasonable assurance that it will fully comply with this subpart. (b) Any applicant or recipient adversely affected by an order entered pursuant to § 4.74 may at any time request the responsible NRC official to restore fully its eligibility to receive Federal financial assistance. Any such request shall be supported by information showing that the applicant or recipient has met the requirements of paragraph (a) of this section. If the responsible NRC official determines that those requirements have been satisfied, he shall restore such eligibility. (c) If the responsible NRC official denies any such request, the applicant or recipient may submit a request for a hearing in writing, specifying why it believes such official to have been in error. It shall thereupon be given an expeditious hearing, with the decision on the record, in accordance with rules of procedure issued by the responsible NRC official. The applicant or recipient will be restored to such eligibility if it proves at such a hearing that it satisfied the requirements of paragraph (a) of this section. While proceedings under this section are pending, the sanctions imposed by the order issued under § 4.74 shall remain in effect. | |||
| 10:10:1.0.1.1.3.1.48.31 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.81 Judicial review. | NRC | [40 FR 8778, Mar. 3, 1975] | Action taken pursuant to section 602 of the Civil Rights Act of 1964 is subject to judicial review as provided in section 603 of that Act. | |||
| 10:10:1.0.1.1.3.1.49.32 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.91 Effect on other regulations. | NRC | [29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17928, July 5, 1973; 40 FR 8778, Mar. 3, 1975; 68 FR 51344, Aug. 26, 2003] | All regulations, orders, or like directions heretofore issued by any officer of the NRC which impose requirements designed to prohibit any discrimination against individuals on the grounds of sex, race, color, or national origin under any program to which this subpart applies, and which authorize the suspension or termination of or refusal to grant or to continue Federal financial assistance to any applicant for or recipient of such assistance for failure to comply with such requirements, are hereby superseded to the extent that such discrimination is prohibited by this subpart, except that nothing in this subpart shall be deemed to relieve any person of any obligation assumed or imposed under any such superseded regulation, order, instruction, or like direction prior to the effective date of this subpart. Nothing in this subpart, however, shall be deemed to supersede any of the following (including future amendments thereof): (a) Executive Orders 10925, 11114, and 11246 and regulations issued thereunder, or (b) Executive Order 11063 and regulations issued thereunder and any other regulations or instructions insofar as such order, regulations or instructions prohibit discrimination on the grounds of sex, race, color, or national origin in any program or situation to which this subpart is inapplicable, or prohibit discrimination on any other ground. | |||
| 10:10:1.0.1.1.3.1.49.33 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.92 Forms and instructions. | NRC | The responsible NRC official shall issue and promptly make available to interested persons forms and detailed instructions and procedures for effectuating this subpart as applied to programs to which this subpart applies and for which he is responsible. | ||||
| 10:10:1.0.1.1.3.1.49.34 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.93 Supervision and coordination. | NRC | [40 FR 8778, Mar. 3, 1975] | The Commission may from time to time assign to officials of other departments or agencies of the Government, with the consent of the department or agency involved, responsibilities in connection with the effectuation of the purposes of title VI of the Civil Rights Act of 1964 and this subpart, other than responsibility for final decision as provided in § 4.72, including the achievement of effective coordination and maximum uniformity within the NRC and within the Executive Branch of the Government in the application of title VI of the Civil Rights Act and this subpart to similar programs and in similar situations. Any action taken, determination made, or requirement imposed by an official of another department or agency acting pursuant to an assignment of responsibility under this section shall have the same effect as though such action had been taken by the responsible NRC official. | |||
| 10:10:1.0.1.1.3.2.50.1 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.101 Definitions. | NRC | As used in this subpart: (a) Disabled person means any person who has a physical or mental impairment that substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment. Such term does not include any individual who is an alcoholic or drug abuser whose current use of alcohol or drugs prevents such individual from performing the duties of the job in question or whose employment, by reason of such current alcohol or drug abuse, would constitute a direct threat to property or the safety of others. (b) As used in paragraph (a) of this section, the phrase: (1) Physical or mental impairment means: (i) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: Neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive, genitourinary; hemic and lymphatic; skin; and endocrine; or (ii) any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. The term physical or mental impairment includes, but is not limited to, such diseases and conditions as orthopedic, visual, speech, and hearing impairments, cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, and emotional illness. (2) Major life activities means functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working. (3) Has a record of such an impairment means has a history of, or has been misclassified as having, a mental or physical impairment that substantially limits one or more major life activities. (4) Is regarded as having an impairment means: (i) Has a physical or mental impairment that does not substantially limit major life activities but is treated by a recipient as constituting such a limitat… | ||||
| 10:10:1.0.1.1.3.2.50.2 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.121 General prohibitions against discrimination. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | (a) No qualified disabled person, shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subject to discrimination under any program or activity that receives Federal financial assistance. (b)(1) A recipient, in providing any aid, benefit, or service, may not, directly or through contractual, licensing, or other arrangements, on the basis of disability: (i) Deny a qualified disabled person the opportunity to participate in or benefit from the aid, benefit, or service; (ii) Afford a qualified disabled person an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others; (iii) Provide a qualified disabled person with an aid, benefit, or service that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others; (iv) Provide different or separate aid, benefits, or services to disabled persons or to any class of disabled persons than is provided to others unless such action is necessary to provide qualified disabled persons with aid, benefits, or services that are as effective as those provided to others; (v) Aid or perpetuate discrimination against a qualified disabled person by providing significant assistance to any agency, organization, or person that discriminates on the basis of disability in providing any aid, benefit, or service to beneficiaries of the recipient's program or activity; (vi) Deny a qualified disabled person the opportunity to participate as a member of planning or advisory boards; or (vii) Otherwise limit a qualified disabled person in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving the aid, benefit, or service. (2) A recipient may not deny a qualified disabled person the opportunity to participate in aid, benefits, or services that are not separate or different, despite the existence of permissibly separate or differe… | |||
| 10:10:1.0.1.1.3.2.50.3 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.122 General prohibitions against employment discrimination. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | (a) No qualified disabled person shall, on the basis of disability, be subjected to discrimination in employment under any program or activity that receives Federal financial assistance. (b) A recipient shall make all decisions concerning employment under any program or activity to which this subpart applies in a manner which ensures that discrimination on the basis of disability does not occur and may not limit, segregate, or classify applicants or employees in any way that adversely affects their opportunities or status because of disability. (c) The prohibition against discrimination in employment applies to the following activities: (1) Recruitment, advertising, and the processing of applications for employment; (2) Hiring, upgrading, promotion, award of tenure, demotion, transfer, layoff, termination, right of return from layoff, and rehiring; (3) Rates of pay or any other form of compensation and changes in compensation; (4) Job assignments, job classifications, organizational structures, position descriptions, lines of progression, and seniority lists; (5) Leaves of absence, sick leave, or any other leave; (6) Fringe benefits available by virtue of employment, whether or not administered by the recipient; (7) Selection and financial support for training, including apprenticeship, professional meetings, conferences, and other related activities and selection for leaves of absence to pursue training; (8) Employer sponsored activities, including those that are social or recreational; and (9) Any other term, condition, or privilege of employment. (d) A recipient may not participate in a contractual or other relationship that has the effect of subjecting qualified disabled applicants or employees to discrimination prohibited by this subpart. The relationships referred to in this paragraph include relationships with employment and referral agencies, with labor unions, with organizations providing or administering fringe benefits to employees of the recipient, and with organizations providing training… | |||
| 10:10:1.0.1.1.3.2.50.4 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.123 Reasonable accommodation. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | (a) A recipient shall make reasonable accommodation to the known physical or mental limitations of an otherwise qualified disabled applicant or employee unless the recipient can demonstrate that the accommodation would impose an undue hardship on the operation of its program or activity. (b) Reasonable accommodation may include: (1) Making facilities used by employees readily accessible to and usable by disabled persons, and (2) job restructuring, part-time or modified work schedules, acquisition or modification of equipment or devices, the provision of readers or interpreters, and other similar actions. This list is neither all-inclusive nor meant to suggest that an employer must follow all the actions listed. (c) In determining pursuant to paragraph (a) of this section whether an accommodation would impose an undue hardship on the operation of a recipient's program or activity, factors to be considered include: (1) The overall size of the recipient's program or activity with respect to number of employees, number and type of facilities, and size of budget; (2) The type of the recipient's operations, including the composition and structure of the recipient's workforce; and (3) The nature and cost of the accommodation needed. (d) A recipient may not deny any employment opportunity to a qualified disabled employee or applicant if the basis for denial is the need to make reasonable accommodation to the physical or mental limitations of the employee or applicant. | |||
| 10:10:1.0.1.1.3.2.50.5 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.124 Employment criteria. | NRC | (a) A recipient may not make use of any employment test or other selection criterion that screens out or tends to screen out disabled persons or any class of disabled persons unless: (1) The test score or other selection criterion as used by the recipient is shown to be job-related for the position in question; and (2) Alternative job-related tests or criteria that do not screen out or tend to screen out as many disabled persons are not available. (b) A recipient shall select and administer tests concerning employment so as best to ensure that, when administered to an applicant or employee who has a disability that impairs sensory, manual, or speaking skills, the test results accurately reflect the applicant's or employee's job skills, aptitude, or whatever other factor the test purports to measure, rather than reflecting the applicant's or employee's impaired sensory, manual, or speaking skills (except where those skills are the factors that the test purports to measure). | ||||
| 10:10:1.0.1.1.3.2.50.6 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.125 Preemployment inquiries. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 53 FR 19244, May 27, 1988] | (a) Except as provided in paragraphs (b) and (c) of this section, a recipient may not conduct a preemployment medical examination or may not make preemployment inquiry of an applicant as to whether the applicant is a disabled person or as to the nature of severity of a disability. A recipient may, however, make preemployment inquiry into an applicant's ability to perform job-related functions. (b) When a recipient is taking remedial action to correct the effects of past discrimination, or when a recipient is taking voluntary action to overcome the effects of conditions that resulted in limited participation in its federally assisted program or activity, or when a recipient is taking affirmative action pursuant to section 503 of the Rehabilitation Act of 1973, the recipient may invite applicants for employment to indicate whether and to what extent they are disabled: Provided, That: (1) The recipient makes clear to the applicant that the information requested is intended for use solely in connection with its remedial action obligations or its voluntary or affirmative action efforts; and (2) The recipient makes clear to the applicant that the information is being requested on a voluntary basis, that it will be kept confidential as provided in paragraph (d) of this section, that refusal to provide it will not subject the applicant to any adverse treatment, and that it will be used only in accordance with this subpart. (c) Nothing in this section shall prohibit a recipient from conditioning an offer of employment on the results of a medical examination conducted prior to the employee's entrance on duty: Provided, That: (1) All entering employees are subjected to such an examination regardless of disability; and (2) The results of such an examination are used only in accordance with the requirements of this subpart. (d) Information obtained in accordance with this section as to the medical condition or history of the applicant must be collected on separate forms. The recipient shall retain each form as a re… | |||
| 10:10:1.0.1.1.3.2.50.7 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.126 General requirement concerning accessibility. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | No qualified disabled person shall, because a recipient's facilities are inaccessible to or unusable by disabled persons, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity that receives Federal financial assistance. | |||
| 10:10:1.0.1.1.3.2.50.8 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.127 Existing facilities. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 53 FR 19244, May 27, 1988; 68 FR 51345, Aug. 26, 2003] | (a) Accessibility. A recipient shall operate each program or activity so that when each part is viewed in its entirety it is readily accessible to and usable by disabled persons. This paragraph does not necessarily require a recipient to make each of its existing facilities or every part of an existing facility accessible to and usable by disabled persons. (b) Methods. A recipient may comply with the requirements of paragraph (a) of this section through such means as redesign of equipment, reassignment of classes or other services to accessible buildings, assignment of aids to beneficiaries, home visits, delivery of health, welfare or other social services at alternate accessible sites, alteration of existing facilities and construction of new facilities in conformance with the requirements of § 4.128 or any other methods that result in making its program or activity accessible to and usable by disabled persons. A recipient is not required to make structural changes in existing facilities where other methods are effective in achieving compliance with paragraph (a) of this section. In choosing among available methods for meeting the requirement of paragraph (a) of this section, a recipient shall give priority to those methods that serve disabled persons in the most integrated setting appropriate. (c) Time period. A recipient shall comply with the requirement of paragraph (a) of this section within 60 days of the effective date of this subpart except that where structural changes in facilities are necessary, the changes are to be made within three years of the effective date of this subpart, but in any event, as expeditiously as possible. (d) Transition plan. In the event that structural changes to facilities are necessary to meet the requirement of paragraph (a) of this section, a recipient shall develop a transition plan setting forth the steps necessary to complete the changes. The plan is to be developed with the assistance of interested persons, including disabled persons, or organizations represent… | |||
| 10:10:1.0.1.1.3.2.50.9 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.128 New construction. | NRC | [55 FR 52138, 52139, Dec. 19, 1990] | (a) Design, construction, and alteration. New facilities shall be designed and constructed to be readily accessible to and usable by disabled persons. Alterations to existing facilities shall, to the maximum extent feasible, be designed and constructed to be readily accessible to and usable by disabled persons. (b) Conformance with Uniform Federal Accessibility Standards. (1) Effective as of January 18, 1991, design, construction, or alteration of buildings in conformance with sections 3—8 of the Uniform Federal Accessibility Standards (USAF) (appendix A to 41 CFR subpart 101-19.6) shall be deemed to comply with the requirements of this section with respect to those buildings. Departures from particular technical and scoping requirements of UFAS by the use of other methods are permitted where substantially equivalent or greater access to and usability of the building is provided. (2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall be interpreted to exempt from the requirements of UFAS only mechanical rooms and other spaces that, because of their intended use, will not require accessibility to the public or beneficiaries or result in the employment or residence therein of persons with physical disabilities. (3) This section does not require recipients to make building alterations that have little likelihood of being accomplished without removing or altering a load-bearing structural member. | |||
| 10:10:1.0.1.1.3.2.51.10 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.231 Responsibility of applicants and recipients. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | (a) Assurances. An applicant for Federal financial assistance to which this subpart applies shall submit an assurance, on a form specified by the responsible NRC official, that the program or activity will be operated in compliance with the subpart. An applicant may incorporate these assurances by reference in subsequent applications to the NRC. (b) Duration of obligation. The assurance will obligate the recipient for the period during which Federal financial assistance is extended. (c) Remedial action. (1) If the responsible NRC official finds that a recipient has discriminated against persons on the basis of disability in violation of section 504 or this subpart, the recipient shall take such remedial action as the responsible NRC official deems necessary to overcome the effect of the discrimination. (2) Where a recipient is found to have discriminated against persons on the basis of disability in violation of section 504 or this subpart and where another recipient exercises control over the recipient that has discriminated, the responsible NRC official, where appropriate, may require either or both recipients to take remedial action. (3) The responsible NRC official may, where necessary to overcome the effects of discrimination in violation of section 504 or this subpart, require a recipient to take remedial action: (i) With respect to disabled persons who are no longer participants in the recipient's program or activity but who were participants in the program when such discrimination occurred or (ii) with respect to disabled persons who would have been participants in the program or activity had the discrimination not occurred. (d) Voluntary action. A recipient may take steps, in addition to any action that is required by this subpart, to overcome the effects of conditions that resulted in limited participation in the recipient's program or activity by qualified disabled persons. (e) Self-evaluation. (1) A recipient shall as soon as practicable: (i) Evaluate, with the assistance of intereste… | |||
| 10:10:1.0.1.1.3.2.51.11 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.232 Notice. | NRC | [45 FR 14535, Mar. 6, 1980, as amended at 68 FR 51345, Aug. 26, 2003] | (a) A recipient shall take appropriate initial and continuing steps to notify participants, beneficiaries, applicants, and employees, including those with impaired vision or hearing, and unions or professional organizations holding collective bargaining or professional agreements with the recipient that it does not discriminate on the basis of disability in violation of section 504 and this subpart. The notification shall state, where appropriate, that the recipient does not discriminate in admission or access to, or treatment or employment in, its programs or activities. The notification shall also include an identification of the responsible employee designated pursuant to § 4.231(f). A present recipient shall make the initial notification required by this paragraph within 90 days of the effective date of this subpart. Methods of initial and continuing notification may include the posting of notices, publication in newspapers and magazines, placement of notices in recipients' publications, and distribution of memoranda or other written communications. (b) If a recipient publishes or uses recruitment materials or publications containing general information that it makes available to participants, beneficiaries, applicants, or employees, if shall include in those materials or publications a statement of the policy described in paragraph (a) of this section. A recipient may meet the requirement of this paragraph either by including appropriate inserts in existing materials and publications or by revising and reprinting the materials and publications. | |||
| 10:10:1.0.1.1.3.2.51.12 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.233 Enforcement procedures. | NRC | The enforcement and hearing procedures set forth in §§ 4.41 through 4.75 of subpart A with respect to discrimination based on sex, race, color or national origin shall be used for the enforcement of the regulations in subpart B with respect to discrimination based on disability. | ||||
| 10:10:1.0.1.1.3.3.52.1 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.301 Purpose and scope. | NRC | The purpose of this subpart is to set forth NRC policies and procedures under the Age Discrimination Act of 1975 which prohibits discrimination on the basis of age in programs or activities receiving Federal financial assistance. | ||||
| 10:10:1.0.1.1.3.3.52.2 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.302 Application of this subpart. | NRC | (a) The Age Discrimination Act of 1975 and these regulations apply to any program or activity receiving Federal financial assistance from NRC. (b) The Age Discrimination Act of 1975 and these regulations do not apply to— (1) An age distinction contained in that part of a Federal, State, or local statute or ordinance adopted by an elected, general purpose legislative body that— (i) Provides any benefits or assistance to persons based on age; or (ii) Establishes criteria for participation in age-related terms; or (iii) Describes intended beneficiaries or target groups in age-related terms. (2) Any employment practice of any employer, employment agency, labor organization, or any labor-management joint apprenticeship training program, except for any program or activity receiving Federal financial assistance for public service employment under the Comprehensive Employment and Training Act of 1974 (CETA) (29 U.S.C. 801 et seq. ). | ||||
| 10:10:1.0.1.1.3.3.52.3 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.303 Definitions. | NRC | As used in this subpart: (a) Act means the Age Discrimination Act of 1975, as amended, (title III of Pub. L. 94-135; 89 Stat. 713; 42 U.S.C. 3001 note). (b) Action means any act, activity, policy, rule, standard, or method of administration; or the use of any policy, rule, standard, or method of administration. (c) Age means how old a person is, or the number of elapsed years from the date of a person's birth. (d) Age distinction means any action using age or an age-related term. (e) Age-related term means a word or words which necessarily imply a particular age or range of ages (for example, “children,” “adult,” “older persons,” but not “student”). (f) Subrecipient means any of the entities in the definition of “recipient” to which a recipient extends or passes on Federal financial assistance. A subrecipient is generally regarded as a recipient of Federal financial assistance and has all the duties of a recipient in these regulations. | ||||
| 10:10:1.0.1.1.3.3.53.4 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.311 Rules against age discrimination. | NRC | The rules stated in this section are limited by the exceptions contained in §§ 4.313 and 4.314 of this subpart. (a) General rule. No person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity receiving Federal financial assistance. (b) Specific rules. A recipient may not, in any program or activity receiving Federal financial assistance, directly or through contractual, licensing, or other arrangements use age distinctions or take any other actions which have the effect, on the basis of age, of— (1) Excluding individuals from, denying them the benefits of, or subjecting them to discrimination under, a program or activity receiving Federal financial assistance, or (2) Denying or limiting individuals in their opportunity to participate in any program or activity receiving Federal financial assistance. (c) The specific forms of age discrimination listed in paragraph (b) of this section do not necessarily constitute a complete list. | ||||
| 10:10:1.0.1.1.3.3.53.5 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.312 Definitions of “normal operation” and “statutory objective”. | NRC | For purposes of §§ 4.313 and 4.314, the terms “normal operation” and “statutory objective” have the following meaning: (a) Normal operation means the operation of a program or activity without significant changes that would impair its ability to meet its objectives. (b) Statutory objective means any purposes of a program or activity expressly stated in any Federal statute State statute, or local statute or ordinance adopted by an elected general purpose legislative body. | ||||
| 10:10:1.0.1.1.3.3.53.6 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.313 Exceptions to the rules against age discrimination. Normal operation or statutory objective of any program or activity. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | A recipient is permitted to take an action, otherwise prohibited by § 4.311, if the action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity. An action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity, if— (a) Age is used as a measure or approximation of one or more other characteristics; and (b) The other characteristic(s) must be measured or approximated in order for the normal operation of the program or activity to continue, or to achieve any statutory objective of the program or activity; and (c) The other characteristic(s) can be reasonably measured or approximated by the use of age; and (d) The other characteristic(s) are impractical to measure directly on an individual basis. | |||
| 10:10:1.0.1.1.3.3.53.7 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.314 Exceptions to the rule against age discrimination. Reasonable factors other than age. | NRC | A recipient is permitted to take an action otherwise prohibited by § 4.311 which is based on a factor other than age, even though that action may have a disproportionate effect on persons of different ages. An action may be based on a factor other than age only if the factor bears a direct and substantial relationship to the normal operation of the program or activity or to the achievement of a statutory objective. | ||||
| 10:10:1.0.1.1.3.3.53.8 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.315 Burden of proof. | NRC | The burden of proving that an age distinction or other action falls within the exceptions outlined in §§ 4.313 and 4.314 is on the recipient of Federal financial assistance. | ||||
| 10:10:1.0.1.1.3.3.54.9 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.321 Assurance of compliance. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | Each NRC recipient has primary responsibility to ensure that its programs or activities are in compliance with the Act and these regulations. Each recipient will sign an assurance of compliance that its programs or activities will be conducted in compliance with all the requirements imposed by the Act and these regulations. A recipient also has responsibility to maintain records, provide information, and to afford access to its records to NRC, to the extent required to determine whether it is in compliance with the Act and these regulations. | |||
| 10:10:1.0.1.1.3.3.54.10 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.322 Written notice, technical assistance, and educational materials. | NRC | (a) NRC will provide written notice to each recipient of its obligations under the Act and these regulations, including its obligation under paragraph (b) of this section. (b) Where a recipient makes available Federal financial assistance from NRC to a subrecipient, the recipient shall provide the subrecipient written notice of the subrecipient's obligations under the Act and these regulations. (c) NRC will provide technical assistance, where necessary, to recipients to aid them in complying with the Act and these regulations. (d) NRC will make available educational materials which set forth the rights and obligations of recipients and beneficiaries under the Act and these regulations. | ||||
| 10:10:1.0.1.1.3.3.54.11 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.324 Information requirements. | NRC | Each recipient shall: (a) Make available upon request to NRC information necessary to determine whether the recipient is complying with the Act and these regulations. (b) Permit reasonable access by NRC to the recipient's books, records, accounts, facilities, and other sources of information to the extent necessary to determine whether the recipient is in compliance with the Act and these regulations. | ||||
| 10:10:1.0.1.1.3.3.55.12 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.331 Compliance reviews. | NRC | (a) NRC may conduct compliance reviews and preaward reviews of recipients or use other similar procedures that will permit it to investigate and correct violations of the Act and these regulations. NRC may conduct these reviews even in absence of a complaint against a recipient. The review may be as comprehensive as necessary to determine whether a violation of these regulations has occurred. (b) If a compliance review or preaward review indicates a violation of the Act or these regulations, NRC will attempt to achieve voluntary compliance with the Act. If voluntary compliance cannot be achieved, NRC will arrange for enforcement as described in § 4.336. | ||||
| 10:10:1.0.1.1.3.3.55.13 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.332 Complaints. | NRC | (a) Any person, individually or as a member of a class or on behalf of others, may file a complaint with NRC, alleging discrimination prohibited by the Act or these regulations based on an action occurring on or after July 1, 1979. A complainant shall file a complaint within 180 days from the date the complainant first had knowledge of the alleged act of discrimination. However, for good cause shown, NRC may extend this time limit. (b) NRC will attempt to facilitate the filing of complaints wherever possible, including taking the following measures: (1) Accepting a complaint as sufficient for further processing that— (i) Is made in writing; (ii) Alleges a violation of the Act; (iii) Identifies the parties involved and the date the complainant first had knowledge of the alleged violation; (iv) Describes generally the action or practice complained of; and (v) Is signed by the complainant. (2) Freely permitting a complainant to add information to the complaint to meet the requirements of a sufficient complaint. (3) Notifying the complainant and the recipient of their rights and obligations under the complaint procedure, including the right to have a representative at all stages of the complaint procedures. (4) Notifying the complainant and the recipient (or their representatives) of their right to contact NRC for information and assistance regarding the complaint resolution process. (c) Each recipient and complainant shall participate actively in efforts toward speedy resolution of the complaint. (d) NRC will return to the complainant any complaint outside the jurisdiction of these regulations, and will state the reason(s) why it is outside the jurisdiction of these regulations. | ||||
| 10:10:1.0.1.1.3.3.55.14 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.333 Mediation. | NRC | (a) Referral of complaints for mediation. NRC will refer to a mediation agency designated by the Secretary of the Department of Health and Human Services all complaints that— (1) Fall within the jurisdiction of the Act and these regulations; and (2) Contain all information necessary for further processing. (b) Both the complainant and the recipient shall participate in the mediation process to the extent necessary to reach an agreement or make an informed judgment that an agreement is not possible. There must be at least one meeting with the mediator before NRC will accept a judgment that an agreement is not possible. However, the recipient and the complainant need not meet with the mediator at the same time. (c) If the complainant and the recipient reach an agreement, the mediator shall prepare a written statement of the agreement and have the complainant and recipient sign it. The mediator shall send a copy of the agreement to NRC. NRC will take no further action on the complaint unless the complainant or recipient fails to comply with the agreement. (d) The mediator shall protect the confidentiality of all information obtained in the course of the mediation process. No mediator shall testify in any adjudicative proceeding, produce any document, or otherwise disclose any information obtained in the course of the mediation process without prior approval of the head of the agency appointing the mediator. (e) NRC will use the mediation process for a maximum of 60 days after receiving a complaint. Mediation ends if— (1) From the time NRC receives the complaint 60 days elapse; or (2) Prior to the end of that 60-day period, the mediator determines an agreement is reached; or (3) Prior to the end of that 60-day period, the mediator determines that an agreement cannot be reached. (f) The mediator shall return unresolved complaints to NRC. | ||||
| 10:10:1.0.1.1.3.3.55.15 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.334 Investigation. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | (a) Informal investigation. (1) NRC will investigate complaints that are unresolved after mediation or are reopened because of a violation of a mediation agreement. (2) As part of the initial investigation, NRC will use informal fact-finding methods, including joint or separate discussions with the complaint and recipient to establish the facts and, if possible, settle the complaint on terms that are mutually agreeable to the parties. NRC may seek the assistance of any involved State agency. (3) NRC will put any agreement in writing and have it signed by the parties and an authorized official at NRC. (4) The settlement shall not affect the operation of any other enforcement effort of NRC, including compliance reviews and investigation of other complaints which may involve the recipient. (5) Settlement of a complaint under this section will not constitute a finding of discrimination by the NRC against a recipient or an admission of discrimination by the recipient. (b) Formal investigation. If NRC cannot resolve the complaint through informal investigation, it will begin to develop formal findings through further investigation of the complaint. If the investigation indicates a violation of these regulations, NRC will attempt to obtain voluntary compliance. If NRC cannot obtain voluntary compliance, it will begin enforcement as described in § 4.336. | |||
| 10:10:1.0.1.1.3.3.55.16 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.335 Prohibition against intimidation or retaliation. | NRC | A recipient may not engage in acts of intimidation or retaliation against any person who— (a) Attempts to assert a right protected by the Act or these regulations; or (b) Cooperates in any mediation, investigation, hearing, or other part of NRC's investigation, conciliation, and enforcement process. | ||||
| 10:10:1.0.1.1.3.3.55.17 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.336 Compliance procedure. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | (a) NRC may enforce the Act and these regulations through— (1) Termination of a recipient's Federal financial assistance from NRC under the program or activity involved where the recipient has violated the Act or these regulations. The determination of the recipient's violation may be made only after a recipient has had an opportunity for a hearing on the record before an administrative law judge. Therefore, cases that are settled in mediation, or prior to a hearing, will not involve termination of a recipient's Federal fiancial assistance from NRC. (2) Any other means authorized by law including but not limited to— (i) Referral to the Department of Justice for proceedings to enforce any rights of the United States or obligations of the recipients created by the Act or these regulations. (ii) Use of any requirement of or referral to any Federal, State, or local government agency that will have the effect of correcting a violation of the Act or these regulations. (b) NRC will limit any termination under § 4.336(a)(1) to the particular recipient and particular program or activity NRC finds in violation of Act or these regulations. NRC will not base any part of a termination on a finding with respect to any program or activity of the recipient that does not receive Federal financial assistance from NRC. (c) NRC will take no action under paragraph (a) until— (1) The Commission, or designee, has advised the recipient of its failure to comply with the Act or these regulations and has determined that voluntary compliance cannot be obtained. (2) 30 days have elapsed after the Commission, or designee, has sent a written report of the circumstances and grounds of the action to the committees of the Congress having legislative jurisdiction over the program or activity involved. A report will be filed whenever any action is taken under paragraph (a) of this section. (d) NRC also may defer granting new Federal financial assistance to a recipient when termination proceedings under § 4.336(a)(1) are initiated. (1) New… | |||
| 10:10:1.0.1.1.3.3.55.18 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.337 Hearings, decisions, post-termination proceedings. | NRC | Certain NRC procedural provisions applicable to title VI of the Civil Rights Act of 1964 apply to NRC enforcement of these regulations. They are §§ 4.61 through 4.64 and §§ 4.71 through 4.75. | ||||
| 10:10:1.0.1.1.3.3.55.19 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.338 Remedial and affirmative action by recipients. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | (a) Where NRC finds a recipient has discriminated on the basis of age, the recipient shall take any remedial action that NRC may require to overcome the effects of the discrimination. If another recipient exercises control over the recipient that has discriminated, NRC may require both recipients to take remedial action. (b) Even in the absence of a finding of discrimination, a recipient may take affirmative action to overcome the effects of conditions that resulted in limited participation in the recipient's program or activity on the basis of age. (c) If a recipient, operating a program that serves the elderly or children in addition to persons of other ages, provides special benefits to the elderly or to children, the provision of those benefits shall be presumed to be voluntary affirmative action provided that it does not have the effect of excluding otherwise eligible persons from participation in the program or activity. | |||
| 10:10:1.0.1.1.3.3.55.20 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.339 Alternate funds disbursal procedure. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | (a) When NRC withholds funds from a recipient under these regulations, the Commission, or designee, may disburse the withheld funds directly to an alternate recipient, any public or nonprofit private organization or agency, or State or political subdivision of the State. (b) Any alternative recipient will be required to demonstrate— (1) The ability to comply with these regulations; and (2) The ability to achieve the goals of the Federal statute authorizing the Federal financial assistance. | |||
| 10:10:1.0.1.1.3.3.55.21 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.340 Exhaustion of administrative remedies. | NRC | (a) A complainant may file a civil action following the exhaustion of administrative remedies under the Act. Administrative remedies are exhausted if— (1) 180 days have elapsed since the complainant filed the complaint and NRC has made no finding with regard to the complaint; or (2) NRC issues any finding in favor of the recipient. (b) If NRC fails to make a finding within 180 days or issues a finding in favor of the recipient, NRC will— (1) Promptly advise the complainant; and (2) Advise the complainant of his or her right to bring a civil action under section 305(e) of the Act of injunctive relief that will effect the purposes of the Act; and (3) Inform the complainant that— (i) The complainant may bring a civil action only in a United States District Court for the district in which the recipient is found or transacts business; (ii) A complainant prevailing in a civil action has the right to be awarded the costs of the action, including reasonable attorney's fees, but that the complainant must demand these costs in the complaint; (iii) That before commencing the action, the complainant shall give 30 days notice by registered mail to the Commission, the Secretary of the Department of Health and Human Services, the Attorney General of the United States, and the recipient; (iv) The notice must state the relief requested, the court in which the complainant is bringing the action, and whether or not attorney's fees are demanded in the event the complainant prevails; and (v) The complainant may not bring an action if the same alleged violation of the Act by the same recipient is the subject of pending action in any court of the United States. | ||||
| 10:10:1.0.1.1.3.3.55.22 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.341 Reports. | NRC | [52 FR 25358, July 7, 1987, as amended at 68 FR 51345, Aug. 26, 2003] | The NRC shall submit to the Secretary of Health and Human Services, not later than December 31 of each year, a report which— (a) Describes in detail the steps taken during the preceding fiscal year to carry out the Act; and (b) Contains data on the frequency, type, and resolution of complaints and on any compliance reviews, sufficient to permit analysis of the agency's progress in reducing age discrimination in programs or activities receiving Federal financial assistance from NRC; and (c) Contains data directly relevant to the extent of any pattern or practice of age discrimination which NRC has identified in any programs or activities receiving Federal financial assistance from NRC and to progress toward eliminating it; and (d) Contains evaluative or interpretative information which NRC determines is useful in analyzing agency progress in reducing age discrimination in programs or activities receiving Federal financial assistance from NRC; and (e) Contains whatever other data the Secretary of HHS may require. | |||
| 10:10:1.0.1.1.3.5.56.1 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.501 Purpose. | NRC | This part effectuates section 119 of the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 to prohibit discrimination on the basis of disability in programs or activities conducted by Executive agencies or the United States Postal Service. | ||||
| 10:10:1.0.1.1.3.5.56.2 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.502 Application. | NRC | This part applies to all programs or activities conducted by the agency. | ||||
| 10:10:1.0.1.1.3.5.56.3 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.503 Definitions. | NRC | For purposes of this part, the term— Assistant Attorney General means the Assistant Attorney General, Civil Rights Division, United States Department of Justice. Auxiliary aids means services or devices that enable persons with impaired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities conducted by the agency. For example, auxiliary aids useful for persons with impaired vision include readers, brailled materials, audio recordings, telecommunications devices and other similar services and devices. Auxiliary aids useful for persons with impaired hearing include telephone handset amplifiers, telephones compatible with hearing aids, telecommunication devices for deaf persons (TDD's), interpreters, notetakers, written materials, and other similar services and devices. Complete complaint means a written statement that contains the complainant's name and address and describes the agency's alleged discriminatory action in sufficient detail to inform the agency of the nature and date of the alleged violation of section 504. It shall be signed by the complainant or by someone authorized to do so on his or her behalf. Complaints filed on behalf of classes or third parties shall describe or identify (by name, if possible) the alleged victims of discrimination. Disabled person means any person who has a physical or mental impairment that substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment. As used in this definition, the phrase: (1) Physical or mental impairment includes— (i) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: Neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine; or (ii) Any mental or psychological disorder, such a… | ||||
| 10:10:1.0.1.1.3.5.56.4 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.504-4.509 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.5 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.510 Self-evaluation. | NRC | (a) The agency shall, by August 24, 1987, evaluate its current policies and practices, and the effects thereof, that do not or may not meet the requirements of this part, and, to the extent modification of any such policies and practices is required, the agency shall proceed to make the necessary modifications. (b) The agency shall provide an opportunity to interested persons, including disabled persons or organizations representing disabled persons, to participate in the self-evaluation process by submitting comments (both oral and written). (c) The agency shall, until three years following the completion of the self-evaluation, maintain on file and make available for public inspection: (1) A description of areas examined and any problems identified, and (2) A description of any modifications made. | ||||
| 10:10:1.0.1.1.3.5.56.6 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.511 Notice. | NRC | The agency shall make available to employees, applicants, participants, beneficiaries, and other interested persons such information regarding the provisions of this part and its applicability to the programs or activities conducted by the agency, and make such information available to them in such manner as the head of the agency finds necessary to apprise such persons of the protections against discrimination assured them by section 504 and this regulation. | ||||
| 10:10:1.0.1.1.3.5.56.7 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.512-4.529 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.8 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.530 General prohibitions against discrimination. | NRC | (a) No qualified disabled person shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity conducted by the agency. (b)(1) The agency, in providing any aid, benefit, or service, may not, directly or through contractual, licensing, or other arrangements, on the basis of disability— (i) Deny a qualified disabled person the opportunity to participate in or benefit from the aid, benefit, or service; (ii) Afford a qualified disabled person an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others; (iii) Provide a qualified disabled person with an aid, benefit, or service that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others; (iv) Provide different or separate aid, benefits, or services to disabled persons or to any class of disabled persons than is provided to others unless such action is necessary to provide qualified disabled persons with aid, benefits, or services that are as effective as those provided to others; (v) Deny a qualified disabled person the opportunity to participate as a member of planning or advisory boards; or (vi) Otherwise limit a qualified disabled person in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving the aid, benefit, or service. (2) The agency may not deny a qualified disabled person the opportunity to participate in programs or activities that are not separate or different, despite the existence of permissibly separate or different programs or activities. (3) The agency may not, directly or through contractual or other arrangments, utilize criteria or methods of administration the purpose or effect of which would— (i) Subject qualified disabled persons to discrimination on the basis of disability; or (ii) Defeat or substantially impair acco… | ||||
| 10:10:1.0.1.1.3.5.56.9 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.531-4.539 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.10 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.540 Employment. | NRC | No qualified disabled person shall, on the basis of disability, be subjected to discrimination in employment under any program or activity conducted by the agency. The definitions, requirements, and procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as established by the Equal Employment Opportunity Commission in 29 CFR part 1613, shall apply to employment in federally conducted programs or activities. | ||||
| 10:10:1.0.1.1.3.5.56.11 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.541-4.548 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.12 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.549 Program accessibility: Discrimination prohibited. | NRC | Except as otherwise provided in § 4.550, no qualified disabled person shall, because the agency's facilities are inaccessible to or unusable by disabled persons, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity conducted by the agency. | ||||
| 10:10:1.0.1.1.3.5.56.13 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.550 Program accessibility: Existing facilities. | NRC | (a) General. The agency shall operate each program or activity so that the program or activity, when viewed in its entirety, is readily accessible to and usable by disabled persons. This paragraph does not— (1) Necessarily require the agency to make each of its existing facilities accessible to and usable by disabled persons; (2) In the case of historic preservation programs, require the agency to take any action that would result in a substantial impairment of significant historic features of an historic property; or (3) Require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 4.550(a) would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the agency head or his or her designee after considering all agency resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action would result in such an alteration or such burdens, the agency shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that disabled persons receive the benefits and services of the program or activity. (b) Methods —(1) General. The agency may comply with the requirements of this section through such means as redesign of equipment, reassignment of services to accessible buildings, assignment of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities and construction of new facilities, use of accessible rolling stock, or any… | ||||
| 10:10:1.0.1.1.3.5.56.14 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.551 Program accessibility: New construction and alterations. | NRC | Each building or part of a building that is constructed or altered by, on behalf of, or for the use of the agency shall be designed, constructed, or altered so as to be readily accessible to and usable by disabled persons. The definitions, requirements, and standards of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this section. | ||||
| 10:10:1.0.1.1.3.5.56.15 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.552-4.559 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.16 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.560 Communications. | NRC | (a) The agency shall take appropriate steps to ensure effective communication with applicants, participants, personnel of other Federal entities, and members of the public. (1) The agency shall furnish appropriate auxiliary aids where necessary to afford a disabled person an equal opportunity to participate in, and enjoy the benefits of, a program or activity conducted by the agency. (i) In determining what type of auxiliary aid is necessary, the agency shall give primary consideration to the requests of the disabled person. (ii) The agency need not provide individually prescribed devices, readers for personal use or study, or other devices of a personal nature. (2) Where the agency communicates with applicants and beneficiaries by telephone, telecommunication devices for deaf person (TDD's) or equally effective telecommunication systems shall be used. (b) The agency shall ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of accessible services, activities, and facilities. (c) The agency shall provide signage at a primary entrance to each of its inaccessible facilities, directing users to a location at which they can obtain information about accessible facilities. The international symbol for accessibility shall be used at each primary entrance of an accessible facility. (d) This section does not require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and adminstrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 4.560 would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the agency head or his or her designee after consider… | ||||
| 10:10:1.0.1.1.3.5.56.17 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.561-4.569 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.3.5.56.18 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | § 4.570 Compliance procedures. | NRC | [51 FR 22888, 22896, June 23, 1986, as amended at 68 FR 58799, Oct. 10, 2003] | (a) Except as provided in paragraph (b) of this section, this section applies to all allegations of discrimination on the basis of disability in programs or activities conducted by the agency. (b) The agency shall process complaints alleging violations of section 504 with respect to employment according to the procedures established by the Equal Employment Opportunity Commission in 29 CFR part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791). (c) The Civil Rights Program Manager, Office of Small Business and Civil Rights, shall be responsible for coordinating implementation of this section. Complaints should be sent to the NRC using an appropriate method listed in § 4.5. (d) The agency shall accept and investigate all complete complaints for which it has jurisdiction. All complete complaints must be filed within 180 days of the alleged act of discrimination. The agency may extend this time period for good cause. (e) If the agency receives a complaint over which it does not have jurisdiction, it shall promptly notify the complainant and shall make reasonable efforts to refer the complaint to the appropriate government entity. (f) The agency shall notify the Architectural and Transportation Barriers Compliance Board upon receipt of any complaint alleging that a building or facility that is subject to the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily accessible to and usable by disabled persons. (g) Within 180 days of the receipt of a complete complaint for which it has jurisdiction, the agency shall notify the complainant of the results of the investigation in a letter containing— (1) Findings of fact and conclusions of law; (2) A description of a remedy for each violation found; and (3) A notice of the right to appeal. (h) Appeals of the findings of fact and conclusions of law or remedies must be filed by the complainant within 90 days of receipt from the agen… | |||
| 10:10:1.0.1.1.3.5.56.19 | 10 | Energy | 4 | PART 4—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE COMMISSION | §§ 4.571-4.999 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.4.1.56.1 | 10 | Energy | 5 | § 5.100 Purpose and effective date. | NRC | The purpose of these Title IX regulations is to effectuate Title IX of the Education Amendments of 1972, as amended (except sections 904 and 906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688), which is designed to eliminate (with certain exceptions) discrimination on the basis of sex in any education program or activity receiving Federal financial assistance, whether or not such program or activity is offered or sponsored by an educational institution as defined in these Title IX regulations. The effective date of these Title IX regulations shall be September 29, 2000. | |||||
| 10:10:1.0.1.1.4.1.56.2 | 10 | Energy | 5 | § 5.105 Definitions. | NRC | As used in these Title IX regulations, the term: Administratively separate unit means a school, department, or college of an educational institution (other than a local educational agency) admission to which is independent of admission to any other component of such institution. Admission means selection for part-time, full-time, special, associate, transfer, exchange, or any other enrollment, membership, or matriculation in or at an education program or activity operated by a recipient. Applicant means one who submits an application, request, or plan required to be approved by an official of the Federal agency that awards Federal financial assistance, or by a recipient, as a condition to becoming a recipient. Designated agency official means Program Manager, Civil Rights Program. Educational institution means a local educational agency (LEA) as defined by 20 U.S.C. 8801(18), a preschool, a private elementary or secondary school, or an applicant or recipient that is an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, or an institution of vocational education, as defined in this section. Federal financial assistance means any of the following, when authorized or extended under a law administered by the Federal agency that awards such assistance: (1) A grant or loan of Federal financial assistance, including funds made available for: (i) The acquisition, construction, renovation, restoration, or repair of a building or facility or any portion thereof; and (ii) Scholarships, loans, grants, wages, or other funds extended to any entity for payment to or on behalf of students admitted to that entity, or extended directly to such students for payment to that entity. (2) A grant of Federal real or personal property or any interest therein, including surplus property, and the proceeds of the sale or transfer of such property, if the Federal share of the fair market value of the property is not, upon such sale or transfer, … | |||||
| 10:10:1.0.1.1.4.1.56.3 | 10 | Energy | 5 | § 5.110 Remedial and affirmative action and self-evaluation. | NRC | (a) Remedial action. If the designated agency official finds that a recipient has discriminated against persons on the basis of sex in an education program or activity, such recipient shall take such remedial action as the designated agency official deems necessary to overcome the effects of such discrimination. (b) Affirmative action. In the absence of a finding of discrimination on the basis of sex in an education program or activity, a recipient may take affirmative action consistent with law to overcome the effects of conditions that resulted in limited participation therein by persons of a particular sex. Nothing in these Title IX regulations shall be interpreted to alter any affirmative action obligations that a recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264. (c) Self-evaluation. Each recipient education institution shall, within one year of September 29, 2000: (1) Evaluate, in terms of the requirements of these Title IX regulations, its current policies and practices and the effects thereof concerning admission of students, treatment of students, and employment of both academic and non-academic personnel working in connection with the recipient's education program or activity; (2) Modify any of these policies and practices that do not or may not meet the requirements of these Title IX regulations; and (3) Take appropriate remedial steps to eliminate the effects of any discrimination that resulted or may have resulted from adherence to these policies and practices. (d) Availability of self-evaluation and related materials. Recipients shall maintain on file for at least three years following completion of the evaluation required under paragraph (c) of this section, and shall provide to the designated a… | |||||
| 10:10:1.0.1.1.4.1.56.4 | 10 | Energy | 5 | § 5.115 Assurance required. | NRC | (a) General. Either at the application stage or the award stage, Federal agencies must ensure that applications for Federal financial assistance or awards of Federal financial assistance contain, be accompanied by, or be covered by a specifically identified assurance from the applicant or recipient, satisfactory to the designated agency official, that each education program or activity operated by the applicant or recipient and to which these Title IX regulations apply will be operated in compliance with these Title IX regulations. An assurance of compliance with these Title IX regulations shall not be satisfactory to the designated agency official if the applicant or recipient to whom such assurance applies fails to commit itself to take whatever remedial action is necessary in accordance with § 5.110(a) to eliminate existing discrimination on the basis of sex or to eliminate the effects of past discrimination whether occurring prior to or subsequent to the submission to the designated agency official of such assurance. (b) Duration of obligation. (1) In the case of Federal financial assistance extended to provide real property or structures thereon, such assurance shall obligate the recipient or, in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used to provide an education program or activity. (2) In the case of Federal financial assistance extended to provide personal property, such assurance shall obligate the recipient for the period during which it retains ownership or possession of the property. (3) In all other cases such assurance shall obligate the recipient for the period during which Federal financial assistance is extended. (c) Form. (1) The assurances required by paragraph (a) of this section, which may be included as part of a document that addresses other assurances or obligations, shall include that the applicant or recipient will comply with all applicable Federal statutes relating to nondiscrimination. These include … | |||||
| 10:10:1.0.1.1.4.1.56.5 | 10 | Energy | 5 | § 5.120 Transfers of property. | NRC | If a recipient sells or otherwise transfers property financed in whole or in part with Federal financial assistance to a transferee that operates any education program or activity, and the Federal share of the fair market value of the property is not upon such sale or transfer properly accounted for to the Federal Government, both the transferor and the transferee shall be deemed to be recipients, subject to the provisions of §§ 5.205 through 5.235(a). | |||||
| 10:10:1.0.1.1.4.1.56.6 | 10 | Energy | 5 | § 5.125 Effect of other requirements. | NRC | (a) Effect of other Federal provisions. The obligations imposed by these Title IX regulations are independent of, and do not alter, obligations not to discriminate on the basis of sex imposed by Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq. ); the Equal Pay Act of 1963 (29 U.S.C. 206); and any other Act of Congress or Federal regulation. (b) Effect of State or local law or other requirements. The obligation to comply with these Title IX regulations is not obviated or alleviated by any State or local law or other requirement that would render any applicant or student ineligible, or limit the eligibility of any applicant or student, on the basis of sex, to practice any occupation or profession. (c) Effect of rules or regulations of private organizations. The obligation to comply with these Title IX regulations is not obviated or alleviated by any rule or regulation of any organization, club, athletic or other league, or association that would render any applicant or student ineligible to participate or limit the eligibility or participation of any applicant or student, on the basis of sex, in any education program or activity operated by a recipient and that receives Federal financial assistance. | |||||
| 10:10:1.0.1.1.4.1.56.7 | 10 | Energy | 5 | § 5.130 Effect of employment opportunities. | NRC | The obligation to comply with these Title IX regulations is not obviated or alleviated because employment opportunities in any occupation or profession are or may be more limited for members of one sex than for members of the other sex. | |||||
| 10:10:1.0.1.1.4.1.56.8 | 10 | Energy | 5 | § 5.135 Designation of responsible employee and adoption of grievance procedures. | NRC | (a) Designation of responsible employee. Each recipient shall designate at least one employee to coordinate its efforts to comply with and carry out its responsibilities under these Title IX regulations, including any investigation of any complaint communicated to such recipient alleging its noncompliance with these Title IX regulations or alleging any actions that would be prohibited by these Title IX regulations. The recipient shall notify all its students and employees of the name, office address, and telephone number of the employee or employees appointed pursuant to this paragraph. (b) Complaint procedure of recipient. A recipient shall adopt and publish grievance procedures providing for prompt and equitable resolution of student and employee complaints alleging any action that would be prohibited by these Title IX regulations. | |||||
| 10:10:1.0.1.1.4.1.56.9 | 10 | Energy | 5 | § 5.140 Dissemination of policy. | NRC | (a) Notification of policy. (1) Each recipient shall implement specific and continuing steps to notify applicants for admission and employment, students and parents of elementary and secondary school students, employees, sources of referral of applicants for admission and employment, and all unions or professional organizations holding collective bargaining or professional agreements with the recipient, that it does not discriminate on the basis of sex in the educational programs or activities that it operates, and that it is required by Title IX and these Title IX regulations not to discriminate in such a manner. Such notification shall contain such information, and be made in such manner, as the designated agency official finds necessary to apprise such persons of the protections against discrimination assured them by Title IX and these Title IX regulations, but shall state at least that the requirement not to discriminate in education programs or activities extends to employment therein, and to admission thereto unless §§ 5.300 through 5.310 do not apply to the recipient, and that inquiries concerning the application of Title IX and these Title IX regulations to such recipient may be referred to the employee designated pursuant to § 5.135, or to the designated agency official. (2) Each recipient shall make the initial notification required by paragraph (a)(1) of this section within 90 days of September 29, 2000 or of the date these Title IX regulations first apply to such recipient, whichever comes later, which notification shall include publication in: (i) Newspapers and magazines operated by such recipient or by student, alumnae, or alumni groups for or in connection with such recipient; and (ii) Memoranda or other written communications distributed to every student and employee of such recipient. (b) Publications. (1) Each recipient shall prominently include a statement of the policy described in paragraph (a) of this section in each announcement, bulletin, catalog, or application form that it makes… | |||||
| 10:10:1.0.1.1.4.2.56.1 | 10 | Energy | 5 | § 5.200 Application. | NRC | Except as provided in §§ 5.205 through 5.235(a), these Title IX regulations apply to every recipient and to each education program or activity operated by such recipient that receives Federal financial assistance. | |||||
| 10:10:1.0.1.1.4.2.56.2 | 10 | Energy | 5 | § 5.205 Educational institutions and other entities controlled by religious organizations. | NRC | (a) Exemption. These Title IX regulations do not apply to any operation of an educational institution or other entity that is controlled by a religious organization to the extent that application of these Title IX regulations would not be consistent with the religious tenets of such organization. (b) Exemption claims. An educational institution or other entity that wishes to claim the exemption set forth in paragraph (a) of this section shall do so by submitting in writing to the designated agency official a statement by the highest-ranking official of the institution, identifying the provisions of these Title IX regulations that conflict with a specific tenet of the religious organization. | |||||
| 10:10:1.0.1.1.4.2.56.3 | 10 | Energy | 5 | § 5.210 Military and merchant marine educational institutions. | NRC | These Title IX regulations do not apply to an educational institution whose primary purpose is the training of individuals for a military service of the United States or for the merchant marine. | |||||
| 10:10:1.0.1.1.4.2.56.4 | 10 | Energy | 5 | § 5.215 Membership practices of certain organizations. | NRC | (a) Social fraternities and sororities. These Title IX regulations do not apply to the membership practices of social fraternities and sororities that are exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership of which consists primarily of students in attendance at institutions of higher education. (b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These Title IX regulations do not apply to the membership practices of the Young Men's Christian Association (YMCA), the Young Women's Christian Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire Girls. (c) Voluntary youth service organizations. These Title IX regulations do not apply to the membership practices of a voluntary youth service organization that is exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the membership of which has been traditionally limited to members of one sex and principally to persons of less than nineteen years of age. | |||||
| 10:10:1.0.1.1.4.2.56.5 | 10 | Energy | 5 | § 5.220 Admissions. | NRC | (a) Admissions to educational institutions prior to June 24, 1973, are not covered by these Title IX regulations. (b) Administratively separate units. For the purposes only of this section, §§ 5.225 and 5.230, and §§ 5.300 through 5.310, each administratively separate unit shall be deemed to be an educational institution. (c) Application of §§ 5.300 through 5.310. Except as provided in paragraphs (d) and (e) of this section, §§ 5.300 through 5.310 apply to each recipient. A recipient to which §§ 5.300 through 5.310 apply shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 5.300 through 5.310. (d) Educational institutions. Except as provided in paragraph (e) of this section as to recipients that are educational institutions, §§ 5.300 through 5.310 apply only to institutions of vocational education, professional education, graduate higher education, and public institutions of undergraduate higher education. (e) Public institutions of undergraduate higher education. §§ 5.300 through 5.310 do not apply to any public institution of undergraduate higher education that traditionally and continually from its establishment has had a policy of admitting students of only one sex. | |||||
| 10:10:1.0.1.1.4.2.56.6 | 10 | Energy | 5 | § 5.225 Educational institutions eligible to submit transition plans. | NRC | (a) Application. This section applies to each educational institution to which §§ 5.300 through 5.310 apply that: (1) Admitted students of only one sex as regular students as of June 23, 1972; or (2) Admitted students of only one sex as regular students as of June 23, 1965, but thereafter admitted, as regular students, students of the sex not admitted prior to June 23, 1965. (b) Provision for transition plans. An educational institution to which this section applies shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 5.300 through 5.310. | |||||
| 10:10:1.0.1.1.4.2.56.7 | 10 | Energy | 5 | § 5.230 Transition plans. | NRC | (a) Submission of plans. An institution to which § 5.225 applies and that is composed of more than one administratively separate unit may submit either a single transition plan applicable to all such units, or a separate transition plan applicable to each such unit. (b) Content of plans. In order to be approved by the Secretary of Education, a transition plan shall: (1) State the name, address, and Federal Interagency Committee on Education Code of the educational institution submitting such plan, the administratively separate units to which the plan is applicable, and the name, address, and telephone number of the person to whom questions concerning the plan may be addressed. The person who submits the plan shall be the chief administrator or president of the institution, or another individual legally authorized to bind the institution to all actions set forth in the plan. (2) State whether the educational institution or administratively separate unit admits students of both sexes as regular students and, if so, when it began to do so. (3) Identify and describe with respect to the educational institution or administratively separate unit any obstacles to admitting students without discrimination on the basis of sex. (4) Describe in detail the steps necessary to eliminate as soon as practicable each obstacle so identified and indicate the schedule for taking these steps and the individual directly responsible for their implementation. (5) Include estimates of the number of students, by sex, expected to apply for, be admitted to, and enter each class during the period covered by the plan. (c) Nondiscrimination. No policy or practice of a recipient to which § 5.225 applies shall result in treatment of applicants to or students of such recipient in violation of §§ 5.300 through 5.310 unless such treatment is necessitated by an obstacle identified in paragraph (b)(3) of this section and a schedule for eliminating that obstacle has been provided as required by paragraph (b)(4) of this section. (d) Effec… | |||||
| 10:10:1.0.1.1.4.2.56.8 | 10 | Energy | 5 | § 5.235 Statutory amendments. | NRC | (a) This section, which applies to all provisions of these Title IX regulations, addresses statutory amendments to Title IX. (b) These Title IX regulations shall not apply to or preclude: (1) Any program or activity of the American Legion undertaken in connection with the organization or operation of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference; (2) Any program or activity of a secondary school or educational institution specifically for: (i) The promotion of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference; or (ii) The selection of students to attend any such conference; (3) Father-son or mother-daughter activities at an educational institution or in an education program or activity, but if such activities are provided for students of one sex, opportunities for reasonably comparable activities shall be provided to students of the other sex; (4) Any scholarship or other financial assistance awarded by an institution of higher education to an individual because such individual has received such award in a single-sex pageant based upon a combination of factors related to the individual's personal appearance, poise, and talent. The pageant, however, must comply with other nondiscrimination provisions of Federal law. (c) Program or activity or program means: (1) All of the operations of any entity described in paragraphs (c)(1)(i) through (iv) of this section, any part of which is extended Federal financial assistance: (i)(A) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or (B) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government; (ii)(A) A college, university, or other postsecondary institution, or a public system of higher educa… | |||||
| 10:10:1.0.1.1.4.3.56.1 | 10 | Energy | 5 | § 5.300 Admission. | NRC | (a) General. No person shall, on the basis of sex, be denied admission, or be subjected to discrimination in admission, by any recipient to which §§ 5.300 through §§ 5.310 apply, except as provided in §§ 5.225 and §§ 5.230. (b) Specific prohibitions. (1) In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 5.300 through 5.310 apply shall not: (i) Give preference to one person over another on the basis of sex, by ranking applicants separately on such basis, or otherwise; (ii) Apply numerical limitations upon the number or proportion of persons of either sex who may be admitted; or (iii) Otherwise treat one individual differently from another on the basis of sex. (2) A recipient shall not administer or operate any test or other criterion for admission that has a disproportionately adverse effect on persons on the basis of sex unless the use of such test or criterion is shown to predict validly success in the education program or activity in question and alternative tests or criteria that do not have such a disproportionately adverse effect are shown to be unavailable. (c) Prohibitions relating to marital or parental status. In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 5.300 through 5.310 apply: (1) Shall not apply any rule concerning the actual or potential parental, family, or marital status of a student or applicant that treats persons differently on the basis of sex; (2) Shall not discriminate against or exclude any person on the basis of pregnancy, childbirth, termination of pregnancy, or recovery therefrom, or establish or follow any rule or practice that so discriminates or excludes; (3) Subject to § 5.235(d), shall treat disabilities related to pregnancy, childbirth, termination of pregnancy, or recovery therefrom in the same manner and under the same policies as any other temporary disability or physical condi… | |||||
| 10:10:1.0.1.1.4.3.56.2 | 10 | Energy | 5 | § 5.305 Preference in admission. | NRC | A recipient to which §§ 5.300 through 5.310 apply shall not give preference to applicants for admission, on the basis of attendance at any educational institution or other school or entity that admits as students only or predominantly members of one sex, if the giving of such preference has the effect of discriminating on the basis of sex in violation of §§ 5.300 through 5.310. | |||||
| 10:10:1.0.1.1.4.3.56.3 | 10 | Energy | 5 | § 5.310 Recruitment. | NRC | (a) Nondiscriminatory recruitment. A recipient to which §§ 5.300 through 5.310 apply shall not discriminate on the basis of sex in the recruitment and admission of students. A recipient may be required to undertake additional recruitment efforts for one sex as remedial action pursuant to § 5.110(a), and may choose to undertake such efforts as affirmative action pursuant to § 5.110(b). (b) Recruitment at certain institutions. A recipient to which §§ 5.300 through 5.310 apply shall not recruit primarily or exclusively at educational institutions, schools, or entities that admit as students only or predominantly members of one sex, if such actions have the effect of discriminating on the basis of sex in violation of §§ 5.300 through 5.310. | |||||
| 10:10:1.0.1.1.4.4.56.1 | 10 | Energy | 5 | § 5.400 Education programs or activities. | NRC | (a) General. Except as provided elsewhere in these Title IX regulations, no person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any academic, extracurricular, research, occupational training, or other education program or activity operated by a recipient that receives Federal financial assistance. Sections 5.400 through 5.455 do not apply to actions of a recipient in connection with admission of its students to an education program or activity of a recipient to which §§ 5.300 through 5.310 do not apply, or an entity, not a recipient, to which §§ 5.300 through 5.310 would not apply if the entity were a recipient. (b) Specific prohibitions. Except as provided in §§ 5.400 through 5.455, in providing any aid, benefit, or service to a student, a recipient shall not, on the basis of sex: (1) Treat one person differently from another in determining whether such person satisfies any requirement or condition for the provision of such aid, benefit, or service; (2) Provide different aid, benefits, or services or provide aid, benefits, or services in a different manner; (3) Deny any person any such aid, benefit, or service; (4) Subject any person to separate or different rules of behavior, sanctions, or other treatment; (5) Apply any rule concerning the domicile or residence of a student or applicant, including eligibility for in-state fees and tuition; (6) Aid or perpetuate discrimination against any person by providing significant assistance to any agency, organization, or person that discriminates on the basis of sex in providing any aid, benefit, or service to students or employees; (7) Otherwise limit any person in the enjoyment of any right, privilege, advantage, or opportunity. (c) Assistance administered by a recipient educational institution to study at a foreign institution. A recipient educational institution may administer or assist in the administration of scholarships, fellowships, or other awards established by … | |||||
| 10:10:1.0.1.1.4.4.56.2 | 10 | Energy | 5 | § 5.405 Housing. | NRC | (a) Generally. A recipient shall not, on the basis of sex, apply different rules or regulations, impose different fees or requirements, or offer different services or benefits related to housing, except as provided in this section (including housing provided only to married students). (b) Housing provided by recipient. (1) A recipient may provide separate housing on the basis of sex. (2) Housing provided by a recipient to students of one sex, when compared to that provided to students of the other sex, shall be as a whole: (i) Proportionate in quantity to the number of students of that sex applying for such housing; and (ii) Comparable in quality and cost to the student. (c) Other housing. (1) A recipient shall not, on the basis of sex, administer different policies or practices concerning occupancy by its students of housing other than that provided by such recipient. (2)(i) A recipient which, through solicitation, listing, approval of housing, or otherwise, assists any agency, organization, or person in making housing available to any of its students, shall take such reasonable action as may be necessary to assure itself that such housing as is provided to students of one sex, when compared to that provided to students of the other sex, is as a whole: (A) Proportionate in quantity; and (B) Comparable in quality and cost to the student. (ii) A recipient may render such assistance to any agency, organization, or person that provides all or part of such housing to students of only one sex. | |||||
| 10:10:1.0.1.1.4.4.56.3 | 10 | Energy | 5 | § 5.410 Comparable facilities. | NRC | A recipient may provide separate toilet, locker room, and shower facilities on the basis of sex, but such facilities provided for students of one sex shall be comparable to such facilities provided for students of the other sex. | |||||
| 10:10:1.0.1.1.4.4.56.4 | 10 | Energy | 5 | § 5.415 Access to course offerings. | NRC | (a) A recipient shall not provide any course or otherwise carry out any of its education program or activity separately on the basis of sex, or require or refuse participation therein by any of its students on such basis, including health, physical education, industrial, business, vocational, technical, home economics, music, and adult education courses. (b)(1) With respect to classes and activities in physical education at the elementary school level, the recipient shall comply fully with this section as expeditiously as possible but in no event later than one year from September 29, 2000. With respect to physical education classes and activities at the secondary and post-secondary levels, the recipient shall comply fully with this section as expeditiously as possible but in no event later than three years from September 29, 2000. (2) This section does not prohibit grouping of students in physical education classes and activities by ability as assessed by objective standards of individual performance developed and applied without regard to sex. (3) This section does not prohibit separation of students by sex within physical education classes or activities during participation in wrestling, boxing, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact. (4) Where use of a single standard of measuring skill or progress in a physical education class has an adverse effect on members of one sex, the recipient shall use appropriate standards that do not have such effect. (5) Portions of classes in elementary and secondary schools, or portions of education programs or activities, that deal exclusively with human sexuality may be conducted in separate sessions for boys and girls. (6) Recipients may make requirements based on vocal range or quality that may result in a chorus or choruses of one or predominantly one sex. | |||||
| 10:10:1.0.1.1.4.4.56.5 | 10 | Energy | 5 | § 5.420 Access to schools operated by LEAs. | NRC | A recipient that is a local educational agency shall not, on the basis of sex, exclude any person from admission to: (a) Any institution of vocational education operated by such recipient; or (b) Any other school or educational unit operated by such recipient, unless such recipient otherwise makes available to such person, pursuant to the same policies and criteria of admission, courses, services, and facilities comparable to each course, service, and facility offered in or through such schools. | |||||
| 10:10:1.0.1.1.4.4.56.6 | 10 | Energy | 5 | § 5.425 Counseling and use of appraisal and counseling materials. | NRC | (a) Counseling. A recipient shall not discriminate against any person on the basis of sex in the counseling or guidance of students or applicants for admission. (b) Use of appraisal and counseling materials. A recipient that uses testing or other materials for appraising or counseling students shall not use different materials for students on the basis of their sex or use materials that permit or require different treatment of students on such basis unless such different materials cover the same occupations and interest areas and the use of such different materials is shown to be essential to eliminate sex bias. Recipients shall develop and use internal procedures for ensuring that such materials do not discriminate on the basis of sex. Where the use of a counseling test or other instrument results in a substantially disproportionate number of members of one sex in any particular course of study or classification, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination in the instrument or its application. (c) Disproportion in classes. Where a recipient finds that a particular class contains a substantially disproportionate number of individuals of one sex, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination on the basis of sex in counseling or appraisal materials or by counselors. | |||||
| 10:10:1.0.1.1.4.4.56.7 | 10 | Energy | 5 | § 5.430 Financial assistance. | NRC | (a) General. Except as provided in paragraphs (b) and (c) of this section, in providing financial assistance to any of its students, a recipient shall not: (1) On the basis of sex, provide different amounts or types of such assistance, limit eligibility for such assistance that is of any particular type or source, apply different criteria, or otherwise discriminate; (2) Through solicitation, listing, approval, provision of facilities, or other services, assist any foundation, trust, agency, organization, or person that provides assistance to any of such recipient's students in a manner that discriminates on the basis of sex; or (3) Apply any rule or assist in application of any rule concerning eligibility for such assistance that treats persons of one sex differently from persons of the other sex with regard to marital or parental status. (b) Financial aid established by certain legal instruments. (1) A recipient may administer or assist in the administration of scholarships, fellowships, or other forms of financial assistance established pursuant to domestic or foreign wills, trusts, bequests, or similar legal instruments or by acts of a foreign government that require that awards be made to members of a particular sex specified therein; Provided, that the overall effect of the award of such sex-restricted scholarships, fellowships, and other forms of financial assistance does not discriminate on the basis of sex. (2) To ensure nondiscriminatory awards of assistance as required in paragraph (b)(1) of this section, recipients shall develop and use procedures under which: (i) Students are selected for award of financial assistance on the basis of nondiscriminatory criteria and not on the basis of availability of funds restricted to members of a particular sex; (ii) An appropriate sex-restricted scholarship, fellowship, or other form of financial assistance is allocated to each student selected under paragraph (b)(2)(i) of this section; and (iii) No student is denied the award for which he or she was … | |||||
| 10:10:1.0.1.1.4.4.56.8 | 10 | Energy | 5 | § 5.435 Employment assistance to students. | NRC | (a) Assistance by recipient in making available outside employment. A recipient that assists any agency, organization, or person in making employment available to any of its students: (1) Shall assure itself that such employment is made available without discrimination on the basis of sex; and (2) Shall not render such services to any agency, organization, or person that discriminates on the basis of sex in its employment practices. (b) Employment of students by recipients. A recipient that employs any of its students shall not do so in a manner that violates §§ 5.500 through 5.550. | |||||
| 10:10:1.0.1.1.4.4.56.9 | 10 | Energy | 5 | § 5.440 Health and insurance benefits and services. | NRC | Subject to § 5.235(d), in providing a medical, hospital, accident, or life insurance benefit, service, policy, or plan to any of its students, a recipient shall not discriminate on the basis of sex, or provide such benefit, service, policy, or plan in a manner that would violate §§ 5.500 through 5.550 if it were provided to employees of the recipient. This section shall not prohibit a recipient from providing any benefit or service that may be used by a different proportion of students of one sex than of the other, including family planning services. However, any recipient that provides full coverage health service shall provide gynecological care. | |||||
| 10:10:1.0.1.1.4.4.56.10 | 10 | Energy | 5 | § 5.445 Marital or parental status. | NRC | (a) Status generally. A recipient shall not apply any rule concerning a student's actual or potential parental, family, or marital status that treats students differently on the basis of sex. (b) Pregnancy and related conditions. (1) A recipient shall not discriminate against any student, or exclude any student from its education program or activity, including any class or extracurricular activity, on the basis of such student's pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom, unless the student requests voluntarily to participate in a separate portion of the program or activity of the recipient. (2) A recipient may require such a student to obtain the certification of a physician that the student is physically and emotionally able to continue participation as long as such a certification is required of all students for other physical or emotional conditions requiring the attention of a physician. (3) A recipient that operates a portion of its education program or activity separately for pregnant students, admittance to which is completely voluntary on the part of the student as provided in paragraph (b)(1) of this section, shall ensure that the separate portion is comparable to that offered to non-pregnant students. (4) Subject to § 5.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy and recovery therefrom in the same manner and under the same policies as any other temporary disability with respect to any medical or hospital benefit, service, plan, or policy that such recipient administers, operates, offers, or participates in with respect to students admitted to the recipient's educational program or activity. (5) In the case of a recipient that does not maintain a leave policy for its students, or in the case of a student who does not otherwise qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for… | |||||
| 10:10:1.0.1.1.4.4.56.11 | 10 | Energy | 5 | § 5.450 Athletics. | NRC | (a) General. No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, be treated differently from another person, or otherwise be discriminated against in any interscholastic, intercollegiate, club, or intramural athletics offered by a recipient, and no recipient shall provide any such athletics separately on such basis. (b) Separate teams. Notwithstanding the requirements of paragraph (a) of this section, a recipient may operate or sponsor separate teams for members of each sex where selection for such teams is based upon competitive skill or the activity involved is a contact sport. However, where a recipient operates or sponsors a team in a particular sport for members of one sex but operates or sponsors no such team for members of the other sex, and athletic opportunities for members of that sex have previously been limited, members of the excluded sex must be allowed to try out for the team offered unless the sport involved is a contact sport. For the purposes of these Title IX regulations, contact sports include boxing, wrestling, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact. (c) Equal opportunity. (1) A recipient that operates or sponsors interscholastic, intercollegiate, club, or intramural athletics shall provide equal athletic opportunity for members of both sexes. In determining whether equal opportunities are available, the designated agency official will consider, among other factors: (i) Whether the selection of sports and levels of competition effectively accommodate the interests and abilities of members of both sexes; (ii) The provision of equipment and supplies; (iii) Scheduling of games and practice time; (iv) Travel and per diem allowance; (v) Opportunity to receive coaching and academic tutoring; (vi) Assignment and compensation of coaches and tutors; (vii) Provision of locker rooms, practice, and competitive facilities; (viii) Provision of medical and trainin… | |||||
| 10:10:1.0.1.1.4.4.56.12 | 10 | Energy | 5 | § 5.455 Textbooks and curricular material. | NRC | Nothing in these Title IX regulations shall be interpreted as requiring or prohibiting or abridging in any way the use of particular textbooks or curricular materials. | |||||
| 10:10:1.0.1.1.4.5.56.1 | 10 | Energy | 5 | § 5.500 Employment. | NRC | (a) General. (1) No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination in employment, or recruitment, consideration, or selection therefor, whether full-time or part-time, under any education program or activity operated by a recipient that receives Federal financial assistance. (2) A recipient shall make all employment decisions in any education program or activity operated by such recipient in a nondiscriminatory manner and shall not limit, segregate, or classify applicants or employees in any way that could adversely affect any applicant's or employee's employment opportunities or status because of sex. (3) A recipient shall not enter into any contractual or other relationship which directly or indirectly has the effect of subjecting employees or students to discrimination prohibited by §§ 5.500 through 5.550, including relationships with employment and referral agencies, with labor unions, and with organizations providing or administering fringe benefits to employees of the recipient. (4) A recipient shall not grant preferences to applicants for employment on the basis of attendance at any educational institution or entity that admits as students only or predominantly members of one sex, if the giving of such preferences has the effect of discriminating on the basis of sex in violation of these Title IX regulations. (b) Application. The provisions of §§ 5.500 through 5.550 apply to: (1) Recruitment, advertising, and the process of application for employment; (2) Hiring, upgrading, promotion, consideration for and award of tenure, demotion, transfer, layoff, termination, application of nepotism policies, right of return from layoff, and rehiring; (3) Rates of pay or any other form of compensation, and changes in compensation; (4) Job assignments, classifications, and structure, including position descriptions, lines of progression, and seniority lists; (5) The terms of any collective bargaining agreement; (6) Granting… | |||||
| 10:10:1.0.1.1.4.5.56.2 | 10 | Energy | 5 | § 5.505 Employment criteria. | NRC | A recipient shall not administer or operate any test or other criterion for any employment opportunity that has a disproportionately adverse effect on persons on the basis of sex unless: (a) Use of such test or other criterion is shown to predict validly successful performance in the position in question; and (b) Alternative tests or criteria for such purpose, which do not have such disproportionately adverse effect, are shown to be unavailable. | |||||
| 10:10:1.0.1.1.4.5.56.3 | 10 | Energy | 5 | § 5.510 Recruitment. | NRC | (a) Nondiscriminatory recruitment and hiring. A recipient shall not discriminate on the basis of sex in the recruitment and hiring of employees. Where a recipient has been found to be presently discriminating on the basis of sex in the recruitment or hiring of employees, or has been found to have so discriminated in the past, the recipient shall recruit members of the sex so discriminated against so as to overcome the effects of such past or present discrimination. (b) Recruitment patterns. A recipient shall not recruit primarily or exclusively at entities that furnish as applicants only or predominantly members of one sex if such actions have the effect of discriminating on the basis of sex in violation of §§ 5.500 through 5.550. | |||||
| 10:10:1.0.1.1.4.5.56.4 | 10 | Energy | 5 | § 5.515 Compensation. | NRC | A recipient shall not make or enforce any policy or practice that, on the basis of sex: (a) Makes distinctions in rates of pay or other compensation; (b) Results in the payment of wages to employees of one sex at a rate less than that paid to employees of the opposite sex for equal work on jobs the performance of which requires equal skill, effort, and responsibility, and that are performed under similar working conditions. | |||||
| 10:10:1.0.1.1.4.5.56.5 | 10 | Energy | 5 | § 5.520 Job classification and structure. | NRC | A recipient shall not: (a) Classify a job as being for males or for females; (b) Maintain or establish separate lines of progression, seniority lists, career ladders, or tenure systems based on sex; or (c) Maintain or establish separate lines of progression, seniority systems, career ladders, or tenure systems for similar jobs, position descriptions, or job requirements that classify persons on the basis of sex, unless sex is a bona fide occupational qualification for the positions in question as set forth in § 5.550. | |||||
| 10:10:1.0.1.1.4.5.56.6 | 10 | Energy | 5 | § 5.525 Fringe benefits. | NRC | (a) “Fringe benefits” defined. For purposes of these Title IX regulations, fringe benefits means: Any medical, hospital, accident, life insurance, or retirement benefit, service, policy or plan, any profit-sharing or bonus plan, leave, and any other benefit or service of employment not subject to the provision of § 5.515. (b) Prohibitions. A recipient shall not: (1) Discriminate on the basis of sex with regard to making fringe benefits available to employees or make fringe benefits available to spouses, families, or dependents of employees differently upon the basis of the employee's sex; (2) Administer, operate, offer, or participate in a fringe benefit plan that does not provide for equal periodic benefits for members of each sex and for equal contributions to the plan by such recipient for members of each sex; or (3) Administer, operate, offer, or participate in a pension or retirement plan that establishes different optional or compulsory retirement ages based on sex or that otherwise discriminates in benefits on the basis of sex. | |||||
| 10:10:1.0.1.1.4.5.56.7 | 10 | Energy | 5 | § 5.530 Marital or parental status. | NRC | (a) General. A recipient shall not apply any policy or take any employment action: (1) Concerning the potential marital, parental, or family status of an employee or applicant for employment that treats persons differently on the basis of sex; or (2) Which is based upon whether an employee or applicant for employment is the head of household or principal wage earner in such employee's or applicant's family unit. (b) Pregnancy. A recipient shall not discriminate against or exclude from employment any employee or applicant for employment on the basis of pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom. (c) Pregnancy as a temporary disability. Subject to § 5.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, recovery therefrom, and any temporary disability resulting therefrom as any other temporary disability for all job-related purposes, including commencement, duration, and extensions of leave, payment of disability income, accrual of seniority and any other benefit or service, and reinstatement, and under any fringe benefit offered to employees by virtue of employment. (d) Pregnancy leave. In the case of a recipient that does not maintain a leave policy for its employees, or in the case of an employee with insufficient leave or accrued employment time to qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for a leave of absence without pay for a reasonable period of time, at the conclusion of which the employee shall be reinstated to the status that she held when the leave began or to a comparable position, without decrease in rate of compensation or loss of promotional opportunities, or any other right or privilege of employment. | |||||
| 10:10:1.0.1.1.4.5.56.8 | 10 | Energy | 5 | § 5.535 Effect of state or local law or other requirements. | NRC | (a) Prohibitory requirements. The obligation to comply with §§ 5.500 through 5.550 is not obviated or alleviated by the existence of any State or local law or other requirement that imposes prohibitions or limits upon employment of members of one sex that are not imposed upon members of the other sex. (b) Benefits. A recipient that provides any compensation, service, or benefit to members of one sex pursuant to a State or local law or other requirement shall provide the same compensation, service, or benefit to members of the other sex. | |||||
| 10:10:1.0.1.1.4.5.56.9 | 10 | Energy | 5 | § 5.540 Advertising. | NRC | A recipient shall not in any advertising related to employment indicate preference, limitation, specification, or discrimination based on sex unless sex is a bona fide occupational qualification for the particular job in question. | |||||
| 10:10:1.0.1.1.4.5.56.10 | 10 | Energy | 5 | § 5.545 Pre-employment inquiries. | NRC | (a) Marital status. A recipient shall not make pre-employment inquiry as to the marital status of an applicant for employment, including whether such applicant is “Miss” or “Mrs.” (b) Sex. A recipient may make pre-employment inquiry as to the sex of an applicant for employment, but only if such inquiry is made equally of such applicants of both sexes and if the results of such inquiry are not used in connection with discrimination prohibited by these Title IX regulations. | |||||
| 10:10:1.0.1.1.4.5.56.11 | 10 | Energy | 5 | § 5.550 Sex as a bona fide occupational qualification. | NRC | A recipient may take action otherwise prohibited by §§ 5.500 through 5.550 provided it is shown that sex is a bona fide occupational qualification for that action, such that consideration of sex with regard to such action is essential to successful operation of the employment function concerned. A recipient shall not take action pursuant to this section that is based upon alleged comparative employment characteristics or stereotyped characterizations of one or the other sex, or upon preference based on sex of the recipient, employees, students, or other persons, but nothing contained in this section shall prevent a recipient from considering an employee's sex in relation to employment in a locker room or toilet facility used only by members of one sex. | |||||
| 10:10:1.0.1.1.4.6.56.1 | 10 | Energy | 5 | § 5.600 Notice of covered programs. | NRC | Within 60 days of September 29, 2000, each Federal agency that awards Federal financial assistance shall publish in the Federal Register a notice of the programs covered by these Title IX regulations. Each such Federal agency shall periodically republish the notice of covered programs to reflect changes in covered programs. Copies of this notice also shall be made available upon request to the Federal agency's office that enforces Title IX. | |||||
| 10:10:1.0.1.1.4.6.56.2 | 10 | Energy | 5 | § 5.605 Enforcement procedures. | NRC | [65 FR 52875, Aug. 30, 2000] | The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (“Title VI”) are hereby adopted and applied to these Title IX regulations. These procedures may be found at 10 CFR 4.21 through 4.75. | ||||
| 10:10:1.0.1.1.5.0.56.1 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.1 Policy. | NRC | [54 FR 26948, June 27, 1989, as amended at 67 FR 79838, Dec. 31, 2002] | The regulations in this part define the policies and procedures to be followed by the Nuclear Regulatory Commission in the establishment, utilization, and termination of advisory committees. In general, it is the policy of the Commission that— (a) Except where there is express legal authority to the contrary, the function of NRC advisory committees shall be advisory only. (b) Each NRC advisory committee shall function in compliance with the Federal Advisory Committee Act and this part. (c) The number of NRC advisory committees shall be kept to the minimum necessary, and the number of members of each NRC advisory committee shall be limited to the fewest necessary to accomplish committee objectives. (d)(1) An NRC advisory committee shall be established only: (i) When establishment of the committee is required by law; (ii) When the Commission determines that the committee is essential to the conduct of NRC business; or (iii) When the information to be obtained is not available through an existing advisory committee or a source within the Federal Government. (2) Before establishing an advisory committee, the Commission shall consider whether: (i) Committee deliberations will result in a significant contribution to the creation, amendment, or elimination of regulations, guidelines, or rules affecting NRC business; (ii) The information to be obtained is available through another source within the Federal Government; (iii) The committee will make recommendations resulting in significant improvements in service or reductions in cost; or (iv) The committee's recommendations will provide an important additional perspective or viewpoint relating to NRC's mission. The advice or recommendations of an advisory committee should be the result of the advisory committee's independent judgment. (e) Except where otherwise required by law, an NRC advisory committee shall be terminated whenever the stated objectives of the committee have been accomplished, the subject matter or work of the committee has become obsolete, t… | |||
| 10:10:1.0.1.1.5.0.56.2 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.2 Definitions. | NRC | [67 FR 79839, Dec. 31, 2002, as amended at 80 FR 74978, Dec. 1, 2015] | Act means the Federal Advisory Committee Act, as amended, 5 U.S.C. App. Administrator means the Administrator of General Services. Advisory committee means any committee, board, commission, council, conference, panel, task force, or similar group, or any subcommittee or other subgroup thereof, that is established by statute for the purpose of providing advice or recommendations on issues of policy to an official, branch, or agency of the Federal Government, or that is established or utilized by the President or any agency official to obtain advice or recommendations on issues or policies that fall within the scope of his or her responsibilities, except that the term “advisory committee” does not include the following advisory meetings or groups: (1) Any group composed wholly of full-time officers or employees of the Federal Government; (2) Any group specifically exempted from the Act or these regulations by an Act of Congress; (3) Any local civic group whose primary function is that of rendering a public service with respect to a Federal program, or any State or local committee, council, board, commission, or similar group established to advise or make recommendations to any State or local government unit or an official thereof; (4) Any group that performs primarily operational functions specifically provided by law. Operational functions are those specifically authorized by statute or Presidential directive, such as making or implementing Government decisions or policy, as long as the group does not become primarily advisory in nature; (5) Any meeting initiated by the President or one or more Federal employees for the purpose of obtaining advice or recommendations from one individual; (6) Any meeting between an NRC employee with a non-governmental individual or group where advice or recommendations are provided by the attendees on an individual basis and are not sought from the group as a whole; (7) Any meeting with a committee or group created by a non-Federal entity that is not managed or controlle… | |||
| 10:10:1.0.1.1.5.0.56.3 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.3 Interpretations. | NRC | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by an NRC officer or employee, other than a written interpretation by the General Counsel, shall be binding upon the Commission. | ||||
| 10:10:1.0.1.1.5.0.56.4 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.4 Establishment of advisory committees. | NRC | (a) An NRC advisory committee may be established under this part only if its establishment— (1) Is specifically directed or authorized by statute or by Executive Order of the President; or (2) Has been determined by the Commission to be in the public interest and essential to the performance of the duties imposed on the Commission by law. The determination required by paragraph (a)(2) of this section shall be a matter of formal record, and shall include a statement of a clearly defined purpose for the advisory committee. | ||||
| 10:10:1.0.1.1.5.0.56.5 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.5 Consultation with Committee Management Secretariat on establishment of advisory committees; advisory committee charters. | NRC | [67 FR 79840, Dec. 31, 2002] | (a) Before establishing a discretionary advisory committee, the NRC shall consult with the Committee Management Secretariat. With a full understanding of the background and purpose behind the proposed advisory committee, the Committee Management Secretariat may share its knowledge and experience with the NRC on how best to make use of the proposed committee, alternate methods of attaining the agency's purpose, or whether a pre-existing advisory committee performs similar functions. Such consultation should include the transmittal of the proposed committee charter and the following information: (1) A request for a review of the proposed charter; (2) An explanation stating why the committee is essential to the conduct of NRC business and is in the public interest; (3) An explanation stating why the committee's functions cannot be performed by the NRC, an existing NRC advisory committee, or other means (such as a public hearing); and (4) A description of NRC's plan to attain balanced membership on the committee. The plan must ensure that, in the selection of members for the advisory committee, the NRC will consider a cross-section of those directly affected, interested, and qualified, as appropriate to the nature and functions of the committee. For purposes of attaining balance in an NRC advisory committee's membership, the Commission shall consider for membership interested persons and groups with professional, technical, or personal qualifications or experience that will contribute to the functions and tasks to be performed. (b) Each proposed committee charter submitted for review pursuant to paragraph (a) of this section shall contain the following information: (1) The committee's official designation; (2) The committee's objectives and the scope of its activity; (3) The period of time necessary for the committee to carry out its purposes; (4) The NRC official to whom the committee will report; (5) The NRC office responsible for providing support for the committee; (6) A description of the duties that … | |||
| 10:10:1.0.1.1.5.0.56.6 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.6 Amendment to advisory committee charters. | NRC | [67 FR 79840, Dec. 31, 2002] | (a) Final authority for amending the charter of an NRC advisory committee established or utilized by the NRC is vested in the Commission. (b) Any proposed changes made to a current charter for an NRC advisory committee shall be coordinated with the General Counsel to ensure that they are consistent with applicable legal requirements. When a statute or Executive Order that directed or authorized the establishment of an advisory committee is amended, those sections of the advisory committee's charter affected by the amendments shall also be amended. (c)(1) The charter of an NRC advisory committee established under general agency authority may be amended when the Commission determines that the existing charter no longer reflects the objectives or functions of the committee. Such changes may be minor (such as revising the name of the advisory committee or modifying the estimated number or frequency of meetings), or they may be major (such as revising the objectives or composition of the committee). (2) The procedures in paragraph (b) of this section shall be used in the case of charter amendments involving minor changes. A proposed major amendment to the charter of an advisory committee established under general agency authority shall be submitted to the Committee Management Secretariat for review with an explanation of the purpose of the changes and why they are necessary. (3) A committee charter that has been amended pursuant to this paragraph is subject to the filing requirements set forth in § 7.8. (4) Amendment of an existing advisory committee charter pursuant to this paragraph does not constitute renewal of the committee for purposes of § 7.7. | |||
| 10:10:1.0.1.1.5.0.56.7 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.7 Termination, renewal, and rechartering of advisory committees. | NRC | [54 FR 26948, June 27, 1989, as amended at 67 FR 79840, Dec. 31, 2002] | (a) Except as provided in paragraph (b)(1) of this section, each NRC advisory committee shall terminate two years after it is established, reestablished, or renewed, unless— (1) It has been terminated sooner; (2) It has been renewed or reestablished before the end of such period in accordance with the procedures set forth in paragraph (b) of this section; or (3) Its duration has been otherwise designated by law. The NRC Committee Management Officer shall notify the Committee Management Secretariat of the effective date of termination of any advisory committee that has been terminated by the NRC. (b)(1) An NRC advisory committee that is established by statute shall require rechartering by the filing of a new charter every 2 years after the date of enactment of the statute establishing the committee. If a new charter is not filed, the committee is not terminated, but it may not meet or take any actions. (2) Any other NRC advisory committee may be renewed, provided that such renewal is carried out in compliance with the procedures set forth in § 7.5, except that an advisory committee established by the President may be renewed by appropriate action of the President and the filing of a new charter. Renewal of an NRC advisory committee shall not be deemed to terminate the appointment of any committee member who was previously appointed to serve on the committee. | |||
| 10:10:1.0.1.1.5.0.56.8 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.8 Charter filing requirements. | NRC | [67 FR 79841, Dec. 31, 2002] | No advisory committee may meet or take any action until a charter has been filed by the Committee Management Officer designated in accordance with § 7.10. (a) To establish, renew, or reestablish a discretionary advisory committee, a charter must be filed with: (1) The Commission; (2) The Committee on Environment and Public Works of the United States Senate and the Committee on Energy and Commerce of the United States House of Representatives; (3) The Library of Congress, Anglo-American Acquisitions Division, Government Documents Section, Federal Advisory Committee Desk, 101 Independence Avenue, S.E., Washington, DC 20540-4172; and (4) The Committee Management Secretariat, indicating the date the charter was filed with the congressional committees. (b) Charter filing requirements for non-discretionary advisory committees are the same as those in paragraph (a) of this section, except the date of establishment for a Presidential advisory committee is the date the charter is filed with the Secretariat. (c) Subcommittees that report directly to a Federal employee or agency must comply with this subpart. | |||
| 10:10:1.0.1.1.5.0.56.9 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.9 Public notice of advisory committee establishment, reestablishment, or renewal. | NRC | [67 FR 79841, Dec. 31, 2002] | (a) After the Commission has received notice from the Committee Management Secretariat that its review of a proposal to establish, reestablish, renew, or utilize an NRC discretionary advisory committee has been completed, the Commission shall publish a notice in the Federal Register that the committee is being established, reestablished, renewed, or utilized. In the case of a new committee, the notice shall also describe the nature and purpose of the committee and shall include a statement that the committee is necessary and in the public interest. (b) Notices required to be published pursuant to paragraph (a) of this section shall be published at least 15 calendar days before the committee charter is filed pursuant to § 7.8, except that the Committee Management Secretariat may approve publication for less than 15 days for good cause shown. The 15-day advance notice requirement does not apply to advisory committee renewals, notices of which may be published concurrently with the filing of the charter. | |||
| 10:10:1.0.1.1.5.0.56.10 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.10 The NRC Advisory Committee Management Officer. | NRC | [54 FR 26948, June 27, 1989; 54 FR 28554, July 6, 1989; 54 FR 31646, Aug. 1, 1989; 64 FR 48949, Sept. 9, 1999; 67 FR 79841, Dec. 31, 2002] | (a) The Chairman of the Commission or designee shall appoint an NRC Advisory Committee Management Officer to carry out the functions specified in paragraph (b) of this section. (b) The NRC Advisory Committee Management Officer shall— (1) Carry out all responsibilities relating to NRC advisory committees delegated to such officer by the Commission; (2) Ensure that administrative guidelines and management controls are issued that apply to all NRC advisory committees; (3) Exercise control and supervision over the establishment, procedures, and accomplishments of NRC advisory committees; (4) Assemble and maintain the reports, records, and other papers of any such committee during this existence; (5) Carry out, on behalf of the NRC, the provisions of the Freedom of Information Act (5 U.S.C. 552) and implementing NRC regulations (10 CFR part 9, subpart A) with respect to such reports, records, and other papers; (6) Ensure that, subject to the Freedom of Information Act and implementing NRC regulations at 10 CFR part 9, subpart A, copies of the records, reports, transcript minutes, appendices, working papers, drafts, studies, agenda, or other documents that were made available to or prepared for or by each NRC advisory committee are available for public inspection and copying at the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both, until the advisory committee ceases to exist; (7) Ensure that, subject to the Freedom of Information Act and implementing NRC regulations, at least eight copies of each report made by each NRC advisory committee and, where appropriate, background papers prepared by consultants, shall be filed with the Library of Congress; (8) Ensure that NRC keeps such records as will fully disclose the disposition of any funds that may be at the disposal of NRC advisory committees and the nature and extent of their activities; and (9) Ensure that NRC keeps such other records and provides such support services as are required by § 7.22. (c) For purposes of paragraph (b) … | |||
| 10:10:1.0.1.1.5.0.56.11 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.11 The Designated Federal Officer. | NRC | [67 FR 79841, Dec. 31, 2002] | (a) The Chairman of the Commission or designee shall appoint a Designated Federal Officer or alternate Designated Federal Officer for each NRC advisory committee. The individual holding either position must be employed by the Federal Government on either a full-time or a permanent part-time basis. (b) All meetings of an NRC advisory committee must be convened or approved by the committee's Designated Federal Officer or alternate, and the agenda for each committee meeting (except a meeting of a Presidential advisory committee) must be approved by that individual. (c) An NRC advisory committee may not hold a meeting in the absence of its Designated Federal Officer or alternate. (d) It shall also be the responsibility of the Designated Federal Officer or alternate to: (1) Attend all meetings of the committee for which he or she has been appointed; (2) Adjourn the meetings of the committee when such adjournment is in the public interest; (3) Chair the meetings of the committee when so directed by the Commission; (4) Ensure compliance with the requirements of § 7.13 regarding minutes of meetings of the committee; and (5) Make copies of committee documents required to be maintained for public inspection and copying pursuant to § 7.14(b) and ensure their availability at the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both. | |||
| 10:10:1.0.1.1.5.0.56.12 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.12 Public participation in and public notice of advisory committee meetings. | NRC | [54 FR 26948, June 27, 1989, as amended at 67 FR 79841, Dec. 31, 2002] | (a) Each meeting of an NRC advisory committee shall be held at a reasonable time and in a place reasonably accessible to the public, including persons with disabilities. Any advisory committee meeting conducted in whole or part by teleconference, video conference, the Internet, or other electronic medium must comply with this section. The size of the meeting room must be sufficient to accommodate advisory committee members, committee or agency staff, and interested members of the public, except that the provisions of this paragraph relating to the room size shall not apply to any part of an NRC advisory committee meeting that has been closed pursuant to § 7.15. (b) Any member of the public who wishes to do so shall be permitted to file a written statement with an NRC advisory committee regarding any matter discussed at a meeting of the committee. The committee chairman may also permit members of the public to speak at meetings of the committee in accordance with procedures established by the committee. (c)(1) Except when the President or designee determines in writing that no notice should be published for reasons of national security, at least 15 days prior to an NRC advisory committee meeting, a notice that includes the following information shall be published in the Federal Register: (i) The exact name of the advisory committee as chartered; (ii) The time, date, place, and purpose of the meeting; (iii) A summary of the agenda of the meeting; (iv) Whether all or part of the meeting is open to the public; and (v) The name and telephone number of the Designated Federal Officer, alternate, or other responsible agency employee who may be contacted for additional information concerning the meeting. (2) If any part of the meeting is closed, the notice shall provide the reasons for the closure, citing the specific matter that has been determined to justify the closure under § 7.15. The Commission may publish a single notice announcing multiple meetings; however, a meeting may not be announced so far in advanc… | |||
| 10:10:1.0.1.1.5.0.56.13 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.13 Minutes of advisory committee meetings. | NRC | [54 FR 26948, June 27, 1989, as amended at 67 FR 79842, Dec. 31, 2002] | (a) Detailed minutes shall be kept of each NRC advisory committee meeting. The minutes shall include the following information: (1) The time, date, and place of the meeting; (2) A list of the attendees at the meeting who are advisory committee members or staff, agency employees, or members of the public who presented oral or written statements; (3) An estimate of the number of other members of the public who were present; (4) The extent of public participation; and (5) An accurate description of each matter discussed during the meeting and its resolution, if any, by the committee. (b) The minutes of an NRC advisory committee meeting shall include a copy of each report or other document received, issued, or approved by the committee in connection with the meeting. If it is impracticable to attach a document to the minutes, the minutes shall describe the document in sufficient detail to permit it to be identified readily. (c) The chairperson of an NRC advisory committee shall certify the accuracy of the minutes of each of the committee's meetings. (d) A verbatim transcript of an advisory committee meeting may be substituted for minutes required by this section, providing that the use of such a transcript is in accordance with the requirements of paragraphs (a), (b), and (c) of this section. | |||
| 10:10:1.0.1.1.5.0.56.14 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.14 Public information on advisory committees. | NRC | [67 FR 79842, Dec. 31, 2002] | (a) The Nuclear Regulatory Commission shall maintain systematic information on the nature, functions, and operations of each NRC advisory committee. A complete set of the charters of NRC advisory committees and copies of the annual reports required by § 7.17(a) will be maintained for public inspection at either the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both. (b) Subject to the provisions of the Freedom of Information Act (5 U.S.C. 552) and NRC's Freedom of Information Act regulations at 10 CFR part 9, subpart A, copies of NRC advisory committees' records, reports, transcripts, minutes, appendices, working papers, drafts, studies, agenda, and other documents shall be maintained for public inspection and copying at the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both. To provide the public a meaningful opportunity to comprehend fully the work undertaken by an NRC advisory committee, advisory committee records should be available to the public as soon as practicable. Members of the public or other interested parties may review non-exempt advisory committee records without filing a request for these records under the Freedom of Information Act. (c) Official records generated by or for an advisory committee must be retained for the duration of the advisory committee. Upon termination of the advisory committee, the records must be processed in accordance with the Federal Records Act (44 U.S.C. Chapters 21, 29-33) and regulations issued by the National Archives and Records Administration ( see 36 CFR Parts 1220, 1222, 1228, and 1234), or in accordance with the Presidential Records Act (44 U.S.C. Chapter 22). | |||
| 10:10:1.0.1.1.5.0.56.15 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.15 Procedures for closing an NRC advisory committee meeting. | NRC | [67 FR 79842, Dec. 31, 2002] | (a) To close all or part of a meeting of an NRC advisory committee, the committee shall submit a written request for closure to the General Counsel, citing specific exemptions listed in the Government in the Sunshine Act (5 U.S.C. 552b), as implemented by 10 CFR 9.104, that justify the closure. The request shall provide the General Counsel sufficient time for review in order to make a determination prior to publication of the meeting notice pursuant to § 7.12. (b) If the General Counsel finds that the request for closure is consistent with the provisions of the Government in the Sunshine Act and this part, a determination shall be issued in writing that all or part of the meeting will be closed. The determination shall include a statement of the reasons for the closing, citing the applicable exemptions in the Government in the Sunshine Act (as implemented by 10 CFR 9.104). (c) Except when the President or designee determines in writing that no notice should be published for reasons of national security, the Secretary of the Commission shall make a copy of the determination to close all or part of an NRC advisory committee meeting available to the public upon request. If such a determination has been issued, the meeting notice published in the Federal Register should comply with the provisions of § 7.12 applicable to closed meetings. | |||
| 10:10:1.0.1.1.5.0.56.16 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.16 Annual comprehensive review. | NRC | [54 FR 26948, June 27, 1989, as amended at 67 FR 79842, Dec. 31, 2002] | (a) The Chairman of the Commission shall conduct an annual comprehensive review of the activities and responsibilities of each NRC advisory committee to determine whether the committee— (1) Is carrying out its purposes or, consistent with the provisions of applicable statutes, its responsibilities should be revised. (2) Should be merged with another advisory committee. (3) Should be terminated. (b) The comprehensive review required by paragraph (a) of this section shall include consideration of such information regarding the committee as is required for the Commission's annual report to the GSA Secretariat pursuant to § 7.17(a) and such other information as may be requested from the Committee by the NRC Advisory Committee Management Officer. The results of such review shall be included in the annual report to the GSA Secretariat. (c) If, as a result of the review required by this section, the Commission determines that an advisory committee is no longer needed, the committee shall be terminated; except that in the case of an advisory committee established by an Act of Congress or the President, the committee's termination shall be recommended to the President or the Congress, as the case may be. | |||
| 10:10:1.0.1.1.5.0.56.17 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.17 Reports required for advisory committees. | NRC | [67 FR 79842, Dec. 31, 2002] | (a) The Commission shall furnish a report on the activities of NRC advisory committees annually to the Committee Management Secretariat on a fiscal year basis. The report must contain information regarding NRC advisory committees consistent with instructions provided by the Committee Management Secretariat. A copy of the report shall be made available at the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both. The information provided by the Commission regarding its advisory committees is contained in the Committee Management Secretariat's report which is available on its Web site, http://www.gsa.gov/committeemanagement. (b) Any NRC advisory committee holding closed or partially closed meetings shall issue a report, at least annually, setting forth a summary of its activities consistent with the policy of the Government in the Sunshine Act (5 U.S.C. 552b), as implemented by 10 CFR 9.104. A copy of the report shall be made available at the NRC Web site, http://www.nrc.gov, at the NRC Public Document Room, or both. (c) Subject to the Freedom of Information Act (5 U.S.C. 552) and implementing NRC regulations (10 CFR part 9, subpart A), eight copies of each report made by an advisory committee, including any report on closed meetings pursuant to paragraph (b) of this section, and, where appropriate, background papers prepared by consultants, shall be filed for public inspection and use with the Library of Congress, Anglo-American Acquisitions Division, Government Documents Section, Federal Advisory Committee Desk, 101 Independence Avenue, SE., Washington, DC 20540-4172. | |||
| 10:10:1.0.1.1.5.0.56.18 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.18 Appointment, compensation, and expense reimbursement of advisory committee members, staffs, and consultants. | NRC | [67 FR 79843, Dec. 31, 2002] | (a) Unless otherwise provided by law, advisory committee members serve at the pleasure of the Commission and their terms are at the sole discretion of the Commission. (b) Except where otherwise provided by law, the Commission may accept the gratuitous services of an NRC advisory committee member, staff member, or consultant who agrees in advance to serve without compensation. (c)(1) Subject to the provisions of paragraph (c)(2) of this section, if the Commission determines that compensation of a member of an NRC advisory committee is appropriate, the amount that will be paid shall be fixed by the Chairman of the Commission at a rate that is the daily equivalent of a rate in NRC's General Grade Salary Schedule, unless the member is appointed as a consultant and compensated at a rate applicable to NRC consultants. (2) In determining an appropriate rate of pay for a member of an NRC advisory committee, the Chairman of the Commission shall give consideration to the significance, scope, and technical complexity of the matters with which the advisory committee is concerned and the qualifications required of the committee member; provided that the Chairman may not set the rate of pay for an NRC advisory committee member higher than the daily equivalent rate for level IV of the Executive Schedule under 5 U.S.C. 5315, unless a higher rate is expressly allowed by another statute. The Chairman may authorize a rate of basic pay in excess of the maximum rate of basic pay established for NRC's General Grade Salary Schedule. This maximum rate includes an applicable locality payment. The Commission may pay advisory committee members on either an hourly or a daily rate basis. The Commission may not provide additional compensation in any form, such as bonuses or premium pay. The Chairman may not delegate the responsibility for making a determination that a higher rate of pay than that established by NRC's General Grade Salary Schedule is necessary and justified for an NRC advisory committee member, and such a determination must… | |||
| 10:10:1.0.1.1.5.0.56.19 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.19 Advisory committee members with disabilities. | NRC | [67 FR 79843, Dec. 31, 2002] | An NRC advisory committee member who is disabled may be provided services by a personal assistant while performing advisory committee duties, if the member; (a) Qualifies as disabled under section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 794) ; and (b) Does not otherwise qualify for assistance under 5 U.S.C. 3102 by reason of being an employee of NRC. | |||
| 10:10:1.0.1.1.5.0.56.20 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.20 Conflict of interest reviews of advisory committee members' outside interests. | NRC | [67 FR 79843, Dec. 31, 2002] | The Designated Federal Officer or alternate for each NRC advisory committee and the General Counsel or designee shall review the interests and affiliations of each member of the Designated Federal Officer's advisory committee annually, and upon the commencement of the member's appointment to the committee, for the purpose of ensuring that such appointment is consistent with the laws and regulations on conflict of interest applicable to that member. | |||
| 10:10:1.0.1.1.5.0.56.21 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.21 Cost of duplication of documents. | NRC | Copies of the records, reports, transcripts, minutes, appendices, working papers, drafts, studies, agenda, or other documents that were made available to or prepared for or by an NRC advisory committee shall be made available to any person at the actual cost of duplication prescribed in part 9 of this chapter. (For availability of information on advisory committees, see § 7.14.) | ||||
| 10:10:1.0.1.1.5.0.56.22 | 10 | Energy | 7 | PART 7—ADVISORY COMMITTEES | § 7.22 Fiscal and administrative responsibilities. | NRC | [54 FR 26948, June 27, 1989, as amended at 63 FR 15742, Apr. 1, 1998; 80 FR 74978, Dec. 1, 2015] | (a) The Office of the Chief Financial Officer shall keep such records as will fully disclose the disposition of any funds that may be at the disposal of NRC advisory committees. (b) The Office of the Chief Information Officer shall keep such records as will fully disclose the nature and extent of activities of NRC advisory committees. (c) NRC shall provide support services (including staff support and meeting space) for each advisory committee established by or reporting to it unless the establishing authority provides otherwise. Where any such advisory committee reports to another agency in addition to NRC, only one agency shall be responsible for support services at any one time, and the establishing authority shall designate the agency responsible for providing such services. | |||
| 10:10:1.0.1.1.7.0.64.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.1 Scope and purpose. | NRC | [52 FR 49355, Dec. 31, 1987, as amended at 85 FR 33529, June 2, 2020] | (a) Subpart A implements the provisions of the Freedom of Information Act, 5 U.S.C. 552, concerning the availability to the public of Nuclear Regulatory Commission records for inspection and copying. (b) Subpart B implements the provisions of the Privacy Act of 1974, 5 U.S.C. 552a, concerning disclosure and availability of certain Nuclear Regulatory Commission records maintained on individuals. (c) Subpart C implements the provisions of the Government in the Sunshine Act, 5 U.S.C. 552b, concerning the opening of Commission meetings to public observation. (d) Subpart D describes procedures governing the production of agency records, information, or testimony in response to subpoenas or demands of courts or other judicial or quasi-judicial authorities in State and Federal proceedings. (e) Subpart E implements the provisions of the Social Security Number Fraud Prevention Act of 2017, Public Law 115-59, concerning the use of Social Security account numbers in documents sent by mail. | |||
| 10:10:1.0.1.1.7.0.64.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.3 Definitions. | NRC | [52 FR 49355, Dec. 31, 1987] | As used in this part: Commission means the Commission of five members or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974. Government agency means any executive department, military department, Government corporation, Government-controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency. NRC means the Nuclear Regulatory Commission, established by the Energy Reorganization Act of 1974. NRC personnel means employees, consultants, and members of advisory boards, committees, and panels of the NRC; members of boards designated by the Commission to preside at adjudicatory proceedings; and officers or employees of Government agencies, including military personnel, assigned to duty at the NRC. Working days mean Monday through Friday, except legal holidays. | |||
| 10:10:1.0.1.1.7.0.64.3 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.5 Interpretations. | NRC | [52 FR 49356, Dec. 31, 1987] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by an officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized as binding upon the Commission. | |||
| 10:10:1.0.1.1.7.0.64.4 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.6 Communications. | NRC | [68 FR 58799, Oct. 10, 2003, as amended at 74 FR 62680, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | Except as otherwise indicated, communications relating to this part shall be addressed to the Freedom of Information Act and Privacy Act Officer, may be sent to the NRC by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission via facsimile to (301) 415-5130 or e-mail to foia@nrc.gov. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | |||
| 10:10:1.0.1.1.7.0.64.5 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.8 Information collection requirements: OMB approval. | NRC | [62 FR 52184, Oct. 6, 1997, as amended at 63 FR 2876, Jan. 20, 1998; 70 FR 34306, June 14, 2005] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0043. (b) The approved information collection requirements contained in this part appear in §§ 9.23, 9.25, 9.28, 9.29, 9.40, 9.41, 9.53, 9.54, 9.55, 9.65, 9.66, and 9.67. | |||
| 10:10:1.0.1.1.7.1.64.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.11 Scope of subpart. | NRC | This subpart prescribes procedures for making NRC agency records available to the public for inspection and copying pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552) and provides notice of procedures for obtaining NRC records otherwise publicly available. This subpart does not affect the dissemination or distribution of NRC-originated, or NRC contractor-originated, information to the public under any other NRC public, technical, or other information program or policy. | ||||
| 10:10:1.0.1.1.7.1.64.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.13 Definitions. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 70 FR 34306, June 14, 2005] | Agency record means a record in the possession and control of the NRC that is associated with Government business. Agency record does not include records such as— (1) Publicly-available books, periodicals, or other publications that are owned or copyrighted by non-Federal sources; (2) Records solely in the possession and control of NRC contractors; (3) Personal records in possession of NRC personnel that have not been circulated, were not required to be created or retained by the NRC, and can be retained or discarded at the author's sole discretion, or records of a personal nature that are not associated with any Government business; or (4) Non-substantive information in logs or schedule books of the Chairman or Commissioners, uncirculated except for typing or recording purposes. Commercial-use request means a request made under § 9.23(b) for a use or purpose that furthers the commercial, trade, or profit interests of the requester or the person on whose behalf the request is made. Direct costs mean the expenditures that an agency incurs in searching for and duplicating agency records. For a commercial-use request, direct costs include the expenditures involved in reviewing records to respond to the request. Direct costs include the salary of the employee category performing the work based on that basic rate of pay plus 16 percent of that rate to cover fringe benefits and the cost of operating duplicating machinery. Duplication means the process of making a copy of a record necessary to respond to a request made under § 9.23. Copies may take the form of paper copy, microform, audio-visual materials, disk, magnetic tape, or machine readable documentation, among others. Educational institution means an institution that operates a program or programs of scholarly research. Educational institution refers to a preschool, a public or private elementary or secondary school, an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education… | |||
| 10:10:1.0.1.1.7.1.64.3 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.15 Availability of records. | NRC | The NRC will make available for public inspection and copying any reasonably described agency record in the possession and control of the NRC under the provisions of this subpart, and upon request by any person. Records will be made available in any form or format requested by a person if the record is readily reproducible by NRC in that form or format. NRC will make reasonable efforts to maintain its records in forms or formats that are reproducible. NRC will make reasonable efforts to search for records in electronic form or format when requested, except when these efforts would significantly interfere with the operation of any of the NRC's automated information systems. Records that the NRC routinely makes publicly available are described in § 9.21. Procedures and conditions governing requests for records are set forth in § 9.23. | ||||
| 10:10:1.0.1.1.7.1.64.4 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.17 Agency records exempt from public disclosure. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 81 FR 96346, Dec. 30, 2016] | (a) The following types of agency records are exempt from public disclosure under § 9.15: (1) Records— (i) That are specifically authorized under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy, and (ii) That are in fact properly classified pursuant to such Executive Order; (2) Records related solely to the internal personnel rules and practices of the agency; (3) Records specifically exempted from disclosure by statute (other than 5 U.S.C. 552b), provided that the statute— (i) Requires that the matters be withheld from the public in a manner that leaves no discretion on the issue; or (ii) Establishes particular criteria for withholding or refers to particular types of matters to be withheld; (4) Trade secrets and commercial or financial information obtained from a person that are privileged or confidential; (5) Interagency or intra-agency memorandums or letters that would not be available by law to a party other than an agency in litigation with the agency, provided that the deliberative process privilege shall not apply to records created 25 years or more before the date on which the records were requested; (6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of these law enforcement records or information— (i) Could reasonably be expected to interfere with enforcement proceedings; (ii) Would deprive a person of a right to a fair trial or an impartial adjudication; (iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority, or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a c… | |||
| 10:10:1.0.1.1.7.1.64.5 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.19 Segregation of exempt information and deletion of identifying details. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 81 FR 96346, Dec. 30, 2016] | (a) For records required to be made available under 5 U.S.C. 552(a)(2), the NRC shall delete information that is exempt under one or more of the exemptions cited in § 9.17. The amount of information deleted will be indicated on the released portion of the record, unless providing this indication would harm an interest protected by the exemption(s) under which the matter has been withheld. (b) In responding to a request for information submitted under § 9.23, in which it has been determined to withhold exempt information, the NRC shall segregate— (1) Information that is exempt from public disclosure under § 9.17 from nonexempt information; and (2) Factual information from advice, opinions, and recommendations in predecisional records unless the information is inextricably intertwined, or is contained in drafts, legal work products, and records covered by the lawyer-client privilege, or is otherwise exempt from disclosure. (c) In denying a request for records, in whole or in part, NRC will make a reasonable effort to estimate the volume of any information requested that is denied and provide the estimate to the person making the request, unless providing the estimate would harm an interest protected by the exemption(s) under which the information has been denied. (d) When entire records or portions thereof are denied and deletions are made from parts of the record by computer, the amount of information deleted will be indicated on the released portion of the record, unless providing this indication would harm an interest protected by the exemption(s) under which the matter has been denied. | |||
| 10:10:1.0.1.1.7.1.64.6 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.21 Publicly available records. | NRC | [64 FR 48950, Sept. 9, 1999, as amended at 67 FR 67098, Nov. 4, 2002; 70 FR 34306, June 14, 2005; 81 FR 96346, Dec. 30, 2016] | (a) Single copies of NRC publications in the NUREG series, NRC Regulatory Guides, and Standard Review Plans can be ordered from the National Technical Information Service, 5285 Port Royal Road, Springfield, Virginia, 22161. (b) For the convenience of persons who may wish to inspect without charge, or purchase copies of a record or a limited category of records for a fee, publicly available records of the NRC's activities described in paragraph (c) of this section are also made available at the NRC Web site, http://www.nrc.gov, and/or at the Public Document Room located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland 20852-2738, between 7:45 am and 4:15 pm on Monday through Friday except Federal holidays. (c) The following records of NRC activities are available for public inspection in an electronic format: (1) Final opinions including concurring and dissenting opinions as well as orders of the NRC issued as a result of adjudication of cases; (2) Statements of policy and interpretations that have been adopted by the NRC and have not been published in the Federal Register ; (3) Nuclear Regulatory Commission rules and regulations; (4) Nuclear Regulatory Commission Manuals and instructions to NRC personnel that affect any member of the public; (5) Copies of all records, regardless of form or format— (i) That have been released to any person under § 9.23; and (ii)(A) That because of the nature of their subject matter, the NRC determines have become or are likely to become the subject of subsequent requests for substantially the same records; or (B) That have been requested 3 or more times; (6) Individual indexes to publicly available records, including those records specified in paragraph (c) of this section, may be created by using the search features of the Agencywide Documents Access and Management System (ADAMS), located at the NRC Web site, http://www.nrc.gov. This capability made it unnecessary for the NRC to continue publishing its monthly publication, Documen… | |||
| 10:10:1.0.1.1.7.1.64.7 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.23 Requests for records. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 64 FR 48950, Sept. 9, 1999; 67 FR 67098, Nov. 4, 2002; 68 FR 58800, Oct. 10, 2003; 70 FR 34306, June 14, 2005] | (a)(1) A person may request access to records routinely made available by the NRC under § 9.21 in person, by telephone, by e-mail, facsimile, or U.S. mail from the NRC Public Document Room, One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland 20852-2738. (i) Each record requested must be described in sufficient detail to enable the NRC Public Document Room staff to locate the record. (ii) To obtain copies of records expeditiously, a person may open an account with the NRC Public Document Room reproduction contractor. Payment for reproduction services will be made directly to the contractor. (2) [Reserved] (b) A person may request agency records by submitting a request authorized by 5 U.S.C. 552(a)(3) to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6 of this chapter. The request must be in writing and clearly state on the envelope and in the letter that it is a “Freedom of Information Act request.” The NRC does not consider a request as received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. (1) A Freedom of Information Act request covers only agency records that are in existence on the date the Freedom of Information Act and Privacy Act Officer receives the request. A request does not cover agency records destroyed or discarded before receipt of a request or which are created after the date of the request. (2) All Freedom of Information Act requests for copies of agency records must reasonably describe the agency records sought in sufficient detail to permit the NRC to identify the requested agency records. Where possible, the requester should provide specific information regarding dates, titles, docket numbers, file designations, and other information which may help identify the agency records. If a requested agency record is not described in sufficient detail to permit its identification, the Freedom of Information Act and Privacy Act Officer will contact the requester within 10 wo… | |||
| 10:10:1.0.1.1.7.1.64.8 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.25 Initial disclosure determination. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 70 FR 34306, June 14, 2005; 81 FR 96346, Dec. 30, 2016] | (a) Time for initial disclosure determination. The NRC will notify a requester within 20 working days of its determination. If the NRC cannot act upon the request within this period, the NRC will provide the requester with the reasons for the delay and provide a projected response date. (b) Extension of time limit in unusual circumstances. In unusual circumstances, the NRC may extend the time limit prescribed in paragraph (a) of this section by not more than 10 working days. The extension may be made by written or telephonic notice to the person making the request to explain the reasons for the extension and indicate the date on which a determination is expected to be made. “Unusual circumstances” is limited to one or more of the following reasons for delay: (1) The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request; (2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or (3) The need for consultation, which will be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the NRC having substantial subject-matter interest therein. (c) Exceptional circumstances. A requester may be notified in certain exceptional circumstances, when it appears that a request cannot be completed within the allowable time, and will be provided an opportunity to limit the scope of the request so that it may be processed in the time limit, or to agree to a reasonable alternative time frame for processing. When notifying a requester under this paragraph, the NRC, to aid the requester, shall make available its FOIA Public Liaison to assist in the resolution of any disputes between the requester and the agency and shall notify the requester of the requester's right to seek dispute resolution services from the Office of Gove… | |||
| 10:10:1.0.1.1.7.1.64.9 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.27 Form and content of responses. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 70 FR 34307, June 14, 2005; 76 FR 72084, Nov. 22, 2011; 81 FR 96346, Dec. 30, 2016] | (a) When the NRC has located a requested agency record and has determined to disclose the agency record, the Freedom of Information Act and Privacy Act Officer will promptly furnish the agency record or notify the requester where and when the agency record will be available for inspection and copying. The NRC's response will notify the requester of the requester's right to seek assistance from the NRC's FOIA Public Liaison. The NRC will also advise the requester of any applicable fees under §§ 9.35 and 9.37. The NRC will routinely make copies of non-sensitive records disclosed in response to Freedom of Information Act requests publicly available through the Agencywide Document Access and Management System (ADAMS) located in the NRC Library that can be accessed via the NRC Web site at http://www.nrc.gov/NRC/reading-rm/adams.html. Records that contain information personal to the requester, involve matters that are not likely to be of public interest to anyone other than the requester or contain privileged or confidential information that should only be disclosed to the requester will not be made publicly available on the NRC Web site. (b) When the NRC denies access to a requested agency record or denies a request for expedited processing or for a waiver or reduction of fees, the Freedom of Information Act and Privacy Act Officer will notify the requester in writing. The denial will include as appropriate— (1) The reason for the denial; (2) A reference to the specific exemption under the Freedom of Information Act, or other appropriate reason, and the Commission's regulations authorizing the denial; (3) The name and title or position of each person responsible for the denial of the request, including the head of the office recommending denial of the record; (4) A statement stating why the request does not meet the requirements of § 9.41 if the request is for a waiver or reduction of fees; and (5) A statement that the denial may be appealed within 90 calendar days from the date of the denial to the Executive … | |||
| 10:10:1.0.1.1.7.1.64.10 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.28 Predisclosure notification procedures for information containing trade secrets or confidential commercial or financial information. | NRC | [70 FR 34307, June 14, 2005] | (a) Notice of opportunity to object to NRC's initial disclosure determination. Whenever NRC makes an initial determination that information should be disclosed in response to a Freedom of Information Act request or a Freedom of Information Act appeal which has been designated by the submitter as trade secrets or confidential commercial or financial information, or the NRC believes the information contains such trade secrets or confidential commercial or financial information, the NRC will give the submitter of the information written notice of NRC's initial determination, or NRC's need for information on which to base a determination, and an opportunity to object. The notice must describe the business information requested or include copies of the requested records or record portions containing the information. (b) Submitter objection to disclosure. The submitter will be allowed 30 calendar days from date of the notice described in paragraph (a) of this section to object to disclosure, unless the Commission determines that a shorter period of time to respond is necessary in a particular instance. If a submitter has any objection to disclosure, the submitter must provide a detailed written statement. The statement must specify all grounds that support why the information is a trade secret or commercial or financial information that is privileged or confidential. If a submitter fails to respond to the notice within the time specified in the notice, the submitter will be considered to have no objection to disclosure of the information. Information provided by the submitter that is not received until after the date specified for response will not be considered unless that date is extended by the Freedom of Information Act and Privacy Act Officer upon request by the submitter. (c) Notice of final decision to disclose. The NRC shall consider a submitter's written statement and specific grounds for nondisclosure. If the NRC agrees to withhold the information from public disclosure, the NRC will inform the reques… | |||
| 10:10:1.0.1.1.7.1.64.11 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.29 Appeal from initial determination. | NRC | [70 FR 34307, June 14, 2005, as amended at 81 FR 96346, Dec. 30, 2016] | (a) A requester may appeal a notice of denial of a Freedom of Information Act request for access to agency records, denial of a request for waiver or reduction of fees, or denial of a request for expedited processing under this subpart within 90 calendar days of the date of the NRC's denial. (b) For agency records to which access is denied by the Assistant Inspector General for Investigations, the appeal must be in writing directed to the Inspector General and sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6. The appeal should clearly state on the envelope and in the letter that it is an “Appeal from Initial Freedom of Information Act Decision.” The NRC does not consider an appeal received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. The Inspector General will make the NRC determination on the appeal within 20 working days after the receipt of the appeal. If the Inspector General denies an appeal of access to records, in whole or in part, the Inspector General will notify the requester of the denial, explaining the exemptions relied upon and how the exemptions apply to the agency records withheld. The notice will inform the requester that the denial is a final agency action and that judicial review is available in a district court of the United States in the district in which the requester resides or has a principal place of business, in which the agency records are situated, or in the District of Columbia. (c) For agency records to which access is denied by the Executive Assistant to the Secretary of the Commission, the General Counsel, or an office director reporting to the Commission, the appeal must be in writing directed to the Secretary of the Commission and sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6. The appeal should clearly state on the envelope and in the letter that it is an “Appeal from Initial Freedom of Information Act Decision.” T… | |||
| 10:10:1.0.1.1.7.1.64.12 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.30 Contact for dispute resolution services. | NRC | [81 FR 96346, Dec. 30, 2016] | (a) NRC's FOIA Public Liaison: (1) By mail—11555 Rockville Pike, Rockville, MD 20852; (2) By facsimile—301-415-5130; and (3) By email— FOIA.Resource@nrc.gov. (b) Office of Government Information Services within National Archives and Records Administration: (1) By mail—8601 Adelphi Road-OGIS, College Park, MD 20740; (2) By facsimile—202-741-5769; and (3) By email— ogis@nara.gov. | |||
| 10:10:1.0.1.1.7.1.64.13 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.31 Extension of time for response. | NRC | (a) In unusual circumstances defined in § 9.13, the NRC may extend the time limits prescribed in § 9.25 or § 9.29 by not more than 10 working days. The extension may be made by written notice to the person making the request to explain the reasons for the extension and indicate the date on which a determination is expected to be dispatched. (b) An extension of the time limits prescribed in §§ 9.25 and 9.29 may not exceed a combined total of 10 working days per request, unless a requester has agreed to an alternative time frame as described in § 9.25 (c). | ||||
| 10:10:1.0.1.1.7.1.64.14 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.33 Search, review, and special service fees. | NRC | (a) The NRC charges fees for— (1) Search, duplication, and review, when agency records are requested for commercial use; (2) Duplication of agency records provided in excess of 100 pages when agency records are not sought for commercial use and the request is made by an educational or noncommercial scientific institution, or a representative of the news media; (3) Search time that exceeds two hours and duplication of agency records of more than 100 pages for requests from all other categories of requesters not described in paragraphs (a)(1) and (a)(2) of this section; (4) The direct costs of searching for agency records. The NRC will assess fees even when no agency records are located as a result of the search or when agency records that are located as a result of the search are not disclosed; and (5) Computer searches which includes the cost of operating the Central Processing Unit for the portion of operating time that is directly attributable to searching for agency records plus the operator/programmer salary apportionable to the search. (b) The NRC may charge requesters who request the following services for the direct costs of the service: (1) Certifying that records are true copies; (2) Sending records by special methods, such as express mail, package delivery service, courier, and other means other than first class mail; or (3) Producing or converting records to formats specified by a requester other than ordinary copying processes that are readily available in NRC. | ||||
| 10:10:1.0.1.1.7.1.64.15 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.34 Assessment of interest and debt collection. | NRC | (a) The NRC will assess interest on the fee amount billed starting on the 31st day following the day on which the billing was sent in accordance with NRC's regulations set out in § 15.37 of this chapter. The rate of interest is prescribed in 31 U.S.C. 3717. (b) The NRC will use its debt collection procedures under part 15 of this chapter for any overdue fees. | ||||
| 10:10:1.0.1.1.7.1.64.16 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.35 Duplication fees. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 64 FR 48951, Sept. 9, 1999; 67 FR 67098, Nov. 4, 2002; 70 FR 34308, June 14, 2005; 71 FR 54571, Sept. 18, 2006] | (a)(1) The charges by the duplicating service contractor for the duplication of records made available under § 9.21 at the NRC Public Document Room (PDR), One White Flint North, 11555 Rockville Pike, Room O-1F23, Rockville, Maryland, may be found on the NRC's Web site at http://www.nrc.gov/reading-rm/pdr/copy-service.html or by calling the PDR at 1-800-397-4209 or 301-415-4737, by e-mail pdr@nrc.gov and are as follows: (i) Paper-to-paper reproduction is $0.30 per page for standard size (up to and including 11″ × 14″ reduced). Pages 11″ × 17″ are $0.30 per page. Pages larger than 11″ × 17″, including engineering drawings, are $1.50 per square foot. (ii) Pages larger than 11″ × 17″ are $1.50 per square foot. (iii) Microfiche-to-paper reproduction is $0.30 per page. Aperture card blowback to paper is $3.00 per square foot. (iv) Microfiche card duplication is $5.00 per card; CD-ROM duplication is $10.00 each. (v) The charges for Electronic Full Text (EFT) (ADAMS documents) copying are as follows: (A) Electronic Full Text (EFT) copying of ADAMS documents to paper (applies to images, OCR TIFF, and PDF text) is $0.30 per page. (B) EFT copying of ADAMS documents to CD-ROM is $5.00 per CD plus $0.15 per page. (C) CD-ROM-to-paper reproduction is $0.30 per page. (vi) Priority rates (rush processing) are as follows: (A) The priority rate offered for standard size paper-to-paper reproduction is $0.35, microfiche-to-paper reproduction is $0.40, EFT copying of ADAMS documents to paper and CD-ROM-to-paper production is $0.35 per page. (B) The priority rate for aperture cards is $3.50 per square foot. The priority rate for copying EFT to CD-ROM is $6.00 per CD-ROM plus $0.20 per page. (vii) Facsimile charges are $1.00 per page for local calls; $2.00 per page for U.S. long distance calls, and $6.00 per page for foreign long distance calls, plus the regular per page copying charge. (2) A requester may submit mail-order requests for contractor duplication of NRC records made by writing to the NRC Public Document Roo… | |||
| 10:10:1.0.1.1.7.1.64.17 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.37 Fees for search and review of agency records by NRC personnel. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 75 FR 41369, July 16, 2010; 83 FR 65077, Dec. 19, 2018] | The NRC will charge the following hourly rates for search and review of agency records by NRC personnel: (a) Clerical search and review at a salary rate that is equivalent to a GG-9/step 7, plus 16 percent fringe benefits; (b) Professional/managerial search and review at a salary rate that is equivalent to a GG-14/step 7, plus 16 percent fringe benefits; and (c) Senior executive or Commissioner search and review at a salary rate that is equivalent to an ES-Maximum, plus 16 percent fringe benefits. | |||
| 10:10:1.0.1.1.7.1.64.18 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.39 Search and duplication provided without charge. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 81 FR 96346, Dec. 30, 2016] | (a) The NRC will search for agency records requested under § 9.23(b) without charges when agency records are not sought for commercial use and the records are requested by an educational or noncommercial scientific institution, or a representative of the news media. (b) The NRC will search for agency records requested under § 9.23(b) without charges for the first two hours of search for any request not sought for commercial use and not covered in paragraph (a) of this section. (c) The NRC will duplicate agency records requested under § 9.23(b) without charge for the first 100 pages of standard paper copies, or the equivalent cost of 100 pages of standard paper copies when providing the requester copies in microfiche or electronic form such as computer disks, if the requester is not a commercial use requester. (d) The NRC may not bill any requester for fees if the cost of collecting the fee would be equal to or greater than the fee itself. (e) The NRC may aggregate requests in determining search and duplication to be provided without charge as provided in paragraphs (a) and (b) of this section, if the NRC finds a requester or group of requesters acting in concert, has filed multiple requests that actually constitute a single request, and that the requests involve clearly-related matters. (f)(1) Except as described in paragraphs (f)(2), (3), and (4) of this section, if the NRC fails to comply with any time limit under §§ 9.25 or 9.29, it may not charge search fees or, in the case of requests from requesters described in § 9.33(a)(2), may not charge duplication fees. (2) If the NRC has determined that unusual circumstances, as defined in § 9.13, apply and the NRC provided timely written notice to the requester in accordance with the Freedom of Information Act, a failure to comply with the time limit shall be excused for an additional 10 days. (3) If the NRC has determined that unusual circumstances, as defined in § 9.13, apply and more than 5,000 pages are necessary to respond to the request, the NRC may char… | |||
| 10:10:1.0.1.1.7.1.64.19 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.40 Assessment of fees. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 70 FR 34308, June 14, 2005] | (a) If the request is expected to require the NRC to assess fees in excess of $25 for search and/or duplication, the NRC will notify the requester that fees will be assessed unless the requester has indicated in advance his or her willingness to pay fees as high as estimated. (b) In the notification, the NRC will include the estimated cost of search fees and the nature of the search required and estimated cost of duplicating fees. (c) The NRC will encourage requesters to discuss with the NRC the possibility of narrowing the scope of the request with the goal of reducing the cost while retaining the requester's original objective. (d) If the fee is determined to be in excess of $250, the NRC will require an advance payment. (e) Unless a requester has agreed to pay the estimated fees or, as provided for in paragraph (d) of this section, the requester has paid an estimated fee in excess of $250, the NRC may not begin to process the request. (f) If the NRC receives a new request and determines that the requester has previously failed to pay a properly charged fee under the Freedom of Information Act to the NRC or other Federal agency within 30 calendar days of receipt of the bill on a previous request, the NRC may refuse to accept the new request for processing until payment is made of the full amount owed on the prior request, plus any applicable interest assessed as provided in § 9.34. (g) Within 10 working days of the receipt of NRC's notice that fees will be assessed, the requester will provide advance payment if required, notify the NRC in writing that the requester agrees to bear the estimated costs, or submit a request for a waiver or reduction of fees pursuant to § 9.41. | |||
| 10:10:1.0.1.1.7.1.64.20 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.41 Requests for waiver or reduction of fees. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 68 FR 58800, Oct. 10, 2003; 80 FR 74978, Dec. 1, 2015] | (a)(1) The NRC will collect fees for searching for, reviewing, and duplicating agency records, except as provided in § 9.39, unless a requester submits a request in writing for a waiver or reduction of fees. To ensure that there will be no delay in the processing of Freedom of Information Act requests, the request for a waiver or reduction of fees should be included in the initial Freedom of Information Act request letter. (2) Each request for a waiver or reduction of fees should be addressed to the Office of the Chief Information Officer, and sent using an appropriate method listed in § 9.6. (b) A person requesting the NRC to waive or reduce search, review, or duplication fees will— (1) Describe the purpose for which the requester intends to use the requested information; (2) Explain the extent to which the requester will extract and analyze the substantive content of the agency record; (3) Describe the nature of the specific activity or research in which the agency records will be used and the specific qualifications the requester possesses to utilize information for the intended use in such a way that it will contribute to public understanding; (4) Describe the likely impact on the public's understanding of the subject as compared to the level of public understanding of the subject before disclosure; (5) Describe the size and nature of the public to whose understanding a contribution will be made; (6) Describe the intended means of dissemination to the general public; (7) Indicate if public access to information will be provided free of charge or provided for an access fee or publication fee; and (8) Describe any commercial or private interest the requester or any other party has in the agency records sought. (c) The NRC will waive or reduce fees, without further specific information from the requester if, from information provided with the request for agency records made under § 9.23(b), it can determine that disclosure of the information in the agency records is in the public interest because it i… | |||
| 10:10:1.0.1.1.7.1.64.21 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.43 Processing requests for a waiver or reduction of fees. | NRC | [63 FR 2876, Jan. 20, 1998, as amended at 70 FR 34308, June 14, 2005; 81 FR 96347, Dec. 30, 2016] | (a) Within 20 working days after receipt of a request for access to agency records for which the NRC agrees to waive fees under § 9.39 (a) through (d) or § 9.41(c), the NRC will respond to the request as provided in § 9.25. (b) In making a request for a waiver or reduction of fees, a requester shall provide the information required by § 9.41(b). (c) After receipt of a request for the waiver or reduction of fees made in accordance with § 9.41, the NRC will either waive or reduce the fees and notify the requester of the NRC's intent to provide the agency records promptly or deny the request and provide a statement to the requester explaining why the request does not meet the requirements of § 9.41(b). (d) As provided in § 9.29, a requester may appeal a denial of a request to waive or reduce fees to the Executive Director for Operations. The appeal must be submitted within 90 calendar days from the date of the notice. | |||
| 10:10:1.0.1.1.7.1.64.22 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.45 Annual report to the Attorney General of the United States and Director of the Office of Government Information Services. | NRC | [81 FR 96347, Dec. 30, 2016] | (a) On or before February 1 of each year, the NRC will submit a report covering the preceding fiscal year to the Attorney General of the United States and to the Director of the Office of Government Information Services which shall include the information required by 5 U.S.C. 552(e)(1). (b) The NRC will make its annual FOIA reports available to the public at the NRC Web site, http://www.nrc.gov. | |||
| 10:10:1.0.1.1.7.2.64.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.50 Scope of subpart. | NRC | This subpart implements the provisions of section 3 of the Privacy Act of 1974, Pub. L. 93-579, 5 U.S.C. 552a, with respect to (a) the procedures by which individuals may determine the existence of, seek access to and request correction of NRC records concerning themselves, and (b) the requirements applicable to NRC personnel with respect to the use and dissemination of such records. The regulations in this subpart apply to all records which are retrievable from a system of records under the control of the Nuclear Regulatory Commission by the use of an individual's name or of an identifying number, symbol, or other identifying particular assigned to such individual. Except where specifically provided otherwise, this subpart applies to all NRC records maintained on individuals whether they predate or postdate September 27, 1975. | ||||
| 10:10:1.0.1.1.7.2.64.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.51 Definitions. | NRC | As used in this subpart: (a) Individual means a citizen of the United States or an alien lawfully admitted for permanent residence. (b) The term maintain includes maintain, collect, use or disseminate. (c) Record means any item, collection or grouping of information about an individual that is maintained by the NRC, including, but not limited to, his or her education, financial transactions, medical history, employment history or criminal history, and that contains the individual's name, or the identifying number, symbol or other identifying particular assigned to the individual, such as a finger or voice print or a photograph. (d) System manager means the NRC official responsible for maintaining a system of records. (e) Systems of records means a group of records under the control of the NRC from which information is retrieved by the name of an individual or by an identifying number, symbol, or other identifying particular assigned to an individual. (f) Statistical record means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by the Census Act, 13 U.S.C. 8. (g) Routine use means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected, as described in a notice published in the Federal Register. | ||||
| 10:10:1.0.1.1.7.2.65.3 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.52 Types of requests. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 60 FR 63900, Dec. 13, 1995] | (a) Individuals may make the following requests respecting records about themselves maintained by NRC in a system of records subject to the provisions of the Privacy Act of 1974: (1) Request a determination whether a record about the individual is contained in a system of records. (2) Request access to a record about the individual. Access requests may include requests to review the record and to have a copy made of all or any portion thereof in a form comprehensible to the individual. (3) Request correction or amendment of a record about the individual. (b) Requests for accounting of disclosures. Individuals may, at any time, request an accounting by NRC of disclosures to any other person or Government agency of any record about themselves contained in a system of records controlled by NRC, except the following: (1) Disclosures made pursuant to the Freedom of Information Act, 5 U.S.C. 552; (2) disclosures made within the Nuclear Regulatory Commission; (3) disclosures made to another Government agency or instrumentality for an authorized law enforcement activity pursuant to 5 U.S.C. 552a(b)(7); (4) disclosures expressly exempted by NRC regulations from the requirements of 5 U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a (j)(2) and (k). | |||
| 10:10:1.0.1.1.7.2.65.4 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.53 Requests; how and where presented. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 63 FR 15743, Apr. 1, 1998; 68 FR 58800, Oct. 10, 2003; 70 FR 34308, June 14, 2005] | (a) Requests may be made in person or in writing. Assistance regarding equests or other matters relating to the Privacy Act of 1974 may be obtained by writing to the Freedom of Information Act and Privacy Act Officer, by an appropriate method listed in § 9.6. Requests relating to records in multiple systems of records should be made to the same Officer. That Officer shall assist the requestor in identifying his or her request more precisely and shall be responsible for forwarding the request to the appropriate system manager. (b) All written requests must be made to the Freedom of Information Act and Privacy Act Officer, U.S. Nuclear Regulatory Commission, and sent by an appropriate method listed in § 9.6, and should clearly state on the envelope and in the letter, as appropriate: “Privacy Act Request,” “Privacy Act Disclosure Accounting Request,” “Privacy Act Correction Request.” The NRC does not consider a request received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. (c) Requests may be made in person during official hours at the U.S. Nuclear Regulatory Commission office where the record is located, as listed in the “Notice of System of Records” for the system in which the record is contained. | |||
| 10:10:1.0.1.1.7.2.65.5 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.54 Verification of identity of individuals making requests. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 63 FR 15743, Apr. 1, 1998; 68 FR 58800, Oct. 10, 2003; 70 FR 34309, June 14, 2005] | (a) Identification requirements in paragraphs (a) (1) and (2) of this section are applicable to any individual who makes requests respecting records about himself or herself, except that no verification of identity shall be required if the records requested are available to the public under the provisions of the Freedom of Information Act. With respect to certain sensitive records, additional requirements for verification of identity stated in the appropriate published “Notice of System of Records” may be imposed. (1) Written requests. An individual making a written request respecting a record about himself or herself may establish his or her identity by a signature, address, date of birth, employee identification number, if any, and one other item of identification such as a copy of a driver's license or other document. (2) Requests in person. An individual making a request in person respecting a record about himself or herself may establish his or her identity by the presentation of a single document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph but do bear a name, address and signature (such, as a driver's license or credit card). (b) Inability to provide requisite documentation of identity. An individual making a request in person or in writing respecting a record about himself or herself who cannot provide the necessary documentation of identity may provide a notarized statement, swearing or affirming to his or her identity and to the fact that he or she understands that penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Forms for such notarized statements may be obtained on request from the Freedom of Information Act and Privacy Act Officer, and sent by an appropriate method listed in § 9.6. (c) Verification of parentage or guardianship… | |||
| 10:10:1.0.1.1.7.2.65.6 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.55 Specification of records. | NRC | (a)(1) Requests relating to records shall, insofar as practicable, specify the nature of the record sought, the approximate dates covered by the record, the system of records in which the record is thought to be included and the system manager having custody of the record system as shown in the annual compilation, “Notices of Records Systems”, published by the General Services Administration. Requests shall, in addition, comply with any additional specification requirements contained in the published “Notice of System of Records” for that system. (2) Requests for correction or amendment of records shall, in addition, specify the particular record involved, state the nature of the correction or amendment sought and furnish justification for the correction or amendment. (b) Requests which do not contain information sufficient to identify the record requested will be returned promptly to the requestor, with a notice indicating what information is lacking. Individuals making requests in person will be informed of any deficiency in the specification of records at the time the request is made. Individuals making requests in writing will be notified of any such deficiency when their request is acknowledged. | ||||
| 10:10:1.0.1.1.7.2.65.7 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.56 Accompanying persons. | NRC | An individual requesting access to records about himself or herself may be accompanied by another individual of his or her own choosing. Both the individual requesting access and the individual accompanying him or her shall sign the required form indicating that the Nuclear Regulatory Commission is authorized to discuss the contents of the subject record in the presence of both individuals. | ||||
| 10:10:1.0.1.1.7.2.66.8 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.60 Acknowledgement of requests. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 53 FR 17689, May 18, 1988; 54 FR 53316, Dec. 28, 1989; 63 FR 15743, Apr. 1, 1998] | (a) Written requests by individuals to verify the existence of, obtain access to or correct or amend records about themselves maintained by NRC in a system of records subject to the provisions of the Privacy Act of 1974, shall be acknowledged in writing by the Freedom of Information Act and Privacy Act Officer within ten working days after date of actual receipt. The acknowledgement shall advise the requestor if any additional information is needed to process the request. Wherever practicable, the acknowledgement shall notify the individual whether his or her request to obtain access to the record or to correct or amend the record has been granted or denied. (b) When an individual requests access to records or permission to correct or amend records in person, every effort will be made to make an immediate determination as to whether access or correction or amendment should be granted. If an immediate determination cannot be made, the request will be processed in the same manner as a written request. Records will be made available for immediate inspection whenever possible. | |||
| 10:10:1.0.1.1.7.2.66.9 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.61 Procedures for processing requests for records exempt in whole or in part. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 44 FR 50804, Aug. 30, 1979; 50 FR 50284, Dec. 10, 1985; 60 FR 63900, Dec. 13, 1995; 70 FR 34309, June 14, 2005] | (a) When an individual requests information concerning the existence of, or access to, records about himself or herself which have been compiled in reasonable anticipation of a civil action or proceeding in either a court or before an administrative tribunal, the NRC shall advise the individual only that no record available to him or her pursuant to the Privacy Act of 1974 has been identified. (b) General exemptions. Generally, 5 U.S.C. 552a(j)(2) allows the exemption of any system of records within the NRC from any part of section 552a except subsections (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i) of the act if the system of records is maintained by an NRC component that performs as one of its principal functions any activity pertaining to the enforcement of criminal laws, including police efforts to prevent, control, or reduce crimes, or to apprehend criminals, and consists of— (1) Information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release and parole, and probation status; (2) Information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (3) Reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. (c) Specific exemptions under 5 U.S.C. 552a(k). Individual requests for access to records which have been exempted from access under the provisions of 5 U.S.C. 552a(k) shall be processed as follows: (1) Information classified under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy, and exempted under 5 U.S.C. 552a(k)(1). (i) Requested information classified by NRC will be reviewed by the respon… | |||
| 10:10:1.0.1.1.7.2.66.10 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.62 Records under control of another Government agency. | NRC | [70 FR 34309, June 14, 2005] | Requests received by NRC pertaining to records under the control of another Government agency will be returned to the requester with the name of the controlling Government agency, if known, within ten working days after receipt by the NRC. | |||
| 10:10:1.0.1.1.7.2.67.11 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.65 Access determinations; appeals. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 41 FR 25997, June 24, 1976; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 55 FR 33647, Aug. 17, 1990; 63 FR 15743, Apr. 1, 1998; 68 FR 58800, Oct. 10, 2003; 70 FR 34309, June 14, 2005] | (a) Initial determinations. For agency records located in the Office of the Inspector General, the Assistant Inspector General for Investigations shall determine whether access to the record is available under the Privacy Act. For all other agency records, the Freedom of Information Act and Privacy Act Officer with the advice of the system manager having control of the record to which access is requested, shall determine whether access to the record is available under the Privacy Act. The Freedom of Information Act and Privacy Act Officer shall notify the requesting individual in person or in writing of the determination. Unless the request presents unusual difficulties or involves extensive numbers of records, individuals shall be notified of determinations to grant or deny access within 30 working days after receipt of the request. (1) Notices granting access shall inform the individual when and where the requested record may be seen, how copies may be obtained, and of any fees or anticipated charges which may be incurred pursuant to § 9.85 of this subpart. (2) Notices denying access must state the reasons for the denial, and advise the individual that the denial may be appealed to the Inspector General, for agency records located in the Office of Inspector General, or the Executive Director for Operations, for all other agency records, in accordance with the procedures set forth in this section. (b) Appeals from denials of access. If an individual has been denied access to a record the individual may request a final review and determination of that individual's request by the Inspector General or the Executive Director for Operations, as appropriate. A request for final review of an initial determination must be filed within 60 calendar days of the receipt of the initial determination. For agency records denied by the Assistant Inspector General for Investigations, the appeal must be in writing directed to the Inspector General and sent to the Freedom of Information Act and Privacy Act Officer by an app… | |||
| 10:10:1.0.1.1.7.2.67.12 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.66 Determinations authorizing or denying correction of records; appeals. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 41 FR 25997, June 24, 1976; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 55 FR 33647, Aug. 17, 1990; 63 FR 15743, Apr. 1, 1998; 68 FR 58800, Oct. 10, 2003; 70 FR 34309, June 14, 2005] | (a) Initial determinations. (1) For agency records located in the Office of the Inspector General, the Assistant Inspector General for Investigations shall determine whether to authorize or refuse correction or amendment of a record. For all other agency records, the Freedom of Information Act and Privacy Act Officer with the advice of the system manager having control of the record, shall determine whether to authorize or refuse correction or amendment of a record. The Freedom of Information Act and Privacy Act Officer shall notify the requesting individual. Unless the request presents unusual difficulties or involves extensive numbers of records, individuals must be notified of determinations to authorize or refuse correction or amendment of a record within 30 working days after receipt of the request. In making this determination, the NRC official shall be guided by the following standards: (i) Records shall contain only such information about an individual as is relevant and necessary to accomplish an NRC function required to be accomplished by statute or by executive order of the President; (ii) Records used by NRC in making any determination about any individual shall be as accurate, relevant, current, and complete as is reasonably necessary to assure fairness to the individual in the determination; (iii) No record shall describe how any individual has exercised rights guaranteed by the First Amendment unless such record is expressly authorized by statute or by the individual about whom the record is maintained, or is pertinent to and within the scope of an authorized law enforcement activity. (2) For agency records located in the Office of Inspector General, if correction or amendment of a record is authorized, the Assistant Inspector General for Investigations shall correct or amend the record. For all other agency records, the Freedom of Information Act and Privacy Act Officer shall correct or amend the record. The Freedom of Information Act and Privacy Act Officer shall notify the requesting indiv… | |||
| 10:10:1.0.1.1.7.2.67.13 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.67 Statements of disagreement. | NRC | [55 FR 33848, Aug. 17, 1990, as amended at 68 FR 58800, Oct. 10, 2003; 70 FR 34309, June 14, 2005] | (a) Written “Statements of Disagreement” may be furnished by the individual within 30 calendar days of the date of receipt of the final adverse determination of the Inspector General or the Executive Director for Operations. “Statements of Disagreement” directed to the Executive Director for Operations must be sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6, and should be clearly marked on the statement and on the envelope, “Privacy Act Statement of Disagreement.” “Statements of Disagreement” directed to the Inspector General must be sent to the Freedom of Information Act and Privacy Officer by an appropriate method listed in § 9.6, and should be clearly marked on the statement and on the envelope “Privacy Act Statement of Disagreement”. (b) The Inspector General or the Executive Director for Operations, or their designees, as appropriate, are responsible for ensuring that: (1) The “Statement of Disagreement” is included in the system or systems of records in which the disputed item of information is maintained; and (2) the original record is marked to indicate the information disputed, the existence of a “Statement of Disagreement” and the location of the “Statement of Disagreement” within the system of records. | |||
| 10:10:1.0.1.1.7.2.67.14 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.68 NRC statement of explanation. | NRC | [55 FR 33648, Aug. 17, 1990] | The Inspector General, or the Executive Director for Operations or the EDO's designee, may if deemed appropriate, prepare a concise statement of the reasons why the requested amendments or corrections were not made. Any NRC “Statement of Explanation” must be included in the system of records in the same manner as the “Statement of Disagreement”. Courtesy copies of the NRC statement and of the notation of the dispute as marked on the original record must be furnished to the individual who requested correction or amendment of the record. | |||
| 10:10:1.0.1.1.7.2.67.15 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.69 Notices of correction or dispute. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 63 FR 15743, Apr. 1, 1998] | (a) When a record has been corrected upon request or when a “Statement of Disagreement” has been filed, the Freedom of Information Act and Privacy Act Officer shall, within 30 working days thereof, advise all prior recipients of the affected record whose identity can be determined pursuant to an accounting of disclosures required by the Privacy Act or any other accounting previously made, of the correction or of the filing of the “Statement of Disagreement”. (b) Any disclosure of disputed information occurring after a “Statement of Disagreement” has been filed shall clearly identify the specific information disputed and be accompanied by a copy of the “Statement of Disagreement” and a copy of any NRC “Statement of Explanation”. | |||
| 10:10:1.0.1.1.7.2.68.16 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.80 Disclosure of record to persons other than the individual to whom it pertains. | NRC | [40 FR 44484, Sept. 26, 1975, as amended at 60 FR 63900, Dec. 13, 1995] | (a) NRC Commissioners and NRC personnel shall not disclose any record which is contained in a system of records maintained by NRC by any means of communication to any person, or to another Government agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless disclosure of the record is: (1) To NRC Commissioners and NRC personnel who have a need for the record in the performance of their duties; (2) Required under 5 U.S.C. 552; (3) For a routine use published in the Federal Register ; (4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13 of the United States Code; (5) To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record and the record is transferred in a form that is not individually identifiable. The advance written statement of assurance shall (i) state the purpose for which the record is requested, and (ii) certify that the record will be used only for statistical purposes. Prior to release for statistical purposes in accordance with the provisions of this paragraph, the record shall be stripped of all personally identifying information and reviewed to ensure that the identity of any individual cannot reasonably be determined by combining two or more statistical records; (6) To the National Archives and Records Administration as a record that has sufficient historical or other value to warrant its continued preservation by the United States Government, or to the Archivist of the United States or designee for evaluation to determine whether the record has such value; (7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrument… | |||
| 10:10:1.0.1.1.7.2.68.17 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.81 Notices of subpoenas. | NRC | When records concerning an individual are subpoenaed or otherwise disclosed pursuant to court order, the NRC officer or employee served with the subpoena shall be responsible for assuring that the individual is notified of the disclosure within five days after such subpoena or other order becomes a matter of public record. The notice shall be mailed to the last known address of the individual and shall contain the following information: (a) The date the subpoena is returnable; (b) the court in which it is returnable; (c) the name and number of the case or proceeding; and (d) the nature of the information sought. | ||||
| 10:10:1.0.1.1.7.2.68.18 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.82 Notices of emergency disclosures. | NRC | When information concerning an individual has been disclosed to any person under compelling circumstances affecting health or safety, the NRC officer or employee who made or authorized the disclosure shall notify the individual at his or her last known address within five days of the disclosure. The notice shall contain the following information: (a) The nature of the information disclosed; (b) the person or agency to whom the information was disclosed; (c) the date of the disclosure; and (d) the compelling circumstances justifying the disclosure. | ||||
| 10:10:1.0.1.1.7.2.69.19 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.85 Fees. | NRC | [70 FR 34309, June 14, 2005] | Fees shall not be charged for search or review of records requested under this subpart or for making copies or extracts of records to make them available for review, although fees may be charged for additional copies. Fees established under 31 U.S.C. 483c and 5 U.S.C. 552a(f)(5) shall be charged according to the schedule contained in § 9.35 for actual copies of records disclosed under the Freedom of Information Act from Privacy Act Systems of Records. | |||
| 10:10:1.0.1.1.7.2.70.20 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.90 Violations. | NRC | (a) An injunction or other court order may be obtained pursuant to 5 U.S.C. 552a(g) (1-3) to compel NRC to permit an individual to review, amend or copy a record pertaining to him, or to be accompanied by someone of his or her own choosing when he or she reviews his or her record. A court order may be obtained for the payment of a civil penalty imposed pursuant to 5 U.S.C. 552a(g)(4) if NRC intentionally or willfully fails to maintain a record accurately, or fails to comply with any provision of 5 U.S.C. 552a, or any provision of this subpart, if such failure results in an adverse determination or has an adverse effect on an individual. Court costs and attorney's fees may be awarded in civil actions. (b) Any officer or employee of NRC who willfully maintains a system of records without meeting the notice requirements of 5 U.S.C. 552a(e)(4), or who willfully discloses information knowing such disclosure to be prohibited by 5 U.S.C. 552a or by any rules or regulations issued thereunder, may be guilty of a criminal misdemeanor and upon conviction may be fined up to $5000. Any person who knowingly and willfully requests or obtains any record concerning an individual from NRC under false pretenses may be convicted of a criminal misdemeanor and upon conviction may be fined up to $5,000. | ||||
| 10:10:1.0.1.1.7.2.71.21 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.95 Specific exemptions. | NRC | [70 FR 34309, June 14, 2005] | Exemptions applicable to Privacy Act Systems of Records are stated in each Privacy Act System of Records Notice which is published in the Federal Register and is available at the NRC Web site, http://www.nrc.gov. | |||
| 10:10:1.0.1.1.7.3.72.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.100 Scope of subpart. | NRC | [52 FR 49362, Dec. 31, 1987] | This subpart prescribes procedures pursuant to which NRC meetings shall be open to public observation pursuant to the provisions of 5 U.S.C. 552b. This subpart does not affect the procedures pursuant to which NRC records are made available to the public for inspection and copying which remain governed by subpart A, except that the exemptions set forth in § 9.104(a) shall govern in the case of any request made pursuant to § 9.23 to copy or inspect the transcripts, recordings, or minutes described in § 9.108. Access to records considered at NRC meetings shall continue to be governed by subpart A of this part. | |||
| 10:10:1.0.1.1.7.3.72.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.101 Definitions. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 50 FR 20891, May 21, 1985] | As used in this subpart: (a) Commission means the collegial body of five Commissioners or a quorum thereof as provided by section 201 of the Energy Reorganization Act of 1974, or any subdivision of that collegial body authorized to act on its behalf, and shall not mean any body not composed of members of that collegial body. (b) Commissioner means an individual who is a member of the Commission. (c) Meeting means the deliberations of at least a quorum of Commissioners where such deliberations determine or result in the joint conduct or disposition of official Commission business, that is, where discussions are sufficiently focused on discrete proposals or issues as to cause or to be likely to cause the individual participating members to form reasonably firm positions regarding matters pending or likely to arise before the agency. Deliberations required or permitted by §§ 9.105, 9.106, or 9.108(c) do not constitute “meetings” within this definition. (d) Closed meeting means a meeting of the Commission closed to public observation as provided by § 9.104. (e) Open meeting means a meeting of the Commission open to public observation pursuant to this subpart. (f) Secretary means the Secretary to the Commission. (g) General Counsel means the General Counsel of the commission as provided by section 25(b) of the Atomic Energy Act of 1954 and section 201(f) of the Energy Reorganization Act of 1974, and, until such time as the offices of that officer are in the same location as those of the Commission, any member of his or her office specially designated in writing by him or her pursuant to this subsection to carry out his or her responsibilities under this subpart. | |||
| 10:10:1.0.1.1.7.3.72.3 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.102 General requirement. | NRC | Commissioners shall not jointly conduct or dispose of Commission business in Commission meetings other than in accordance with this subpart. Except as provided in § 9.104, every portion of every meeting of the Commission shall be open to public observation. | ||||
| 10:10:1.0.1.1.7.3.72.4 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.103 General provisions. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 43 FR 13055, Mar. 29, 1978; 43 FR 37421, Aug. 23, 1978] | The Secretary shall ensure that all open Commission meetings are held in a location such that there is reasonable space and adequate visibility and acoustics, for public observation. No additional right to participate in Commission meetings is granted to any person by this subpart. An open meeting is not part of the formal or informal record of decision of the matters discussed therein except as otherwise required by law. Statements of views or expressions of opinion made by Commissioners or NRC employees at open meetings are not intended to represent final determinations or beliefs. Such statements may not be pleaded, cited, or relied upon before the Commission or in any proceeding under part 2 of these regulations (10 CFR part 2) except as the Commission may direct. Members of the public attending open Commission meetings may use small electronic sound recorders to record the meeting, but the use of other electronic recording equipment and cameras requires the advance written approval of the Secretary. | |||
| 10:10:1.0.1.1.7.3.72.5 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.104 Closed meetings. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 88 FR 80949, Nov. 21, 2023] | (a) Except where the Commission finds that the public interest requires otherwise, Commission meetings shall be closed, and the requirements of §§ 9.105 and 9.107 shall not apply to any information pertaining to such meeting otherwise required by this subpart to be disclosed to the public, where the Commission determines in accordance with the procedures of § 9.105 that opening such meetings or portions thereof or disclosing such information, is likely to: (1) Disclose matters that are (i) specifically authorized under criteria established by an Executive order to be kept secret in the interests of national defense or foreign policy, and (ii) in fact properly classified pursuant to such Executive order; (2) Relate solely to the internal personnel rules and practices of the Commission; (3) Disclose matters specifically exempted from disclosure by statute (other than 5 U.S.C. 552) provided that such statute (i) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (ii) establishes particular criteria for withholding or refers to particular types of matters to be withheld; (4) Disclose trade secrets and commercial or financial information obtained from a person and privileged or confidential, including such information as defined in §§ 2.390(b)(3)(i) and (b)(4) of this chapter; (5) Involve accusing any person of a crime, imposing a civil penalty on any person pursuant to 42 U.S.C. 2282 or 42 U.S.C. 5846, or any revocation of any license pursuant to 42 U.S.C. sec. 2236, or formally censuring any person; (6) Disclose information of a personal nature where such disclosure would constitute a clearly unwarranted invasion of personal privacy; (7) Disclose investigatory reports compiled for law enforcement purposes, including specifically enforcement of the Atomic Energy Act of l1954, as amended, 42 U.S.C. 2011 et seq., and the Energy Reorganization Act of 1974, as amended, 42 U.S.C. 5801 et seq., or information which if written would be contained in su… | |||
| 10:10:1.0.1.1.7.3.72.6 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.105 Commission procedures. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 64 FR 48951, Sept. 9, 1999] | (a) Action under § 9.104 shall be taken only when a majority of the entire membership of the Commission votes to take such action. A separate vote of the Commissioners shall be taken with respect to each Commission meeting a portion or portions of which are proposed to be closed to the public pursuant to § 9.104, or which respect to any information which is proposed to be withheld under § 9.105(c). A single vote may be taken with respect to a series of meetings, a portion or portions of which are proposed to be closed to the public, or with respect to any information concerning such series of meetings, so long as each meeting in such series involves the same particular matters and is scheduled to be held no more than thirty days after the initial meeting in such series. The vote of each Commissioner participating in such vote shall be recorded and no proxies shall be allowed. (b) Within one day of any vote taken pursuant to paragraph (a) of this section, § 9.106(a), or § 9.108(c), the Secretary shall make publicly available at the NRC Web site, http://www.nrc.gov, a written copy of such vote reflecting the vote of each member on the question. If a portion of a meeting is to be closed to the public, the Secretary shall, within one day of the vote taken pursuant to paragraph (a) of this section or § 9.106(a), make publicly available at the NRC Web site, http://www.nrc.gov, a full written explanation of its action closing the portion together with a list of all persons expected to attend the meeting and their affiliation. (c) The notices and lists required by paragraph (b) of this section to be made public may be withheld from the public to the extent that the Commission determines that such information itself would be protected against disclosure by § 9.104(a). Any such determination shall be made independently of the Commission's determination pursuant to paragraph (a) of this section to close a meeting, but in accordance with the procedure of that subsection. Any such determination, including a written expl… | |||
| 10:10:1.0.1.1.7.3.72.7 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.106 Persons affected and motions for reconsideration. | NRC | (a) Whenever any person whose interests may be directly affected by a portion of a meeting requests that the Commission close such portion to the public for any of the reasons referred to in paragraphs (a) (5), (6), or (7) of § 9.104, the Commission, upon request of any one Commissioner, shall vote by recorded vote whether to close such meeting. (b) Any person may petition the Commission to reconsider its action under § 9.105(a) or paragraph (a) of this section by filing a petition for reconsideration with the Commission within seven days after the date of such action and before the meeting in question is held. (c) A petition for reconsideration filed pursuant to paragraph (b) of this section shall state specifically the grounds on which the Commission action is claimed to be erroneous, and shall set forth, if appropriate, the public interest in the closing or opening of the meeting. The filing of such a petition shall not act to stay the effectiveness of the Commission action or to postpone or delay the meeting in question unless the Commission orders otherwise. | ||||
| 10:10:1.0.1.1.7.3.72.8 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.107 Public announcement of Commission meetings. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 53 FR 43420, Oct. 27, 1988; 64 FR 48951, Sept. 9, 1999] | (a) In the case of each meeting, the Secretary shall make public announcement, at least one week before the meeting, of the time, place, and subject matter of the meeting, whether it is to be open or closed to the public, and the name and phone number of the official designated by the Commission to respond to requests for information about the meeting. Such announcement shall be made unless a majority of the members of the Commission determines by a recorded vote that Commission business requires that such meeting be called at an earlier date, in which case the Secretary shall make public announcement of the time, place and subject matter of such meeting, and whether open or closed to the public, at the earliest practical time. (b) The time or place of a meeting may be changed following the public announcement required by paragraph (a) of this section only if the Secretary publicly announces such changes at the earliest practicable time. The subject matter of as meeting, or the determination of the Commission to open or close a meeting, or portion of a meeting, to the public, may be changed following the public announcement required by this subsection only if: (1) A majority of the entire membership of the Commission determines by a recorded vote that Commission business so requires and that no earlier announcement of the change was possible, and (2) the Secretary publicly announces such change and the vote of each member upon such change at the earliest practicable time. (c) Immediately following each public announcement required by this section, notice of the time, place, and subject matter of a meeting, whether the meeting is open or closed, any change in one of the preceding, and the name and phone number of the official designated by the Commission to respond to requests for information about the meeting, shall also be submitted for publication in the Federal Register. (d) The public announcement required by paragraph (a) of this section shall consist of the Secretary: (1) Publicly posting a copy of the… | |||
| 10:10:1.0.1.1.7.3.72.9 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.108 Certification, transcripts, recordings and minutes. | NRC | [42 FR 12877, Mar. 7, 1977, as amended at 50 FR 20891, May 21, 1985; 64 FR 48951, Sept. 9, 1999] | (a) For every meeting closed pursuant to paragraphs (a) (1) through (10) of § 9.104 and for every determination pursuant to § 9.105(c), the General Counsel shall publicly certify at the time of the public announcement of the meeting, or if there is no public announcement at the earliest practical time, that, in his or her opinion, the meeting may be closed to the public and shall state each relevant exemptive provision unless the Commission votes pursuant to § 9.105(c) that such certification is protected against disclosure by § 9.104(a). A copy of such certification, together with a statement from the presiding officer of the meeting setting forth the time and place of the meeting, and the persons present, shall be retained by the Commission. The Commission shall maintain a complete transcript or electronic recording adequate to record fully the proceedings of each meeting, or portion of a meeting closed to the public, except that in the case of a meeting, or portion of a meeting, closed to the public pursuant to paragraph (c)(10) of § 9.104, the Commission shall maintain such a transcript, or recording or a set of minutes. Such minutes shall fully and clearly describe all matters discussed and shall provide a full and accurate summary of any actions taken, and the reasons therefor, including a description of each of the views expressed on any item and the record of any rollcall vote (reflecting the vote of each Commissioner on the question). All documents considered in connection with any action shall be identified in such minutes. (b) The Commission shall make promptly available to the public at the NRC Web site, http://www.nrc.gov, the transcript, electronic recording, or minutes (as required by paragraph (a) of this section) of the discussion of any item on the agenda, or of any item of the testimony of any witness received at the meeting, except for such item or items of such discussion or testimony as the Commission determines pursuant to paragraph (c) of this section to contain information which may be… | |||
| 10:10:1.0.1.1.7.3.72.10 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.109 Report to Congress. | NRC | The Secretary shall annually report to the Congress regarding the Commission's compliance with the Government in the Sunshine Act, including a tabulation of the total number of open meetings, the total number of closed meetings, the reasons for closing such meetings and a description of any litigation brought against the Commission pursuant to the Government in the Sunshine Act, including any cost assessed against the Commission in such litigation (whether or not paid by the Commission). | ||||
| 10:10:1.0.1.1.7.4.72.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.200 Scope of subpart. | NRC | [50 FR 37645, Sept. 17, 1985, as amended at 52 FR 49362, Dec. 31, 1987] | (a) This subpart sets forth the procedures to be followed when a subpoena, order, or other demand (hereinafter referred to as a “demand”) for the production of NRC records or disclosure of NRC information, including testimony regarding such records, is issued by a court or other judicial or quasi-judicial authority in a proceeding, excluding Federal grand jury proceedings, to which the NRC is not a party. Information and documents subject to this subpart include: (1) Any material contained in the files of the NRC; (2) Any information relating to material contained in the files of the NRC. (b) For purposes of this subpart, the term “employee of the NRC” includes all NRC personnel as that term is defined in § 9.3 of this part, including NRC contractors. (c) This subpart is intended to provide instructions regarding the internal operations of the NRC and is not intended, and does not, and may not, be relied upon to create any right or benefit, substantive or procedural, enforceable at law by a party against the NRC. | |||
| 10:10:1.0.1.1.7.4.72.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.201 Production or disclosure prohibited unless approved by appropriate NRC official. | NRC | [81 FR 41185, June 24, 2016] | (a) No employee of the NRC shall, in response to a demand of a court or other judicial or quasi-judicial authority, produce any material contained in the files of the NRC or disclose, through testimony or other means, any information relating to material contained in the files of the NRC, or disclose any information or produce any material acquired as part of the performance of that employee's official duties or official status without prior approval of the appropriate NRC official. When the demand is for material contained in the files of the Office of the Inspector General or for information acquired by an employee of that Office, the Inspector General is the appropriate NRC official. In all other cases, the General Counsel is the appropriate NRC official. (b) Any NRC response to a demand of a court or other judicial or quasi-judicial authority that requires an employee of the NRC to expend more than 50 hours of official time shall be subject to hourly fees in accordance with 10 CFR 170.12(d). | |||
| 10:10:1.0.1.1.7.4.72.3 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.202 Procedure in the event of a demand for production or disclosure. | NRC | [50 FR 37645, Sept. 17, 1985, as amended at 55 FR 33648, Aug. 17, 1990] | (a) Prior to or simultaneous with a demand upon an employee of the NRC for the production of material or the disclosure of information described in § 9.200, the party seeking production or disclosure shall serve the General Counsel of the NRC with an affidavit or statement as described in paragraphs (b) (1) and (2) of this section. Except for employees in the Office of Inspector General, whenever a demand is made upon an employee of the NRC for the production of material or the disclosure of information described in § 9.200, that employee shall immediately notify the General Counsel. If the demand is made upon a regional NRC employee, that employee shall immediately notify the Regional Counsel who, in turn, shall immediately request instructions from the General Counsel. If the demand is made upon an employee in the Office of Inspector General, that employee shall immediately notify the Inspector General. The Inspector General shall immediately provide a copy of the demand to the General Counsel, and as deemed necessary, consult with the General Counsel. (b)(1) If oral testimony is sought by the demand, a summary of the testimony desired must be furnished to the General Counsel by a detailed affidavit or, if that is not feasible, a detailed statement by the party seeking the testimony or the party's attorney. This requirement may be waived by the General Counsel in appropriate circumstances. (2) The General Counsel may request a plan from the party seeking discovery of all demands then reasonably foreseeable, including but not limited to, names of all NRC personnel from whom discovery is or will be sought, areas of inquiry, length of time away from duty involved, and identification of documents to be used in each deposition, where appropriate. (c) The Inspector General or the General Counsel will notify the employee and such other persons, as circumstances may warrant, of the decision on the matter. | |||
| 10:10:1.0.1.1.7.4.72.4 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.203 Procedure where response to demand is required prior to receiving instructions. | NRC | [55 FR 33649, Aug. 17, 1990] | If a response to the demand is required before the instructions from the Inspector General or the General Counsel are received, a U.S. attorney or NRC attorney designated for the purpose shall appear with the employee of the NRC upon whom the demand has been made, and shall furnish the court or other authority with a copy of the regulations contained in this subpart and inform the court or other authority that the demand has been, or is being, as the case may be, referred for the prompt consideration of the appropriate NRC official and shall respectfully request the court or authority to stay the demand pending receipt of the requested instructions. In the event that an immediate demand for production or disclosure is made in circumstances which would preclude the proper designation or appearance of a U.S. or NRC attorney on the employee's behalf, the employee shall respectfully request the demanding authority for sufficient time to obtain advice of counsel. | |||
| 10:10:1.0.1.1.7.4.72.5 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.204 Procedure in the event of an adverse ruling. | NRC | If the court or other judicial or quasi-judicial authority declines to stay the effect of the demand in response to a request made in accordance with § 9.203 pending receipt of instructions, or if the court or other authority rules that the demand must be complied with irrespective of instructions not to produce the material or disclose the information sought, the employee upon whom the demand has been made shall respectfully decline to comply with the demand, citing these regulations and United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951). | ||||
| 10:10:1.0.1.1.7.5.72.1 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.300 Scope of subpart. | NRC | This subpart implements the Social Security Number Fraud Prevention Act of 2017, Public Law 115-59, with respect to the use of Social Security account numbers in documents sent by mail and requirements applicable to NRC personnel for redacting Social Security account numbers in documents sent by mail. | ||||
| 10:10:1.0.1.1.7.5.72.2 | 10 | Energy | 9 | PART 9—PUBLIC RECORDS | § 9.301 Social Security account numbers in documents sent by mail. | NRC | (a) Social Security account numbers shall not be visible on the outside of any package sent by mail. (b) A document sent by mail may only include the Social Security account number of an individual if it is determined by the head of the agency that the inclusion of a Social Security account number is necessary. (c) The inclusion of a Social Security account number of an individual on a document sent by mail is necessary when— (1) Required by law; or (2) Necessary to identify a specific individual and no adequate substitute is available. (d) Social Security account numbers must be partially redacted in documents sent by mail whenever feasible. | ||||
| 10:10:1.0.1.1.8.1.72.1 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.1 Purpose. | NRC | [64 FR 15641, Apr. 1, 1999, as amended at 72 FR 49483, Aug. 28, 2007] | (a) This part establishes the criteria, procedures, and methods for resolving questions concerning: (1) The eligibility of individuals who are employed by or applicants for employment with NRC contractors, agents, and other individuals who are NRC employees or applicants for NRC employment, and other persons designated by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs of the NRC, for access to Restricted Data under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, or for access to national security information; (2) The eligibility of NRC employees, or the eligibility of applicants for employment with the NRC, for employment clearance; and (3) The eligibility of individuals who are employed by or are applicants for employment with NRC licensees, certificate holders, holders of standard design approvals under part 52 of this chapter, applicants for licenses, certificates, and NRC approvals, and others who may require access related to a license, certificate, or NRC approval, or other activities as the Commission may determine, for access to Restricted Data under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, or for access to national security information. (b) This part is published to implement the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, Executive Order 10865, 25 FR 1583 (February 24, 1960) Executive Order 10450, 18 FR 2489 (April 27, 1954), and Executive Order 12968, 60 FR 40245 (August 2, 1995). | |||
| 10:10:1.0.1.1.8.1.72.2 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.2 Scope. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 64 FR 15641, Apr. 1, 1999; 72 FR 49483, Aug. 28, 2007] | The criteria and procedures in this part shall be used in determining eligibility for NRC access authorization and/or employment clearance involving: (a) Employees (including consultants) of contractors and agents of the Nuclear Regulatory Commission and applicants for employment; (b) NRC licensees, certificate holders and holders of standard design approvals under part 52 of this chapter, applicants for licenses, certificates, and standard design approvals under part 52 of this chapter, and their employees (including consultants) and applicants for employment (including consulting); (c) NRC employees (including consultants) and applicants for employment; and (d) Any other person designated by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs of the Nuclear Regulatory Commission. | |||
| 10:10:1.0.1.1.8.1.72.3 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.3 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.8.1.72.4 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.4 Policy. | NRC | It is the policy of the Nuclear Regulatory Commission to carry out its responsibility for the security of the nuclear energy program in a manner consistent with traditional American concepts of justice. To this end, the Commission has established criteria for determining eligibility for access authorization and/or employment clearance and will afford those individuals described in § 10.2 the opportunity for administrative review of questions concerning their eligibility for access authorization and/or employment clearance. | ||||
| 10:10:1.0.1.1.8.1.72.5 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.5 Definitions. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 51 FR 35999, Oct. 8, 1986; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15641, Apr. 1, 1999; 75 FR 73938, Nov. 30, 2010] | Access authorization means an administrative determination that an individual (including a consultant) who is employed by or an applicant for employment with the NRC, NRC contractors, agents, and licensees of the NRC, or other person designated by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs, is eligible for a security clearance for access to Restricted Data or National Security Information. Commission means the Nuclear Regulatory Commission of five members or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974, or its designee. Eligible or Eligibility means both initial eligibility and continued eligibility of an individual for access authorization and/or employment clearance. Employment Clearance means an administrative determination that an individual (including a consultant) who is an NRC employee or applicant for NRC employment and other persons designated by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs of the NRC is eligible for employment or continued employment pursuant to subsection 145(b) of the Atomic Energy Act of 1954, as amended. Hearing Counsel means an NRC attorney assigned by the General Counsel to prepare and administer hearings in accordance with this part. Hearing Examiner means a qualified attorney appointed by the Director, Office of Administration, to conduct a hearing in accordance with this part. National Security Information means information that has been determined under Executive Order 13526 or any predecessor or successor order to require protection against unauthorized disclosure and that is so designated. NRC Personnel Security Review Panel means an appeal panel appointed by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs and consisting of three members, two of… | |||
| 10:10:1.0.1.1.8.2.72.1 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.10 Application of the criteria. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 64 FR 15641, Apr. 1, 1999] | (a) The decision as to access authorization and/or employment clearance is a comprehensive, common-sense judgment, made after consideration of all the information, favorable or unfavorable, relevant to whether the granting of access authorization and/or employment clearance would not endanger the common defense and security and would be clearly consistent with the national interest. (b) The criteria in § 10.11 set forth a number of the types of derogatory information used to assist in making determinations of eligibility for access authorization and/or employment clearance. These criteria are not exhaustive but contain the principal types of derogatory information which create a question as to the individual's eligibility for access authorization and/or employment clearance. While there must necessarily be adherence to such criteria, the NRC is not limited to them, nor precluded from exercising its judgment that information or facts in a case under its cognizance are derogatory although at variance with, or outside the scope of, the stated categories. These criteria are subject to continuing review and may be revised from time to time as experience and circumstances may make desirable. (c) When the reports of investigation of an individual contain information reasonably tending to establish the truth of one or more of the items in the criteria, such information shall be regarded as derogatory and shall create a question as to the individual's eligibility for access authorization and/or employment clearance. A question concerning the eligibility of an individual for access authorization and/or employment clearance shall be resolved in accordance with the procedures set forth in § 10.20 et seq. (d) In resolving a question concerning the eligibility or continued eligibility of an individual for access authorization and/or employment clearance, the following principles shall be applied by the Director, Division of Facilities and Security, Hearing Examiners, and the NRC Personnel Security Review Panel: (1) Inform… | |||
| 10:10:1.0.1.1.8.2.72.2 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.11 Criteria. | NRC | (a) The criteria for determining eligibility for access authorization and/or employment clearance shall relate, but not be limited, to the following where an individual: (1) Committed, attempted to commit, aided, or abetted another who committed or attempted to commit any act of sabotage, espionage, treason, sedition, or terrorism. (2) Publicly or privately advocated actions that may be inimical to the interest of the United States, or publicly or privately advocated the use of force or violence to overthrow the Government of the United States or the alteration of the form of government of the United States by unconstitutional means. (3) Knowingly established or continued a sympathetic association with a saboteur, spy, traitor, seditionist, anarchist, terrorist, or revolutionist, or with an espionage agent or other secret agent or representative of a foreign nation whose interests may be inimical to the interests of the United States, or with any person who advocates the use of force or violence to overthrow the Government of the United States or the alteration of the form of government of the United States by unconstitutional means. (4) Joined or engaged in any activity knowingly in sympathy with or in support of any foreign or domestic organization, association, movement, group, or combination of persons which unlawfully advocates or practices the commission of acts of force or violence to prevent others from exercising their rights under the Constitution or laws of the United States or any State or any subdivisions thereof by unlawful means, or which advocate the use of force and violence to overthrow the Government of the United States or the alteration of the form of government of the United States by unconstitutional means. (Ordinarily, criteria (3) and (4) will not include chance or casual meetings or contacts limited to normal business or official relations.) (5) Deliberately misrepresented, falsified or omitted relevant and material facts from or in a personnel security questionnaire, a personal qua… | ||||
| 10:10:1.0.1.1.8.2.72.3 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.12 Interview and other investigation. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15642, Apr. 1, 1999] | (a) The Director, Division of Facilities and Security, Office of Administration, may authorize the granting of access authorization and/or employment clearance on the basis of the information in the possession of the NRC or may authorize an interview with the individual, if the individual consents to be interviewed, or other investigation as the Director deems appropriate. On the basis of this interview and/or an investigation, the Director may authorize the granting of access authorization and/or employment clearance. (b) The individual may elect on constitutional or other grounds not to participate in an interview or other investigation; however, such refusal or failure to furnish or authorize the furnishing of relevant and material information is deemed to be derogatory information pursuant to § 10.11(a) (5) and (12). (c) If the Director, Division of Facilities and Security, cannot make a favorable finding regarding the eligibility of an individual for access authorization and/or employment clearance, the question of the individual's eligibility must be resolved in accordance with the procedures set forth in § 10.20 et seq. | |||
| 10:10:1.0.1.1.8.3.72.1 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.20 Purpose of the procedures. | NRC | [64 FR 15642, Apr. 1, 1999] | These procedures establish methods for the conduct of hearings and administrative review of questions concerning an individual's eligibility for an access authorization and/or an employment clearance pursuant to the Atomic Energy Act of 1954, as amended, and Executive Orders 10450, 10865, and 12968 when a resolution favorable to the individual cannot be made on the basis of the interview or other investigation. | |||
| 10:10:1.0.1.1.8.3.72.2 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.21 Suspension of access authorization and/or employment clearance. | NRC | [64 FR 15642, Apr. 1, 1999] | In those cases where information is received which raises a question concerning the continued eligibility of an individual for an access authorization and/or an employment clearance, the Director, Division of Facilities and Security, through the Director, Office of Administration, shall forward to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs or other Deputy Executive Director, his or her recommendation as to whether the individual's access authorization and/or employment clearance should be suspended pending the final determination resulting from the operation of the procedures provided in this part. In making this recommendation the Director, Division of Facilities and Security, shall consider factors such as the seriousness of the derogatory information developed, the degree of access of the individual to classified information, and the individual's opportunity by reason of his or her position to commit acts adversely affecting the national security. An individual's access authorization and/or employment clearance may not be suspended except by the direction of the Executive Director for Operations, Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs or other Deputy Executive Director. | |||
| 10:10:1.0.1.1.8.3.72.3 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.22 Notice to individual. | NRC | [64 FR 15642, Apr. 1, 1999] | A notification letter, prepared by the Division of Facilities and Security, approved by the Office of the General Counsel, and signed by the Director, Office of Administration, must be presented to each individual whose eligibility for an access authorization and/or an employment clearance is in question. Where practicable, the letter will be presented to the individual in person. The letter will be accompanied by a copy of this part and must state: (a) That reliable information in the possession of the NRC has created a substantial doubt concerning the individual's eligibility for an access authorization and/or an employment clearance; (b) The information that creates a substantial doubt regarding the individual's eligibility for an access authorization and/or an employment clearance, that must be as comprehensive and detailed as the national security interests and other applicable law permit; (c) That the individual has the right to be represented by counsel or other representative at their own expense; (d) That the individual may request within 20 days of the date of the notification letter, any documents, records and reports which form the basis for the question of their eligibility for an access authorization and/or an employment clearance. The individual will be provided within 30 days all such documents, records and reports to the extent they are unclassified and do not reveal a confidential source. The individual may also request the entire investigative file, which will be promptly provided, as permitted by the national security interests and other applicable law; (e) That unless the individual files with the Director, Office of Administration, a written request for a hearing within 20 days of the individual's receipt of the notification letter or 20 days after receipt of the information provided in response to a request made under paragraph (d) of this section, whichever is later, the Director, Division of Facilities and Security, through the Director, Office of Administration, will submit a recomm… | |||
| 10:10:1.0.1.1.8.3.72.4 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.23 Failure of individual to request a hearing. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15642, Apr. 1, 1999] | (a) In the event the individual fails to file a timely written request for a hearing pursuant to § 10.22, a recommendation as to the final action to be taken will be made by the Director, Division of Facilities and Security, through the Director, Office of Administration, to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs on the basis of the information in the possession of the NRC, including any answer filed by the individual. (b) The Director, Office of Administration, may for good cause shown, at the request of the individual, extend the time for filing a written request for a hearing or for filing a written answer to the matters contained in the notification letter. | |||
| 10:10:1.0.1.1.8.3.72.5 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.24 Procedures for hearing and review. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 51 FR 35999, Oct. 8, 1986; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989] | (a) Upon receipt of a timely filed request for a hearing and answer complying with the requirements set forth in § 10.22, the Director, Office of Administration, shall forthwith appoint a Hearing Examiner, and the General Counsel shall forthwith assign an NRC attorney to act as Hearing Counsel. The Director, Office of Administration, shall promptly notify the individual of the identity of the Hearing Examiner and proposed hearing date, which shall be selected with due regard for the convenience of the parties and their representatives. (b) Within 72 hours of being notified of the identity of the Hearing Examiner, the individual may request that the Hearing Examiner be disqualified for cause by filing with the Director, Office of Administration, a written statement of the individual's reasons for seeking disqualification. The time for filing the request may be extended by the Director, Office of Administration, for good cause shown. If the Director, Office of Administration, grants the request the procedures of paragraph (a) of this section and this paragraph shall be followed just as though there had been no prior appointment. (c) The individual shall have the right to appear at the hearing before the Hearing Examiner, to be represented by counsel or other representative, to introduce documentary or other evidence, and to call, examine, and cross-examine witnesses, subject to the provisions and limitations set forth in this part. | |||
| 10:10:1.0.1.1.8.3.72.6 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.25 NRC Hearing Counsel. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 64 FR 15643, Apr. 1, 1999] | (a) Hearing Counsel assigned pursuant to § 10.24 will, before the scheduling of the hearing, review the information in the case and will request the presence of witnesses and the production of documents and other physical evidence relied upon by the Director, Division of Facilities and Security, in making a finding that a question exists regarding the eligibility of the individual for an NRC access authorization and/or an employment clearance in accordance with the provisions of this part. When the presence of a witness and the production of documents and other physical evidence is deemed by the Hearing Counsel to be necessary or desirable for a determination of the issues, the Director, Division of Facilities and Security, will make arrangements for the production of evidence and for witnesses to appear at the hearing by subpoena or otherwise. (b) Hearing Counsel is authorized to consult directly with individual's counsel or representative or the individual, if the individual is not so represented, for purposes of reaching mutual agreement upon arrangements for expeditious hearing of the case. Such arrangements may include clarification of issues and stipulations with respect to testimony and contents of documents and other physical evidence. Such stipulations when entered into shall be binding upon the individual and the NRC for the purposes of this part. Prior to any consultation with the individual, the Hearing Counsel shall advise the individual of his or her rights under this part, of his or her right to counsel or other representation, and of the possibility that any statement made by the individual to the Hearing Counsel may be used in subsequent proceedings. (c) The individual is responsible for producing witnesses in his or her own behalf and/or presenting other evidence before the Hearing Examiner to support the individual's answer and defense to the allegations contained in the notification letter. When requested by the individual, however, the Hearing Counsel may assist the individual to the extent… | |||
| 10:10:1.0.1.1.8.3.72.7 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.26 Appointment of Hearing Examiner. | NRC | The appointment of a Hearing Examiner, pursuant to § 10.24 of this part, shall be from a list of qualified attorneys possessing the highest degree of integrity, ability, and good judgment. To qualify, an attorney shall have an NRC “Q” access authorization and may be an employee of the NRC, its contractors, agents or licensees. However, no employee or consultant of the NRC shall serve as Hearing Examiner hearing the case of an employee (including a consultant) or applicant for employment with the NRC; nor shall any employee or consultant of an NRC contractor, agent or licensee serve as Hearing Examiner hearing the case of an employee (including a consultant) or an applicant for employment of that contractor, agent, or licensee. No Hearing Examiner shall be selected who has knowledge of the case or of any information relevant to the disposition of it, or who for any reason would be unable to issue a fair and unbiased recommendation. | ||||
| 10:10:1.0.1.1.8.3.72.8 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.27 Prehearing proceedings. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15643, Apr. 1, 1999] | (a) After the appointment of the Hearing Examiner, he or she shall be furnished the record in the case, which shall consist of the letter of notification, the request for hearing and its supporting answer, and the notice of hearing, if it has been issued, and any stipulations agreed to by the individual and the Hearing Counsel. (b) The Hearing Examiner may on his or her own motion, or on that of either party, convene a prehearing conference with the Hearing Counsel and the individual and his or her counsel or representative, if any, for the purpose of clarifying the issues, identifying witnesses who may be called, identifying documents and other physical evidence that may be offered into evidence, and entering into stipulations of fact. (c) The parties will be notified by the Hearing Examiner at least ten days in advance of the hearing of the time and place of the hearing. For good cause shown, the Hearing Examiner may order postponements or continuances from time to time. If, after due notice, the individual fails to appear at the hearing, or appears but is not prepared to proceed, the Hearing Examiner shall, unless good cause is shown, return the case to the Director, Division of Facilities and Security, who shall make a recommendation on final action to be taken, through the Director, Office of Administration, to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs on the basis of the information in the possession of the NRC. | |||
| 10:10:1.0.1.1.8.3.72.9 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.28 Conduct of hearing. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15643, Apr. 1, 1999] | (a) The Hearing Examiner shall conduct the hearing in an orderly, impartial and decorous manner. Technical rules of evidence may be relaxed so that a full evidentiary record may be made based on all material and relevant facts. Hearsay evidence may for good cause shown be received at the discretion of the Hearing Examiner and accorded such weight as the circumstances warrant. (b) The proceedings shall be open only to duly authorized representatives of the staff of the NRC, the individual, his or her counsel or representative, and such persons as may be officially authorized by the Hearing Examiner. Witnesses shall not testify in the presence of other witnesses except that the Hearing Examiner may, at his or her discretion, allow for expert witnesses to be present during testimony relevant to their own testimony. (c) Witnesses, including the individual, shall be examined under oath or affirmation by the party who called them and may be cross-examined by the other. The Hearing Examiner shall rule on all evidentiary matters, may further examine any witness, and may call for additional witnesses or the production of documentary or other physical evidence if, in the exercise of his or her discretion, such additional evidence is deemed necessary to the resolution of an issue. (d) If it appears during the hearing that Restricted Data or national security information may be disclosed, the Hearing Examiner shall assure that disclosure is made only to persons authorized to receive it. (e) The Hearing Examiner may, at any time during the hearing, permit the Hearing Counsel to amend the notification letter to add or modify allegations to be considered. In the event of such an amendment to the notification letter, the individual shall be given an opportunity to answer the amended allegations. If the changes are of such a substantial nature that the individual cannot answer the amended allegations without additional time, the Hearing Examiner shall grant such additional time as he or she deems necessary. (f) The Hearing E… | |||
| 10:10:1.0.1.1.8.3.72.10 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.29 Recommendation of the Hearing Examiner. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989] | (a) The Hearing Examiner's findings and recommendation shall be based upon the entire record consisting of the transcript of the hearing, the documentary and other evidence adduced therein, and the letter of notification and answer. The Hearing Examiner shall also consider the circumstances of the receipt of evidence pursuant to § 10.28, the individual's record of past employment, and the nature and sensitivity of the job the individual is or may be expected to perform. (b) The Hearing Examiner shall make specific findings on each allegation in the notification letter including the reasons for his or her findings, and shall make a recommendation as to the action which should be taken in the case. (c) The Hearing Examiner's recommendation shall be predicated upon his or her findings. If, after considering all the factors in light of the criteria in this part, the Hearing Examiner is of the opinion that granting or continuing access authorization and/or employment clearance to the individual will not endanger the common defense and security and will be clearly consistent with the national interest, a favorable recommendation shall be made; otherwise, an adverse recommendation shall be made. (d) The Hearing Examiner shall submit his or her findings and recommendation in a signed report together with the record of the case to the Director, Office Administration, with the least practical delay. (e) The Hearing Examiner shall not consider the possible impact of the loss of the individual's services upon the NRC program. | |||
| 10:10:1.0.1.1.8.3.72.11 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.30 New evidence. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989] | After the close of the hearing, in the event the individual discovers new evidence not previously available or known to him or her, the individual may petition the Hearing Examiner if the Hearing Examiner's recommendation has not yet been issued, or thereafter, the Director, Office of Administration, to reopen the record to receive that evidence. If the Hearing Examiner or the Director, respectively, deem it material and appropriate, the record may be reopened to accept the evidence either by stipulation, with the agreement of the Hearing Counsel, or in a reconvened hearing. | |||
| 10:10:1.0.1.1.8.3.72.12 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.31 Actions on the recommendations. | NRC | [64 FR 15643, Apr. 1, 1999] | (a) Upon receipt of the findings and recommendation from the Hearing Examiner, and the record, the Director, Office of Administration, shall forthwith transmit it to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs who has the discretion to return the record to the Director, Office of Administration, for further proceedings by the Hearing Examiner with respect to specific matters designated by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs. (b)(1) In the event of a recommendation by the Hearing Examiner that an individual's access authorization and/or employment clearance be denied or revoked, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs shall immediately notify the individual in writing of the Hearing Examiner's findings with respect to each allegation contained in the notification letter, and that the individual has a right to request a review of his or her case by the NRC Personnel Security Review Panel and of the right to submit a brief in support of his or her contentions. The request for a review must be submitted to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs within five days after the receipt of the notice. The brief will be forwarded to the for transmission to the NRC Personnel Security Review Panel not later than 10 days after receipt of the notice. (2) In the event the individual fails to request a review by the NRC Personnel Security Review Panel of an adverse recommendation within the prescribed time, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs may at his or her discretion request a review of the record of the case by the NRC Personnel Security Review Panel. The request will … | |||
| 10:10:1.0.1.1.8.3.72.13 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.32 Recommendation of the NRC Personnel Security Review Panel. | NRC | [64 FR 15644, Apr. 1, 1999] | (a) The Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs shall designate an NRC Personnel Security Review Panel to conduct a review of the record of the case. The NRC Personnel Security Review Panel shall be comprised of three members, two of whom shall be selected from outside the security field. To qualify as an NRC Personnel Security Review Panel member, the person designated shall have an NRC “Q” access authorization and may be an employee of the NRC, its contractors, agents, or licensees. However, no employee or consultant of the NRC shall serve as an NRC Personnel Security Review Panel member reviewing the case of an employee (including a consultant) or applicant for employment with the NRC; nor shall any employee or consultant of an NRC contractor, agent or licensee serve as an NRC Personnel Security Review Panel member reviewing the case of an employee (including a consultant) or an applicant for employment of that contractor, agent, or licensee. No NRC Personnel Security Review Panel member shall be selected who has knowledge of the case or of any information relevant to the disposition of it, or who for any reason would be unable to issue a fair and unbiased recommendation. (b) The NRC Personnel Security Review Panel shall consider the matter under review based upon the record supplemented by any brief submitted by the individual or the Hearing Counsel. The NRC Personnel Security Review Panel may request additional briefs as the Panel deems appropriate. When the NRC Personnel Security Review Panel determines that additional evidence or further proceedings are necessary, the record may be returned to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs with a recommendation that the case be returned to the Director, Office of Administration, for appropriate action, which may include returning the case to the Hearing Examiner and reconvening the … | |||
| 10:10:1.0.1.1.8.3.72.14 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.33 Action by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs. | NRC | [64 FR 15644, Apr. 1, 1999] | (a) The Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs, on the basis of the record accompanied by all findings and recommendations, shall make a final determination whether access authorization and/or employment clearance shall be granted, denied, or revoked, except when the provisions of § 10.28 (i), (j), or (l) have been used and the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs determination is adverse, the Commission shall make the final agency determination. (b) In making the determination as to whether an access authorization and/or an employment clearance shall be granted, denied, or revoked, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs or the Commission shall give due recognition to the favorable as well as the unfavorable information concerning the individual and shall take into account the value of the individual's services to the NRC's program and the consequences of denying or revoking access authorization and/or employment clearance. (c) In the event of an adverse determination, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs shall promptly notify the individual through the Director, Office of Administration, of his or her decision that an access authorization and/or an employment clearance is being denied or revoked and of his or her findings with respect to each allegation contained in the notification letter for transmittal to the individual. (d) In the event of a favorable determination, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs shall promptly notify the individual through the Director, Office of Administration. | |||
| 10:10:1.0.1.1.8.3.72.15 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.34 Action by the Commission. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 64 FR 15645, Apr. 1, 1999] | (a) Whenever, under the provisions of § 10.28(i), (j), or (l) an individual has not been afforded an opportunity to confront and cross-examine witnesses who have furnished information adverse to the individual and an adverse recommendation has been made by the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs , the Commission shall review the record and determine whether an access authorization and/or an employment clearance should be granted, denied, or revoked, based upon the record. (b) When the Commission determines to deny or revoke access authorization and/or employment clearance, the individual shall promptly be notified through the Director, Office of Administration, of its decision that access authorization and/or employment clearance is being denied or revoked and of its findings and conclusions with respect to each allegation contained in the notification letter for transmittal to the individual. (c) Nothing contained in these procedures shall be deemed to limit or affect the responsibility and powers of the Commission to deny or revoke access to Restricted Data or national security information if the security of the nation so requires. Such authority may not be delegated and may be exercised when the Commission determines that invocation of the procedures prescribed in this part is inconsistent with the national security. Such determination shall be conclusive. | |||
| 10:10:1.0.1.1.8.3.72.16 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.35 Reconsideration of cases. | NRC | [64 FR 15645, Apr. 1, 1999] | (a) Where, pursuant to the procedures set forth in §§ 10.20 through 10.34, the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs or the Commission has made a determination granting an access authorization and/or an employment clearance to an individual, the individual's eligibility for an access authorization and/or an employment clearance will be reconsidered only when subsequent to the time of that determination, new derogatory information has been received or the scope or sensitivity of the Restricted Data or National Security Information to which the individual has or will have access has significantly increased. All new derogatory information, whether resulting from the NRC's reinvestigation program or other sources, will be evaluated relative to an individual's continued eligibility in accordance with the procedures of this part. (b) Where, pursuant to these procedures, the Commission or Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs has made a determination denying or revoking an access authorization and/or an employment clearance to an individual, the individual's eligibility for an access authorization and/or an employment clearance may be reconsidered when there is a bona fide offer of employment and/or a bona fide need for access to Restricted Data or National Security Information and either material and relevant new evidence is presented, which the individual and his or her representatives are without fault in failing to present before, or there is convincing evidence of reformation or rehabilitation. Requests for reconsideration must be submitted in writing to the Deputy Executive Director for Materials, Waste, Research, State, Tribal, Compliance, Administration, and Human Capital Programs through the Director, Office of Administration. Requests must be accompanied by an affidavit setting forth in detail the information referred to above. The … | |||
| 10:10:1.0.1.1.8.4.72.1 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.36 Terminations. | NRC | In the event the individual is no longer an applicant for access authorization and/or employment clearance or no longer requires such, the procedures of this part shall be terminated without a final determination as to the individual's eligibility for access authorization and/or employment clearance. | ||||
| 10:10:1.0.1.1.8.4.72.2 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.37 Attorney representation. | NRC | [47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989] | In the event the individual is represented by an attorney or other representative, the individual shall file with the Director, Office of Administration, a document designating such attorney or representative and authorizing such attorney or representative to receive all correspondence, transcripts, and other documents pertaining to the proceeding under this part. | |||
| 10:10:1.0.1.1.8.4.72.3 | 10 | Energy | 10 | PART 10—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE | § 10.38 Certifications. | NRC | Whenever information is made a part of the record under the exceptions authorized by § 10.28 (i), (j), or (l), the record shall contain certificates evidencing that the required determinations have been made. | ||||
| 10:10:1.0.1.1.9.0.72.1 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.1 Purpose. | NRC | This part establishes the requirements for special nuclear material access authorization, and the criteria and procedures for resolving questions concerning the eligibility of individuals to receive special nuclear material access authorization for conduct of certain activities, licensed or otherwise, which involve access to or control over special nuclear material. | ||||
| 10:10:1.0.1.1.9.0.72.2 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.3 Scope. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 64 FR 15645, Apr. 1, 1999] | (a) The requirements, criteria, and procedures of this part apply to the establishment of and eligibility for special nuclear material access authorization for employees, contractors, consultants of, and applicants for employment with licensees or contractors of the Nuclear Regulatory Commission. This employment, contract, service, or consultation may involve any duties or assignments within the criteria of § 11.11 or § 11.13 requiring access to, or control over, formula quantities of special nuclear material (as defined in part 73 of this chapter). (b) The requirements, criteria, and procedures of this part are in addition to and not in lieu of any requirements, criteria, or procedures for access to or control over classified special nuclear material. | |||
| 10:10:1.0.1.1.9.0.72.3 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.5 Policy. | NRC | It is the policy of the Nuclear Regulatory Commission to carry out its authority to establish and administer, in a manner consistent with traditional American concepts of justice, a personnel security program in the interests of the common defense and security for the purpose of safeguarding special nuclear material and preventing sabotage which would endanger the public by exposure to radiation. To this end, the Commission has established criteria for determining eligibility for special nuclear material access authorization and will afford affected individuals the opportunity for administrative review of questions concerning their eligibility for special nuclear material access authorization. | ||||
| 10:10:1.0.1.1.9.0.72.4 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.7 Definitions. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 46 FR 58282, Dec. 1, 1981; 50 FR 39077, Sept. 27, 1985; 55 FR 11574, Mar. 29, 1990; 64 FR 15645, Apr. 1, 1999; 86 FR 43401, Aug. 9, 2021; 87 FR 45239, July 28, 2022] | As used in this part: Terms defined in parts 10, 25, 50, 70, 72, 73, and 95 of this chapter have the same meaning when used in this part. NRC-“R” special nuclear material access authorization means an administrative determination based upon a Tier 3 background investigation that an individual in the course of employment is eligible to work at a job falling within the criterion of § 11.11(a)(2). NRC-“U” special nuclear material access authorization means an administrative determination based upon a Tier 5 background investigation that an individual in the course of employment is eligible to work at a job falling within the criterion of § 11.11(a)(1) or § 11.13. Special nuclear material access authorization means an administrative determination that an individual (including a contractor or consultant) who is employed by or is an applicant for employment with an affected Commission contractor, licensee of the Commission, or contractor of a licensee of the Commission may work at a job which affords access to or control over special nuclear material and that permitting the individual to work at that job would not be inimical to the common defense and security. | |||
| 10:10:1.0.1.1.9.0.72.5 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.8 Information collection requirements: OMB approval. | NRC | [62 FR 52185, Oct. 6, 1997, as amended at 87 FR 45240, July 28, 2022] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0062. (b) The approved information collection requirements contained in this part appear in §§ 11.9, 11.11, 11.13, 11.15, and 11.16. (c) In § 11.15, the Standard Form 86 (SF-86), “Electronic Questionnaire for Investigations Processing (e-QIP), SF-86—Questionnaire for National Security Positions,” is approved under control number 3206-0005. | |||
| 10:10:1.0.1.1.9.0.72.6 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.9 Specific exemptions. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 53 FR 19245, May 27, 1988] | The Commission may, upon application of any interested party, grant an exemption from the requirements of this part. Exemptions will be granted only if they are authorized by law and will not constitute an undue risk to the common defense and security. Documentation related to the request, notification and processing of an exemption shall be maintained for three years beyond the period covered by the exemption. | |||
| 10:10:1.0.1.1.9.0.72.7 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.10 Maintenance of records. | NRC | [53 FR 19245, May 27, 1988] | Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawing, specification, must include all pertinent information such as stamps, initials, and signatures etc. The licensee shall maintain adequate safeguards against tampering with and loss of records. | |||
| 10:10:1.0.1.1.9.0.73.8 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.11 General requirements. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 46 FR 56599, Nov. 18, 1981; 50 FR 39077, Sept. 27, 1985] | (a) Each licensee who uses, processes, stores, transports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in part 73 of this chapter) subject to the physical protection requirements of §§ 73.20, 73.25, 73.26, 73.45, and 73.46, and each person subject to the general licensing requirements of § 70.20a, shall identify at its facility or plant (excluding all non-power reactor facilities and storage of fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of § 73.6(b)), describe, and if not already provided, provide to the Commission, by December 26, 1985 by amendment to its security plan: (1) All jobs in which an individual could steal or divert special nuclear material, or commit sabotage which would endanger the public by exposure to radiation, by working alone or in cooperation with an individual who does not possess an NRC-U special nuclear material access authorization, or by directing or coercing any individual to assist in the theft, diversion, or sabotage. Such jobs include but are not limited to: (i) All positions in the licensee's security force, (ii) Management positions with the authority to: (A) Direct the actions of members of the security force or alter security procedures, or (B) Direct routine movements of special nuclear material, or (C) Direct the routine status of vital equipment. (iii) All jobs which require unescorted access within onsite alarm stations. (iv) All jobs which require unescorted access 2 to special nuclear material or within vital areas. 2 This does not alter the requirement for methods to observe individuals within material access areas as stated in § 73.46(e)(9) of this chapter. (2) All jobs which require unescorted access within protected areas and which do not fall within the criterion of paragraph (a)(1) of this section. (b) After 365 days following Commission approval of the amended security plan submitted in… | |||
| 10:10:1.0.1.1.9.0.73.9 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.13 Special requirements for transportation. | NRC | [50 FR 39078, Sept. 27, 1985, as amended at 53 FR 19245, May 27, 1988] | (a) All individuals who, after 365 days following approval of the amended security plan submitted in accordance with § 11.11(a), transport, arrange for transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points, or escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of §§ 73.20, 73.25, 73.26, or 73.27 of this chapter, or who are authorized to alter the scheduling and routing of such transport shall have NRC-U special nuclear material access authorization. Exceptions are provided for: (1) Any individual who is employed in such a job on October 28, 1985 and who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) and (b) or (2) Any individual in possession of an NRC-L or R access authorization or equivalent active Federal security clearance but not yet in receipt of the NRC-U special nuclear material access authorization, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) or (b), or both. (b) Each licensee who, 365 days after Commission approval of the amended security plan submitted in accordance with § 11.11(a), transports or delivers to a carrier for transport special nuclear material subject to the physical protection requirement of §§ 73.20, 73.25, 73.26, or 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. The licensee shall retain this record for three years after the last shipment is made. However, the licensee need not confirm and record the special … | |||
| 10:10:1.0.1.1.9.0.73.10 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.15 Application for special nuclear material access authorization. | NRC | [64 FR 15645, Apr. 1, 1999, as amended at 68 FR 62511, Nov. 5, 2003; 68 FR 65765, Nov. 21, 2003; 68 FR 58800, Oct. 10, 2003; 72 FR 27410, May 16, 2007; 74 FR 62680, Dec. 1, 2009; 77 FR 26152, May 3, 2012; 77 FR 46257, Aug. 3, 2012; 80 FR 74978, Dec. 1, 2015; 86 FR 43401, Aug. 9, 2021; 87 FR 45240, July 28, 2022] | (a)(1) Application for special nuclear material access authorization, renewal, or change in level must be filed by the licensee on behalf of the applicant with the Director, Division of Facilities and Security, Mail Stop T7-D57, either by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. Applications for affected individuals employed on October 28, 1985, shall be submitted within 60 days of notification of Commission approval of the amended security plan. (2) Licensees who wish to secure NRC-U or NRC-R special nuclear material access authorizations for individuals in possession of an active NRC Q or L access authorization or other security clearance granted by another Federal agency based on an equivalent investigation shall submit a “Security Acknowledgment” (NRC Form 176) and a “Request for Access Authorization” (NRC Form 237). NRC will process these requests by verifying the data on an NRC-cleared individual, or by contacting the Federal agency that granted the clearance, requesting certification of the security clearance, and determining the investigative basis and level of the clearance. Licensees may directly request the Federal agency… | |||
| 10:10:1.0.1.1.9.0.73.11 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.16 Cancellation of request for special nuclear material access authorization. | NRC | [64 FR 15647, Apr. 1, 1999, as amended at 87 FR 45241, July 28, 2022] | When a request for an individual's access authorization is withdrawn or canceled, the licensee shall notify the Chief, Personnel Security Branch, NRC Division of Facilities and Security immediately, by telephone, so that the investigation may be discontinued. The caller shall provide the full name and date of birth of the individual, the date of request, and the type of access authorization originally requested (“U” or “R”). The licensee shall promptly submit written confirmation of the telephone notification to the Personnel Security Branch, NRC Division of Facilities and Security. A portion of the fee for the “U” special nuclear material access authorization may be refunded depending upon the status of the Tier 5 investigation at the time of withdrawal or cancellation. | |||
| 10:10:1.0.1.1.9.0.74.12 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.21 Application of the criteria. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 47 FR 38683, Sept. 2, 1982; 64 FR 15647, Apr. 1, 1999] | (a) The decision to grant or deny special nuclear material access authorization is a comprehensive, common-sense judgment, made after consideration of all the relevant information, favorable or unfavorable, that to grant or deny special nuclear material access authorization is or is not inimical to the common defense and security and is or is not clearly consistent with the national interest. (b) To assist in making these determinations, on the basis of all the information in a particular case, there are set forth in § 10.11 of this chapter a number of specific types of derogatory information. These criteria are not exhaustive but contain the principal types of derogatory information which in the opinion of the Commission create a question as to the individual's eligibility for special nuclear material access authorization. These criteria are subject to continuing review and may be revised from time to time as experience and circumstances may make desirable. (c) When the reports of an investigation of an individual contain information reasonably falling within one or more of the classes of derogatory information listed in § 10.11, it creates a question as to the individual's eligibility for special nuclear material access authorization. In these cases, the application of the criteria must be made in light of and with specific regard to whether the existence of the information supports a reasonable belief that the granting of a special nuclear material access authorization would be inimical to the common defense and security. The Director, Division of Facilities and Security, may authorize the granting of a special nuclear material access authorization on the basis of the information in the case or may authorize the conduct of an interview with the individual and, on the basis of the interview and other investigation as the Director deems appropriate, may authorize the granting of a special nuclear material access authorization. Otherwise, a question concerning the eligibility of an individual for a special nucl… | |||
| 10:10:1.0.1.1.9.0.75.13 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.30 Violations. | NRC | [57 FR 55070, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | |||
| 10:10:1.0.1.1.9.0.75.14 | 10 | Energy | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.32 Criminal penalties. | NRC | [57 FR 55070, Nov. 24, 1992] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all regulations in part 11 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 11 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 11.1, 11.3, 11.5, 11.7, 11.8, 11.9, 11.16, 11.21, 11.30, and 11.32. | |||
| 10:10:1.0.1.1.10.1.76.1 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.101 Purpose. | NRC | [59 FR 23121, May 5, 1994, as amended at 90 FR 33266, July 17, 2025] | The purpose of this part is to state the regulatory requirements for award of attorney fees to eligible individuals and entities in certain administrative proceedings before the Nuclear Regulatory Commission, in implementation of the Equal Access to Justice Act, 5 U.S.C. 504 (EAJA), which provides for the award of attorney fees and other expenses to parties to “adversary adjudications”, as defined in 5 U.S.C. 504(b)(1)(C). In general, an “adversary adjudication” is an adjudication that is required by statute to be determined on the record after opportunity for hearing before an agency of the United States and in which the position of the agency, or any component of the agency, is presented by an attorney or other representative who enters an appearance and participates in the proceeding. However, some agency adjudications are expressly excluded from coverage by 5 U.S.C. 504 (e.g., an adjudication for the purpose of granting or renewing a license) even though they fall within this general definition, and certain appeals before an agency board of contract appeals and Administrative False Claims Act hearings conducted under 31 U.S.C. ch. 38 are expressly covered. An eligible party may receive an award in an adversary adjudication when the party prevails over the Commission, unless the Commission's position was substantially justified or special circumstances make an award unjust. The regulations in this part describe the parties eligible for awards and the proceedings that are covered. They also explain how to apply for awards, and the procedures and standards that the Commission will use to make them. | |||
| 10:10:1.0.1.1.10.1.76.2 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.102 When the EAJA applies. | NRC | The EAJA applies to any covered adversary adjudication pending or commenced before the Commission on or after August 5, 1985. | ||||
| 10:10:1.0.1.1.10.1.76.3 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.103 Proceedings covered. | NRC | [59 FR 23121, May 5, 1994, as amended at 90 FR 33266, July 17, 2025] | (a) The EAJA applies to the following proceedings: (1) Hearings under the Administrative False Claims Act (31 U.S.C. 3801-12); (2) Any appeal of a decision made pursuant to section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 605) before an agency board of contract appeals as provided in section 8 of that Act (41 U.S.C. 607); and (3) Adversary adjudications conducted by the Commission pursuant to any other statutory provision that requires a proceeding before the Nuclear Regulatory Commission to be so conducted as to fall within the meaning of “adversary adjudication” under 5 U.S.C. 504(b)(1)(C). (b) The Commission's failure to identify a type of proceeding as an adversary adjudication shall not preclude the filing of an application by a party who believes the proceeding is covered by the EAJA. Whether the proceeding is covered will then be an issue for resolution in proceedings on the application. (c) If a proceeding includes both matters covered by the EAJA and matters specifically excluded from coverage, any award made will include only fees and expenses related to covered issues. | |||
| 10:10:1.0.1.1.10.1.76.4 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.104 Eligibility of applicants. | NRC | (a) To be eligible for an award of attorney fees and other expenses under the EAJA, the applicant must be a party to the adversary adjudication for which it seeks an award. The term “party” is defined in 5 U.S.C. 551(3). The applicant must show that it meets all conditions of eligibility set out in this subpart and in subpart B. (b) The types of eligible applicants are as follows: (1) An individual with a net worth of not more than $2 million; (2) The sole owner of an unincorporated business who has a net worth of not more than $7 million, including both personal and business interests, and not more than 500 employees; (3) A charitable or other tax-exempt organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) with not more than 500 employees; (4) A cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 employees; and (5) Any other partnership, corporation, association, unit of local government, or organization with a net worth of not more than $7 million and not more than 500 employees. (c) For the purpose of eligibility, the net worth and number of employees of an applicant shall be determined as of the date the proceeding was initiated. (d) An applicant who owns an unincorporated business will be considered as an “individual” rather than a “sole owner of an unincorporated business” if the issues on which the applicant prevails are related primarily to personal interests rather than to business interests. (e) The employees of an applicant include all persons who regularly perform services for remuneration for the applicant, under the applicant's direction and control. Part-time employees shall be included on a proportional basis. (f) The net worth and number of employees of the applicant and all of its affiliates shall be aggregated to determine eligibility. Any individual, corporation, or other entity that directly or indirectly controls or owns a majority of the voting shares or other in… | ||||
| 10:10:1.0.1.1.10.1.76.5 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.105 Standards for awards. | NRC | (a) A prevailing applicant may receive an award for fees and expenses incurred in connection with a proceeding or a significant and discrete substantive portion of the proceeding, unless the position of the Commission over which the applicant has prevailed was substantially justified. The position of the Commission includes, in addition to the position taken by the Commission in the adversary adjudication, the action or failure to act by the Commission upon which the adversary adjudication is based. The burden of proof that an award should not be made to a prevailing applicant because the Commission's position was substantially justified is on the Commission counsel. (b) An award will be reduced or denied if the applicant has unduly or unreasonably protracted the proceeding or if special circumstances make the award sought unjust. | ||||
| 10:10:1.0.1.1.10.1.76.6 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.106 Allowable fees and expenses. | NRC | (a) Awards will be based on rates customarily charged by persons engaged in the business of acting as attorneys, agents, and expert witnesses, even if the services were made available without charge or at reduced rate to the applicant. (b) No award for the fee of an attorney or agent under this part may exceed $75.00 per hour. No award to compensate an expert witness may exceed the highest rate at which the Commission pays expert witnesses. However, an award may also include the reasonable expenses of the attorney, agent, or witness as a separate item, if the attorney, agent, or witness ordinarily charges clients separately for these expenses. (c) In determining the reasonableness of the fee sought for an attorney, agent, or expert witness, the adjudicative officer shall consider the following: (1) If the attorney, agent, or witness is in private practice, his or her customary fees for similar services, or, if an employee of the applicant, the fully allocated costs of the services; (2) The prevailing rate for similar services in the community in which the attorney, agent, or witness ordinarily performs services; (3) The time actually spent in the representation of the applicant; (4) The time reasonably spent in light of the difficulty or complexity of the issues in the proceeding; and (5) Other factors that bear on the value of the services provided. (d) The reasonable cost of any study, analysis, engineering report, test, project, or similar matter prepared on behalf of a party may be awarded, to the extent that the charge for the services does not exceed the prevailing rate for similar services, and the study or other matter was necessary for preparation of applicant's case. | ||||
| 10:10:1.0.1.1.10.1.76.7 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.107 Rulemaking on maximum rates for attorney fees. | NRC | (a) If warranted by an increase in the cost of living or by special circumstances (such as limited availability of attorneys qualified to handle certain types of proceedings), the Commission may adopt regulations providing that attorney fees may be awarded at a rate higher than $75 per hour in some, or all of the types of proceedings covered by this part. The Commission will conduct any rulemaking proceedings for this purpose under the informal rulemaking procedures of the Administrative Procedure Act. (b) Any person may file with the Commission a petition for rulemaking to increase the maximum rate for attorney fees, in accordance with the requirements of 10 CFR 2.802. The petition should identify the rate the petitioner believes the Commission should establish and the types of proceedings in which the rate should be used. It should also explain fully the reasons why the higher rate is warranted. Within 90 days after the petition is filed, the Commission will determine whether it will initiate a rulemaking proceeding, deny the petition, or take other appropriate action on the petition. The Commission will act on the petition in accordance with 10 CFR 2.803. | ||||
| 10:10:1.0.1.1.10.1.76.8 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.108 Awards against other agencies. | NRC | If an applicant is entitled to an award because it prevails over another agency of the United States that participates in a proceeding before the Commission and takes a position that is not substantially justified, the award or an appropriate portion of the award shall be made against that agency. | ||||
| 10:10:1.0.1.1.10.1.76.9 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.109 Decisionmaking authority. | NRC | Unless otherwise ordered by the Commission in a particular proceeding, each application under this part shall be assigned for decision to the official or decisionmaking body that entered the decision in the adversary adjudication. That official or decisionmaking body is referred to in this part as the “adjudicative officer.” | ||||
| 10:10:1.0.1.1.10.2.76.1 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.201 Contents of application. | NRC | (a) An application for an award of fees and expenses under the EAJA shall identify the applicant and the proceeding for which an award is sought. The application shall show that the applicant has prevailed and identify the position of the Commission or other agency that the applicant alleges was not substantially justified. Unless the applicant is an individual, the application shall also state the number of employees of the applicant and describe briefly the type and purpose of its organization or business. (b) The application shall also include a statement that the applicant's net worth does not exceed $2 million (if an individual) or $7 million (for all other applicants, including their affiliates). However, an applicant may omit this statement if: (1) The applicant attaches a copy of a ruling by the Internal Revenue Service that it qualifies as an organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, in the case of a tax-exempt organization not required to obtain a ruling from the Internal Revenue Service on its exempt status, a statement that describes the basis for the applicant's belief that it qualifies under this section; or (2) The applicant states that it is a cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)). (c) The application shall state the amount of fees and expenses for which an award is sought. (d) The application may also include any other matters that the applicant wishes the Commission to consider in determining whether, and in what amount, an award should be made. (e) The application shall be signed by the applicant or an authorized officer or attorney of the applicant. It shall also contain or be accompanied by a written verification under oath or under penalty of perjury that the information provided in the application is true and correct. | ||||
| 10:10:1.0.1.1.10.2.76.2 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.202 Net worth exhibit. | NRC | (a) Each applicant, except a qualified tax-exempt organization or cooperative association must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates (as defined in § 12.104(f) of this part) when the proceeding was initiated. The exhibit may be in any form convenient to the applicant that provides full disclosure of the applicant's and its affiliates' assets and liabilities and is sufficient to determine whether the applicant qualifies under the standards in this part. The adjudicative officer may require an applicant to file additional information to determine its eligibility for an award. (b) Ordinarily, the net worth exhibit will be included in the public record of the proceeding. However, an applicant that objects to public disclosure of information in any portion of the exhibit and believes there are legal grounds for withholding it from disclosure may submit that portion of the exhibit directly to the adjudicative officer in a sealed envelope labeled “Confidential Financial Information,” accompanied by a motion to withhold the information from public disclosure. The motion shall describe the information sought to be withheld and explain, in detail, why it falls within one or more of the specific exemptions from mandatory disclosure under the Freedom of Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the information would adversely affect the applicant, and why disclosure is not required in the public interest. The material in question shall be served on counsel representing the agency against which the applicant seeks an award, but need not be served on any other party to the proceeding. If the adjudicative officer finds that the information should not be withheld from disclosure, it shall be placed in the public record of the proceeding. Otherwise, any request to inspect or copy the exhibit shall be disposed of in accordance with the Commission's established procedures under the Freedom of Information Act, 10 CFR part 9, subpart A. | ||||
| 10:10:1.0.1.1.10.2.76.3 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.203 Documentation of fees and expenses. | NRC | The application shall be accompanied by full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project, or similar matter for which an award is sought. A separate itemized statement shall be submitted for each professional firm or individual whose services are covered by the application, showing the hours spent in connection with the proceeding by each individual, a description of the specific services performed, the rates at which each fee has been computed, any expenses for which reimbursement is sought, the total amount claimed, and the total amount paid or payable by the applicant or by any other person or entity for the services provided. The adjudicative officer may require the applicant to provide vouchers, receipts, logs, or other substantiation for any fees or expenses claimed, pursuant to § 12.306 of this part. | ||||
| 10:10:1.0.1.1.10.2.76.4 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.204 When an application may be filed. | NRC | (a) An application may be filed whenever the applicant has prevailed in the proceeding or in a significant and discrete substantive portion of the proceeding, but in no case later than 30 days after the date on which a decision or order disposing of the merits of the proceeding or any other complete resolution of the proceeding, such as a settlement or voluntary dismissal, becomes final and unappealable, both within the NRC and to the courts. (b) If after the filing of an application for an award, review or reconsideration is sought or taken of a decision as to which an applicant believes it has prevailed, proceedings for the award of fees shall be stayed pending final disposition of the underlying controversy. When the United States appeals the underlying merits of an adversary adjudication to a court, no decision on an application for fees and other expenses in connection with that adversary adjudication shall be made until a final and unreviewable decision is rendered by the court on the appeal or until the underlying merits of the case have been finally determined pursuant to the appeal. | ||||
| 10:10:1.0.1.1.10.3.76.1 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.301 Filing and service of documents. | NRC | Any application for an award or other pleading or document related to an application shall be filed and served on all parties to the proceeding in the same manner as other pleadings in the proceeding, except as provided in § 12.202(b) for confidential financial information. | ||||
| 10:10:1.0.1.1.10.3.76.2 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.302 Answer to application. | NRC | (a) Within 30 days after service of an application, counsel representing the NRC against which an award is sought may file an answer to the application. Unless the NRC counsel requests an extension of time for filing or files a statement of intent to negotiate under paragraph (b) of this section, failure to file an answer within the 30-day period may be treated as a consent to the award requested. (b) If the NRC counsel and the applicant believe that the issues in the fee application can be settled, they may jointly file a statement of their intent to negotiate a settlement. The filing of this statement shall extend the time for filing an answer for an additional 30 days, and further extensions may be granted by the adjudicative officer upon request by the NRC counsel and the applicant. (c) The answer shall explain in detail any objections to the award requested and identify the facts relied on in support of the NRC counsel's position. If the answer is based on any alleged facts not already in the record of the proceeding, the NRC counsel shall include with the answer either supporting affidavits or a request for further proceedings under § 12.306. | ||||
| 10:10:1.0.1.1.10.3.76.3 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.303 Reply. | NRC | Within 15 days after service of an answer, the applicant may file a reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either supporting affidavits or a request for further proceedings under § 12.306. | ||||
| 10:10:1.0.1.1.10.3.76.4 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.304 Comments by other parties. | NRC | Any party to a proceeding other than the applicant and the NRC counsel may file comments on an application within 30 days after it is served, or on an answer within 15 days after it is served. A commenting party may not participate further in proceedings on the application unless the adjudicative officer determines that the public interest requires participation in order to permit full exploration of matters raised in the comments. | ||||
| 10:10:1.0.1.1.10.3.76.5 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.305 Settlement. | NRC | The applicant and the NRC counsel may agree on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding, or after the underlying proceeding has been concluded, in accordance with the NRC's standard settlement procedure. If a prevailing party and the NRC's counsel agree on a proposed settlement of an award before an application has been filed, the application shall be filed with the proposed settlement. | ||||
| 10:10:1.0.1.1.10.3.76.6 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.306 Further proceedings. | NRC | (a) Ordinarily, the determination of an award will be made on the basis of the written record. However, on request of either the applicant or the NRC counsel, or on the adjudicative officer's own initiative, the adjudicative officer may order further proceedings, such as an informal conference, oral argument, additional written submissions or, as to issues other than substantial justification (such as the applicant's eligibility or substantiation of fees and expenses), pertinent discovery or an evidentiary hearing. Further proceedings shall be held only when necessary for full and fair resolution of the issues arising from the application, and shall be conducted as promptly as possible. Whether or not the position of the agency was substantially justified shall be determined on the basis of the administrative record, as a whole, which is made in the adversary adjudication for which fees and other expenses are sought. (b) A request that the adjudicative officer order further proceedings under this section shall specifically identify the information sought or the disputed issues and shall explain why the additional proceedings are necessary to resolve the issues. | ||||
| 10:10:1.0.1.1.10.3.76.7 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.307 Decision. | NRC | (a) The adjudicative officer shall issue an initial decision on the application within 90 days after completion of proceedings on the application. If the adjudicative officer fails to issue an initial decision within 90 days, he or she shall notify the parties of the reason for the delay and shall set a new deadline. (b) The initial decision shall include written findings and conclusions on the applicant's eligibility and status as a prevailing party, and an explanation of the reasons for any difference between the amount requested and the amount awarded. The decision shall also include, if at issue, findings on whether the NRC's position was substantially justified, whether the applicant unduly protracted the proceedings, or whether special circumstances make an award unjust. If the applicant has sought an award against more than one agency, the decision shall allocate responsibility for payment of any award made among the agencies, and shall explain the reasons for the allocation made. | ||||
| 10:10:1.0.1.1.10.3.76.8 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.308 Agency review. | NRC | [59 FR 23121, May 5, 1994, as amended at 77 FR 46599, Aug. 3, 2012] | (a) Either the applicant or the NRC counsel may seek review of the initial decision on the fee application, or the Commission may decide to review the decision on its own initiative, in accordance with the Commission's review procedures set out in 10 CFR 2.341. The filing of a petition for review is mandatory for a party to exhaust its administrative remedies before seeking judicial review. If neither the applicant nor NRC counsel seeks review and the Commission does not take review on its own initiative, the initial decision on the application shall become a final decision of the NRC 120 days after it is issued. (b) Notwithstanding anything to the contrary in any other part of the Commission's regulations, the initial decision shall be inoperative ( i.e. , the decision shall not be final and any award made shall not be paid) until the later of— (1) The expiration of the 120 day period provided in paragraph (a) of this section; or (2) If within the 120 day period provided in paragraph (a) of this section the Commission elects to review the decision, the Commission's issuance of a final decision on review of the initial decision. (c) Whether to review a decision on its own motion is a matter within the discretion of the Commission. If review is taken, the Commission will issue a final decision on the application or remand the application to the adjudicative officer for further proceedings. | |||
| 10:10:1.0.1.1.10.3.76.9 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.309 Judicial review. | NRC | Judicial review of final agency decisions on awards may be sought as provided in 5 U.S.C. 504(c)(2). | ||||
| 10:10:1.0.1.1.10.3.76.10 | 10 | Energy | 12 | PART 12—IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS | § 12.310 Payment of award. | NRC | An applicant seeking payment of an award shall submit to the appropriate official of the paying agency a copy of the Commission's final decision granting the award, accompanied by a certification that the applicant will not seek review of the decision in the United States courts. Where the award is granted against the Commission, the applicant shall make the submission to the Director, Division of Accounting and Finance, Office of the Controller, U.S. Nuclear Regulatory Commission, Washington, DC 20555. The NRC will pay the amount awarded to the applicant within 60 days. | ||||
| 10:10:1.0.1.1.11.0.76.1 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.1 Basis and purpose. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) Basis. This part implements the Administrative False Claims Act of 2023 (31 U.S.C. 3801-3812). 31 U.S.C. 3809 requires each authority head to promulgate regulations necessary to implement the provisions of that Act. (b) Purpose. This part (1) establishes administrative procedures for imposing civil penalties and assessments against persons who make, submit, or present, or cause to be made, submitted, or presented, false, fictitious, or fraudulent claims or written statements to authorities or to their agents, and (2) specifies the hearing and appeal rights of persons subject to allegations of liability for such penalties and assessments. | |||
| 10:10:1.0.1.1.11.0.76.2 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.2 Definitions. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991, as amended at 62 FR 40427, July 29, 1997; 65 FR 59272, Oct. 4, 2000; 71 FR 15007, Mar. 27, 2006; 72 FR 49152, Aug. 28, 2007; 72 FR 64529, Nov. 16, 2007; 90 FR 33266, July 17, 2025] | As used in this part: ALJ means an Administrative Law Judge in the authority appointed pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 U.S.C. 3344. Authority means the Nuclear Regulatory Commission. Authority head means the Commission of five members or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974 (88 Stat. 1242). Benefit means, in the context of “statement”, anything of value, including but not limited to any advantage, preference, privilege, license, permit, favorable decision, ruling, status, or loan guarantee. Claim means any request, demand, or submission— (1) Made to the authority for property, services, or money (including money representing grants, loans, insurance, or benefits); (2) Made to a recipient of property, services, or money from the authority or to a party to a contract with the authority— (i) For property or services if the United States— (A) Provided such property or services; (B) Provided any portion of the funds for the purchase of such property or services; or (C) Will reimburse such recipient or party for the purchase of such property or services; or (ii) For the payment of money (including money representing grants, loans, insurance, or benefits) if the United States— (A) Provided any portion of the money requested or demanded; or (B) Will reimburse such recipient or party for any portion of the money paid on such request or demand; or (3) Made to the authority which has the effect of concealing or improperly avoiding or decreasing an obligation to pay or transmit property, services, or money. Complaint means the administrative complaint served by the reviewing official on the defendant under § 13.7. Defendant means any person alleged in a complaint under § 13.7 to be liable for a civil penalty or assessment under § 13.3. Digital ID certificate means a file stored on a participant's computer that contains the participant's name, e-mail address, and participant's digital signature, pr… | |||
| 10:10:1.0.1.1.11.0.76.3 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.3 Basis for civil penalties and assessments. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 61 FR 53555, Oct. 11, 1996; 62 FR 59275, Nov. 3, 1997; 65 FR 59273, Oct. 4, 2000; 71 FR 15007, Mar. 27, 2006; 73 FR 54673, Sept. 23, 2008; 81 FR 43021, July 1, 2016; 82 FR 8135, Jan. 24, 2017; 83 FR 1517, Jan. 12, 2018; 84 FR 2435, Feb. 7, 2019; 85 FR 2283, Jan. 15, 2020; 86 FR 3747, Jan. 15, 2021; 87 FR 2312, Jan. 14, 2022; 88 FR 2190, Jan. 13, 2023; 89 FR 2114, Jan. 12, 2024; 90 FR 3614, Jan. 15, 2025; 90 FR 33266, July 17, 2025] | (a) Claims. (1) Any person who makes a claim that the person knows or has reason to know— (i) Is false, fictitious, or fraudulent; (ii) Includes or is supported by any written statement which asserts a material fact which is false, fictitious, or fraudulent; (iii) Includes or is supported by any written statement that— (A) Omits a material fact; (B) Is false, fictitious, or fraudulent as a result of such omission; and (C) Is a statement in which the person making such statement has a duty to include such material fact; or (iv) Is for payment for the provision of property or services which the person has not provided as claimed, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $14,308 for each such claim. (2) Each voucher, invoice, claim form, or other individual request or demand for property, services, or money constitutes a separate claim. (3) A claim shall be considered made to the authority, recipient, or party when such claim is actually made to an agent, fiscal intermediary or other entity, including any State or political subdivision thereof, acting for or on behalf of the authority, recipient, or party. (4) Each claim for property, services, or money is subject to a civil penalty regardless of whether such property, services, or money is actually delivered or paid. (5) If the Government has made any payment (including transferred property or provided services) on a claim, a person subject to a civil penalty under paragraph (a)(1) of this section shall also be subject to an assessment of not more than twice the amount of such claim or that portion thereof that is determined to be in violation of paragraph (a)(1) of this section. Such assessment shall be in lieu of damages sustained by the Government because of such claim. (b) Statements. (1) Any person who makes a written statement that— (i) The person knows or has reason to know— (A) Asserts a material fact which is false, fictitious, or fraudulent; or (B) Is false, fic… | |||
| 10:10:1.0.1.1.11.0.76.4 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.4 Investigation. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) If an investigating official concludes that a subpoena pursuant to the authority conferred by 31 U.S.C. 3804(a) is warranted— (1) The subpoena so issued shall notify the person to whom it is addressed of the authority under which the subpoena is issued and shall identify the records or documents sought; (2) The investigating official may designate a person to act on his or her behalf to receive the documents sought; and (3) The person receiving such subpoena shall be required to tender to the investigating official or the person designated to receive the documents a certification that the documents sought have been produced, or that such documents are not available and the reasons therefor, or that such documents, suitably identified, have been withheld based upon the assertion of an identified privilege. (b) If the investigating official concludes that an action under the Administrative False Claims Act may be warranted, the investigating official shall submit a report containing the findings and conclusions of such investigation to the reviewing official. To the extent possible, before initiating an investigation or submitting a report involving a licensee false statement to the reviewing official, the investigating official shall consult with the Executive Director for Operations to ascertain whether any other agency action is under consideration, pending, or may be taken with regard to the licensee, and to allow for coordination between any action under this part and other enforcement action. (c) Nothing in this section shall preclude or limit an investigating official's discretion to refer allegations directly to the Department of Justice for suit under the False Claims Act or other civil relief, or to refer the matter to the Executive Director for Operations for enforcement action under the Atomic Energy Act, or to defer initiating an investigation or postpone a report or referral to the reviewing official to avoid interference with other enforcement action by the Commission or with a criminal inve… | |||
| 10:10:1.0.1.1.11.0.76.5 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.5 Review by the reviewing official. | NRC | (a) If, based on the report of the investigating official under § 13.4(b), the reviewing official determines that there is adequate evidence to believe that a person is liable under § 13.3 of this part, the reviewing official shall transmit to the Attorney General a written notice of the reviewing official's intention to issue a complaint under § 13.7. (b) Such notice shall include— (1) A statement of the reviewing official's reasons for issuing a complaint; (2) A statement specifying the evidence that supports the allegations of liability; (3) A description of the claims or statements upon which the allegations of liability are based; (4) An estimate of the amount of money or the value of property, services, or other benefits requested or demanded in violation of § 13.3 of this part; (5) A statement of any exculpatory or mitigating circumstances that may relate to the claims or statements known by the reviewing official or the investigating official; and (6) A statement that there is a reasonable prospect of collecting an appropriate amount of penalties and assessments. | ||||
| 10:10:1.0.1.1.11.0.76.6 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.6 Prerequisites for issuing a complaint. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) The reviewing official may issue a complaint under § 13.7 only if— (1) The Department of Justice approves the issuance of a complaint in a written statement described in 31 U.S.C. 3803(b)(1), and (2) In the case of allegations of liability under § 13.3(a) with respect to a claim, the reviewing official determines that, with respect to such claim or a group of related claims submitted at the same time such claim is submitted (as defined in paragraph (b) of this section), the amount of money or the value of property or services demanded or requested in violation of § 13.3(a) does not exceed $1,000,000. (b) For the purposes of this section, a related group of claims submitted at the same time shall include only those claims arising from the same transaction (e.g., grant, loan, application, or contract) that are submitted simultaneously as part of a single request, demand, or submission. (c) Nothing in this section shall be construed to limit the reviewing official's authority to join in a single complaint against a person claims that are unrelated or were not submitted simultaneously, regardless of the amount of money, or the value of property or services, demanded or requested. | |||
| 10:10:1.0.1.1.11.0.76.7 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.7 Complaint. | NRC | (a) On or after the date the Department of Justice approves the issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the reviewing official may serve a complaint on the defendant, as provided in § 13.8. (b) The complaint shall state— (1) The allegations of liability against the defendant, including the statutory basis for liability, an identification of the claims or statements that are the basis for the alleged liability, and the reasons why liability allegedly arises from such claims or statements; (2) The maximum amount of penalties and assessments for which the defendant may be held liable; (3) Instructions for filing an answer to request a hearing, including a specific statement of the defendant's right to request a hearing by filing an answer and to be represented by a representative; and (4) That failure to file an answer within 30 days of service of the complaint will result in the imposition of the maximum amount of penalties and assessments without right to appeal, as provided in § 13.10. (c) At the same time the reviewing official serves the complaint, he or she shall serve the defendant with a copy of these regulations. | ||||
| 10:10:1.0.1.1.11.0.76.8 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.8 Service of complaint. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 71 FR 15007, Mar. 27, 2006] | (a) Service of a complaint must be made by certified or registered mail or by delivery in any manner authorized by Rule 4(d) of the Federal Rules of Civil Procedure. Service is complete upon receipt. (b) Proof of service, stating the name and address of the person on whom the complaint was served, and the manner and date of service, may be made by— (1) Affidavit of the individual serving the complaint by delivery; (2) A United States Postal Service return receipt card acknowledging receipt; or (3) Written acknowledgment of receipt by the defendant or his or her representative. | |||
| 10:10:1.0.1.1.11.0.76.9 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.9 Answer. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991; 72 FR 49152, Aug. 28, 2007] | (a) The defendant may request a hearing by filing an answer with the reviewing official within thirty (30) days of service of the complaint. Service of an answer shall be made by electronically delivering a copy to the reviewing official in accordance with § 13.26. An answer shall be deemed a request for hearing. (b) In the answer, the defendant— (1) Shall admit or deny each of the allegations of liability made in the complaint; (2) Shall state any defense on which the defendant intends to rely; (3) May state any reasons why the defendant contends that the penalties and assessments should be less than the statutory maximum; and (4) Shall state the name, address, and telephone number of the person authorized by the defendant to act as defendant's representative, if any. (c) If the defendant is unable to file an answer meeting the requirements of paragraph (b) of this section within the time provided, the defendant may, before the expiration of 30 days from service of the complaint, file with the reviewing official a general answer denying liability and requesting a hearing, and a request for an extension of time within which to file an answer meeting the requirements of paragraph (b) of this section. The reviewing official shall file promptly with the ALJ the complaint, the general answer denying liability, and the request for an extension of time as provided in § 13.11. For good cause shown, the ALJ may grant the defendant up to 30 additional days within which to file an answer meeting the requirements of paragraph (b) of this section. | |||
| 10:10:1.0.1.1.11.0.76.10 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.10 Default upon failure to file an answer. | NRC | (a) If the defendant does not file an answer within the time prescribed in § 13.9(a), the reviewing official may refer the complaint to the ALJ. (b) Upon the referral of the complaint, the ALJ shall promptly serve on defendant in the manner prescribed in § 13.8 a notice that an initial decision will be issued under this section. (c) The ALJ shall assume the facts alleged in the complaint to be true, and, if such facts establish liability under § 13.3, the ALJ shall issue an initial decision imposing the maximum amount of penalties and assessments allowed under the statute. (d) Except as otherwise provided in this section, by failing to file a timely answer, the defendant waives any right to further review of the penalties and assessments imposed under paragraph (c) of this section and the initial decision shall become final and binding upon the parties 30 days after it is issued. (e) If, before such an initial decision becomes final, the defendant files a motion with the ALJ seeking to reopen on the grounds that extraordinary circumstances prevented the defendant from filing an answer, the initial decision shall be stayed pending the ALJ's decision on the motion. (f) If, on such motion, the defendant can demonstrate extraordinary circumstances excusing the failure to file a timely answer, the ALJ shall withdraw the initial decision in paragraph (c) of this section if such a decision has been issued, and shall grant the defendant an opportunity to answer the complaint. (g) A decision of the ALJ denying a defendant's motion under paragraph (e) of this section is not subject to reconsideration under § 13.38. (h) The defendant may appeal to the authority head the decision denying a motion to reopen by filing a notice of appeal with the authority head within 15 days after the ALJ denies the motion. The timely filing of a notice of appeal shall stay the initial decision until the authority head decides the issue. (i) If the defendant files a timely notice of appeal with the authority head, the ALJ shall forward… | ||||
| 10:10:1.0.1.1.11.0.76.11 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.11 Referral of complaint and answer to the ALJ. | NRC | Upon receipt of an answer, the reviewing official shall file the complaint and answer with the ALJ. | ||||
| 10:10:1.0.1.1.11.0.76.12 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.12 Notice of hearing. | NRC | (a) When the ALJ receives the complaint and answer, the ALJ shall promptly serve a notice of hearing upon the defendant in the manner prescribed by § 13.8. At the same time, the ALJ shall send a copy of such notice to the representative of the authority. (b) Such notice shall include— (1) The tentative time and place, and the nature of the hearing; (2) The legal authority and jurisdiction under which the hearing is to be held; (3) The matters of fact and law to be asserted; (4) A description of the procedures for the conduct of the hearing; (5) The name, address, and telephone number of the representative of the authority and of the defendant, if any; and (6) Such other matters as the ALJ deems appropriate. | ||||
| 10:10:1.0.1.1.11.0.76.13 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.13 Parties to the hearing. | NRC | (a) The parties to the hearing shall be the defendant and the authority. (b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the False Claims Act may participate in these proceedings to the extent authorized by the provisions of that Act. | ||||
| 10:10:1.0.1.1.11.0.76.14 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.14 Separation of functions. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991] | (a) The investigating official, the reviewing official, and any employee or agent of the authority who takes part in investigating, preparing, or presenting a particular case may not, in such case or a factually related case— (1) Participate in the hearing as the ALJ; (2) Participate or advise in the initial decision or the review of the initial decision by the authority head, except as a witness or a representative in public proceedings; or (3) Make the collection of penalties and assessments under 31 U.S.C. 3806. (b) The ALJ shall not be responsible to, or subject to the supervision or direction of, the investigating official or the reviewing official. (c) Except as provided in paragraph (a) of this section, the representative for the Government may be employed anywhere in the authority, including in the offices of either the investigating official or the reviewing official. | |||
| 10:10:1.0.1.1.11.0.76.15 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.15 Ex parte contacts. | NRC | No party or person (except employees of the ALJ's office) shall communicate in any way with the ALJ on any matter at issue in a case, unless on notice and opportunity for all parties to participate. This provision does not prohibit a person or party from inquiring about the status of a case or asking routine questions concerning administrative functions or procedures. | ||||
| 10:10:1.0.1.1.11.0.76.16 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.16 Disqualification of reviewing official or ALJ. | NRC | (a) A reviewing official or ALJ in a particular case may disqualify himself or herself at any time. (b) A party may file with the ALJ a motion for disqualification of a reviewing official or an ALJ. Such motion shall be accompanied by an affidavit alleging personal bias or other reason for disqualification. (c) Such motion and affidavit shall be filed promptly upon the party's discovery of reasons requiring disqualification, or such objections, shall be deemed waived. (d) Such affidavit shall state specific facts that support the party's belief that personal bias or other reason for disqualification exists and the time and circumstances of the party's discovery of such facts. It shall be accompanied by a certificate of the representative of record that it is made in good faith. (e) Upon the filing of such a motion and affidavit, the ALJ shall proceed no further in the case until he or she resolves the matter of disqualification in accordance with paragraph (f) of this section. (f)(1) If the ALJ determines that a reviewing official is disqualified, the ALJ shall dismiss the complaint without prejudice. (2) If the ALJ disqualifies himself or herself, the case shall be reassigned promptly to another ALJ. (3) If the ALJ denies a motion to disqualify, the authority head may determine the matter only as part of its review of the initial decision upon appeal, if any. | ||||
| 10:10:1.0.1.1.11.0.76.17 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.17 Rights of parties. | NRC | Except as otherwise limited by this part, all parties may— (a) Be accompanied, represented, and advised by a representative; (b) Participate in any conference held by the ALJ; (c) Conduct discovery; (d) Agree to stipulation of fact or law, which shall be made part of the record; (e) Present evidence relevant to the issues at the hearing; (f) Present and cross-examine witnesses; (g) Present oral arguments at the hearing as permitted by the ALJ; and (h) Submit written briefs and proposed findings of fact and conclusions of law after the hearing. | ||||
| 10:10:1.0.1.1.11.0.76.18 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.18 Authority of the ALJ. | NRC | (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, maintain order, and assure that a record of the proceeding is made. (b) The ALJ has the authority to— (1) Set and change the date, time, and place of the hearing upon reasonable notice to the parties; (2) Continue or recess the hearing in whole or in part for a reasonable period of time; (3) Hold conferences to identify or simplify the issues, or to consider other matters that may aid in the expeditious disposition of the proceeding; (4) Administer oaths and affirmations; (5) Issue subpoenas requiring the attendance of witnesses and the production of documents at depositions or at hearings; (6) Rule on motions and other procedural matters; (7) Regulate the scope and timing of discovery; (8) Regulate the course of the hearing and the conduct of representatives and parties; (9) Examine witnesses; (10) Receive, rule on, exclude, or limit evidence; (11) Upon motion of a party, take official notice of facts; (12) Upon motion of a party, decide cases, in whole or in part, by summary judgment where there is no disputed issue of material fact; (13) Conduct any conference, argument, or hearing on motions in person or by telephone; and (14) Exercise such other authority as is necessary to carry out the responsibilities of the ALJ under this part. (c) The ALJ does not have the authority to find Federal statutes or regulations invalid. | ||||
| 10:10:1.0.1.1.11.0.76.19 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.19 Prehearing conferences. | NRC | (a) The ALJ may schedule prehearing conferences as appropriate. (b) Upon the motion of any party, the ALJ shall schedule at least one prehearing conference at a reasonable time in advance of the hearing. (c) The ALJ may use prehearing conferences to discuss the following: (1) Simplification of the issues; (2) The necessity or desirability of amendments to the pleadings, including the need for a more definite statement; (3) Stipulations and admissions of fact or as to the contents and authenticity of documents; (4) Whether the parties can agree to submission of the case on a stipulated record; (5) Whether a party chooses to waive appearance at an oral hearing and to submit only documentary evidence (subject to the objection of other parties) and written argument; (6) Limitation of the number of witnesses; (7) Scheduling dates for the exchange of witness lists and of proposed exhibits; (8) Discovery; (9) The time and place for the hearing; and (10) Such other matters as may tend to expedite the fair and just disposition of the proceedings. (d) The ALJ may issue an order containing all matters agreed upon by the parties or ordered by the ALJ at a prehearing conference. | ||||
| 10:10:1.0.1.1.11.0.76.20 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.20 Disclosure of documents. | NRC | (a) Upon written request to the reviewing official, the defendant may review any relevant and material documents, transcripts, records, and other materials that relate to the allegations set out in the complaint and upon which the findings and conclusions of the investigating official under § 13.4(b) are based, unless such documents are subject to a privilege under Federal law. Upon payment of fees for duplication, the defendant may obtain copies of such documents. (b) Upon written request to the reviewing official, the defendant also may obtain a copy of all exculpatory information in the possession of the reviewing official or investigating official relating to the allegations in the complaint, even if it is contained in a document that would otherwise be privileged. If the document would otherwise be privileged, only that portion containing exculpatory information must be disclosed. (c) The notice sent to the Attorney General from the reviewing official as described in § 13.5 is not discoverable under any circumstances. (d) The defendant may file a motion to compel disclosure of the documents subject to the provisions of this section. Such a motion may only be filed with the ALJ following the filing of an answer pursuant to § 13.9. | ||||
| 10:10:1.0.1.1.11.0.76.21 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.21 Discovery. | NRC | (a) The following types of discovery are authorized: (1) Requests for production of documents for inspection and copying; (2) Requests for admissions of the authenticity of any relevant document or of the truth of any relevant fact; (3) Written interrogatories; and (4) Depositions. (b) For the purpose of this section and §§ 13.22 and 13.23, the term “documents” includes information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence. Nothing contained herein shall be interpreted to require the creation of a document. (c) Unless mutually agreed to by the parties, discovery is available only as ordered by the ALJ. The ALJ shall regulate the timing of discovery. (d) Motions for discovery. (1) A party seeking discovery may file a motion with the ALJ. Such a motion shall be accompanied by a copy of the requested discovery, or in the case of depositions, a summary of the scope of the proposed deposition. (2) Within ten days of service, a party may file an opposition to the motion and/or a motion for protective order as provided in § 13.24. (3) The ALJ may grant a motion for discovery only if he or she finds that the discovery sought— (i) Is necessary for the expeditious, fair, and reasonable consideration of the issues; (ii) Is not unduly costly or burdensome; (iii) Will not unduly delay the proceeding; and (iv) Does not seek privileged information. (4) The burden of showing that discovery should be allowed is on the party seeking discovery. (5) The ALJ may grant discovery subject to a protective order under § 13.24. (e) Depositions. (1) If a motion for deposition is granted, the ALJ shall issue a subpoena for the deponent, which may require the deponent to produce documents. The subpoena shall specify the time and place at which the deposition will be held. (2) The party seeking to depose shall serve the subpoena in the manner prescribed in § 13.8. (3) The deponent may file with the ALJ a motion to quash the subpoena or a motion for a protective order … | ||||
| 10:10:1.0.1.1.11.0.76.22 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.22 Exchange of witness lists, statements, and exhibits. | NRC | (a) At least 15 days before the hearing or at such other times as may be ordered by the ALJ, the parties shall exchange witness lists, copies of prior statements of proposed witnesses, and copies of proposed hearing exhibits, including copies of any written statements that the party intends to offer in lieu of live testimony in accordance with § 13.33(b). At the time the above documents are exchanged, any party that intends to rely on the transcript of deposition testimony in lieu of live testimony at the hearing, if permitted by the ALJ, shall provide each party with a copy of the specific pages of the transcript it intends to introduce into evidence. (b) If a party objects, the ALJ shall not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party as provided above unless the ALJ finds good cause for the failure or that there in no prejudice to the objecting party. (c) Unless another party objects within the time set by the ALJ, documents exchanged in accordance with paragraph (a) of this section shall be deemed to be authentic for the purpose of admissibility at the hearing. | ||||
| 10:10:1.0.1.1.11.0.76.23 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.23 Subpoenas for attendance at hearing. | NRC | (a) A party wishing to procure the appearance and testimony of any individual at the hearing may request that the ALJ issue a subpoena. (b) A subpoena requiring the attendance and testimony of an individual may also require the individual to produce documents at the hearing. (c) A party seeking a subpoena shall file a written request therefor not less than 15 days before the date fixed for the hearing unless otherwise allowed by the ALJ for good cause shown. Such request shall specify any documents to be produced and shall designate the witnesses and describe the address and location thereof with sufficient particularity to permit such witnesses to be found. (d) The subpoena shall specify the time and place at which the witness is to appear and any documents the witness is to produce. (e) The party seeking the subpoena shall serve it in the manner prescribed in § 13.8. A subpoena on a party or upon an individual under the control of a party may be served by first class mail. (f) A party or the individual to whom the subpoena is directed may file with the ALJ a motion to quash the subpoena within ten days after service or on or before the time specified in the subpoena for compliance if it is less than ten days after service. | ||||
| 10:10:1.0.1.1.11.0.76.24 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.24 Protective order. | NRC | (a) A party or a prospective witness or deponent may file a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing, seeking to limit the availability or disclosure of evidence. (b) In issuing a protective order, the ALJ may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following: (1) That the discovery not be had; (2) That the discovery may be had only on specified terms and conditions, including a designation of the time or place; (3) That the discovery may be had only through a method of discovery other than that requested; (4) That certain matters not be inquired into, or that the scope of discovery be limited to certain matters; (5) That discovery be conducted with no one present except persons designated by the ALJ; (6) That the contents of discovery or evidence by sealed; (7) That a deposition after being sealed be opened only by order of the ALJ; (8) That a trade secret or other confidential research, development, commercial information, or facts pertaining to any criminal investigation, proceeding, or other administrative investigation not be disclosed or be disclosed only in a designated way; or (9) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the ALJ. | ||||
| 10:10:1.0.1.1.11.0.76.25 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.25 Fees. | NRC | The party requesting a subpoena shall pay the cost of the fees and mileage of any witness subpoenaed in the amounts that would be payable to a witness in a proceeding in United States District Court. A check for witness fees and mileage shall accompany the subpoena when served, except that when a subpoena is issued on behalf of the authority, a check for witness fees and mileage need not accompany the subpoena. | ||||
| 10:10:1.0.1.1.11.0.76.26 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.26 Filing and service of papers. | NRC | [72 FR 49152, Aug. 28, 2007] | (a) Filing. (1) Unless otherwise provided by order, all filings must be made as electronic submissions in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions may be found in the E-Filing Guidance and on the NRC Web site at http://www.nrc.gov/site-help/e-submittals.html. If a filing contains sections of information or electronic formats that may not be transmitted electronically for security or other reasons, portions not containing those sections will be transmitted electronically to the E-Filing system. In addition, optical storage media (OSM) containing the entire filing must be physically delivered or mailed. In such cases, the submitter does not need to apply to the Commission for an exemption to deviate from the requirements in paragraph (a) of this section. (2) Electronic transmission exemption. The ALJ may relieve a participant who is filing electronic documents of the transmission requirements in paragraph (a) of this section. Such a participant will file electronic documents by physically delivering or mailing an OSM containing the documents. The electronic formatting requirement in paragraph (a) of this section must be met. (3) Electronic document exemption. The ALJ may relieve a participant of both the electronic (computer file) formatting and transmission requirements in paragraph (a)(1) of this section. Such a participant will file paper documents physically or by mail to the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff. Filing by mail is complete upon deposit in the mail. (4) Requesting an exemption. A participant seeking an exemption under paragraphs (a)(2) or (a)(3) of this section must submit the exemption request with its first filing in the proceeding. In the request, the requestor must show good cause as to why it cannot file electronically. The filer may not c… | |||
| 10:10:1.0.1.1.11.0.76.27 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.27 Computation of time. | NRC | [72 FR 49153, Aug. 28, 2007] | (a) In computing any period of time under this part or in an order issued thereunder, the time begins with the day following the act, event, or default, and includes the last day of the period, unless it is a Saturday or Sunday, a Federal legal holiday at the place where the action or event is to occur, or a day on which, because of emergency closure of the federal government in Washington, DC, NRC Headquarters does not open for business, in which event it includes the next day that is not a Saturday, Sunday, holiday or emergency closure. (b) When the period of time allowed is less than seven (7) days, intermediate Saturdays, Sundays, Federal legal holidays, and emergency closures shall be excluded from the computation. (c) Whenever an action is required within a prescribed period by a document served pursuant to § 13.26, no additional time is added to the prescribed period except in the following circumstances: (1) If a notice or document is served upon a participant, by first-class mail only, three (3) calendar days will be added to the prescribed period for all the participants in the proceeding. (2) If a notice or document is served upon a participant, by express mail or other expedited service only, two (2) calendar days will be added to the prescribed period for all the participants in the proceeding. (3) If a document is to be served by multiple service methods, such as partially electronic and entirely on an OSM, the additional number of days is computed according to the service method used to deliver the entire document, excluding courtesy copies, to all of the other participants in the proceeding. The presiding officer may determine the calculation of additional days when a participant is not entitled to receive an entire filing served by multiple methods. (4) In mixed service proceedings where all participants are not using the same filing and service method, the number of days for service will be determined by the presiding officer based on considerations of fairness and efficiency. The same num… | |||
| 10:10:1.0.1.1.11.0.76.28 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.28 Motions. | NRC | (a) Any application to the ALJ for an order or ruling shall be by motion. Motions shall state the relief sought, the authority relied upon, and the facts alleged, and shall be filed with the ALJ and served on all other parties. (b) Except for motions made during a prehearing conference or at the hearing, all motions shall be in writing. The ALJ may require that oral motions be reduced to writing. (c) Within 15 days after a written motion is served, or such other time as may be fixed by the ALJ, any party may file a response to such motion. (d) The ALJ may not grant a written motion before the time for filing responses thereto has expired, except upon consent of the parties or following a hearing on the motion, but may overrule or deny such motion without awaiting a response. (e) The ALJ shall make a reasonable effort to dispose of all outstanding motions prior to the beginning of the hearing. | ||||
| 10:10:1.0.1.1.11.0.76.29 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.29 Sanctions. | NRC | (a) The ALJ may sanction a person, including any party or representative for— (1) Failing to comply with an order, rule, or procedure governing the proceeding; (2) Failing to prosecute or defend an action; or (3) Engaging in other misconduct that interferes with the speedy, orderly, or fair conduct of the hearing. (b) Any such sanction, including but not limited to those listed in paragraphs (c), (d), and (e) of this section, shall reasonably relate to the severity and nature of the failure or misconduct. (c) When a party fails to comply with an order, including an order for taking a deposition, the production of evidence within the party's control, or a request for admission, the ALJ may— (1) Draw an inference in favor of the requesting party with regard to the information sought; (2) In the case of requests for admission, deem each matter of which an admission is requested to be admitted; (3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying upon testimony relating to the information sought; and (4) Strike any part of the pleadings or other submissions of the party failing to comply with such request. (d) If a party fails to prosecute or defend an action under this part commenced by service of a notice of hearing, the ALJ may dismiss the action or may issue an initial decision imposing penalties and assessments. (e) The ALJ may refuse to consider any motion, request, response, brief or other document which is not filed in a timely fashion. | ||||
| 10:10:1.0.1.1.11.0.76.30 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.30 The hearing and burden of proof. | NRC | (a) The ALJ shall conduct a hearing on the record in order to determine whether the defendant is liable for a civil penalty or assessment under § 13.3 and, if so, the appropriate amount of any such civil penalty or assessment considering any aggravating or mitigating factors. (b) The authority shall prove defendant's liability and any aggravating factors by a preponderance of the evidence. (c) The defendant shall prove any affirmative defenses and any mitigating factors by a preponderance of the evidence. (d) The hearing shall be open to the public unless otherwise ordered by the ALJ for good cause shown. | ||||
| 10:10:1.0.1.1.11.0.76.31 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.31 Determining the amount of penalties and assessments. | NRC | (a) In determining an appropriate amount of civil penalties and assessments, the ALJ and the authority head, upon appeal, should evaluate any circumstances that mitigate or aggravate the violation and should articulate in their opinions the reasons that support the penalties and assessments they impose. Because of the intangible costs of fraud, the expense of investigating such conduct, and the need to deter others who might be similarly tempted, ordinarily double damages and a significant civil penalty should be imposed. (b) Although not exhaustive, the following factors are among those that may influence the ALJ and the authority head in determining the amount of penalties and assessments to impose with respect to the misconduct ( i.e., the false, fictitious, or fraudulent claims or statements) charged in the complaint: (1) The number of false, fictitious, or fraudulent claims or statements; (2) The time period over which such claims or statements were made; (3) The degree of the defendant's culpability with respect to the misconduct; (4) The amount of money or the value of the property, services, or benefit falsely claimed; (5) The value of the Government's actual loss as a result of the misconduct, including foreseeable consequential damages and the costs of investigation; (6) The relationship of the amount imposed as civil penalties to the amount of the Government's loss; (7) The potential or actual impact of the misconduct upon national defense, public health or safety, or public confidence in the management of Government programs and operations, including particularly the impact on the intended beneficiaries of such programs; (8) Whether the defendant has engaged in a pattern of the same or similar misconduct; (9) Whether the defendant attempted to conceal the misconduct; (10) The degree to which the defendant has involved others in the misconduct or in concealing it; (11) Where the misconduct of employees or agents is imputed to the defendant, the extent to which the defendant's practices fos… | ||||
| 10:10:1.0.1.1.11.0.76.32 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.32 Location of hearing. | NRC | (a) The hearing may be held— (1) In any judicial district of the United States in which the defendant resides or transacts business; (2) In any judicial district of the United States in which the claim or statement in issue was made; or (3) In such other place as may be agreed upon by the defendant and the ALJ. (b) Each party shall have the opportunity to present argument with respect to the location of the hearing. (c) The hearing shall be held at the place and at the time ordered by the ALJ. | ||||
| 10:10:1.0.1.1.11.0.76.33 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.33 Witnesses. | NRC | (a) Except as provided in paragraph (b) of this section, testimony at the hearing shall be given orally by witnesses under oath or affirmation. (b) At the discretion of the ALJ, testimony may be admitted in the form of a written statement or deposition. Any such written statement must be provided to all other parties along with the last known address of such witness, in a manner which allows sufficient time for other parties to subpoena such witness for cross-examination at the hearing. Prior written statements of witnesses proposed to testify at the hearing and deposition transcripts shall be exchanged as provided in § 13.22(a). (c) The ALJ shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to— (1) Make the interrogation and presentation effective for the ascertainment of the truth; (2) Avoid needless consumption of time; and (3) Protect witnesses from harassment or undue embarrassment. (d) The ALJ shall permit the parties to conduct such cross-examination as may be required for a full and true disclosure of the facts. (e) At the discretion of the ALJ, a witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. To the extent permitted by the ALJ, cross-examination on matters outside the scope of direct examination shall be conducted in the manner of direct examination and may proceed by leading questions only if the witness is a hostile witness, an adverse party, or a witness identified with an adverse party. (f) Upon motion of any party, the ALJ shall order witnesses excluded so that they cannot hear the testimony of other witnesses. This rule does not authorize exclusion of— (1) A party who is an individual; (2) In the case of a party that is not an individual, an officer or employee of the party appearing for the entity pro se or designated by the party's representative; or (3) An individual whose presence is shown by a party to be essential to the presentation of … | ||||
| 10:10:1.0.1.1.11.0.76.34 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.34 Evidence. | NRC | (a) The ALJ shall determine the admissibility of evidence. (b) Except as provided in this part, the ALJ shall not be bound by the Federal Rules of Evidence. However, the ALJ may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence. (c) The ALJ shall exclude irrelevant and immaterial evidence. (d) Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or by considerations of undue delay or needless presentation of cumulative evidence. (e) Although relevant, evidence may be excluded if it is privileged under Federal law. (f) Evidence concerning offers of compromise or settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence. (g) The ALJ shall permit the parties to introduce rebuttal witnesses and evidence. (h) All documents and other evidence offered or taken for the record shall be open to examination by all parties, unless otherwise ordered by the ALJ pursuant to § 13.24. | ||||
| 10:10:1.0.1.1.11.0.76.35 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.35 The record. | NRC | (a) The hearing will be recorded and transcribed. Transcripts may be obtained following the hearing from the ALJ at a cost not to exceed the actual cost of duplication. (b) The transcript of testimony, exhibits and other evidence admitted at the hearing, and all papers and requests filed in the proceeding constitute the record for the decision by the ALJ and the authority head. (c) The record may be inspected and copied (upon payment of a reasonable fee) by anyone, unless otherwise ordered by the ALJ pursuant to § 13.24. | ||||
| 10:10:1.0.1.1.11.0.76.36 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.36 Post-hearing briefs. | NRC | The ALJ may require the parties to file post-hearing briefs. In any event, any party may file a post-hearing brief. The ALJ shall fix the time for filing such briefs, not to exceed 60 days from the date the parties receive the transcript of the hearing or, if applicable, the stipulated record. Such briefs may be accompanied by proposed findings of fact and conclusions of law. The ALJ may permit the parties to file reply briefs. | ||||
| 10:10:1.0.1.1.11.0.76.37 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.37 Initial decision. | NRC | (a) The ALJ shall issue an initial decision based only on the record, which shall contain findings of fact, conclusions of law, and the amount of any penalties and assessments imposed. (b) The findings of fact shall include a finding on each of the following issues: (1) Whether the claims or statements identified in the complaint, or any portions thereof, violate § 13.3; and (2) If the person is liable for penalties or assessments, the appropriate amount of any such penalties or assessments considering any mitigating or aggravating factors that he or she finds in the case, such as those described in § 13.31. (c) The ALJ shall promptly serve the initial decision on all parties within 90 days after the time for submission of post-hearing briefs and reply briefs (if permitted) has expired. The ALJ shall at the same time serve all parties with a statement describing the right of any defendant determined to be liable for a civil penalty or assessment to file a motion for reconsideration with the ALJ or a notice of appeal with the authority head. If the ALJ fails to meet the deadline contained in this paragraph, he or she shall notify the parties of the reason for the delay and shall set a new deadline. (d) Unless the initial decision of the ALJ is timely appealed to the authority head, or a motion for reconsideration of the initial decision is timely filed, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued by the ALJ. | ||||
| 10:10:1.0.1.1.11.0.76.38 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.38 Reconsideration of initial decision. | NRC | (a) Except as provided in paragraph (d) of this section, any party may file a motion for reconsideration of the initial decision within 20 days of receipt of the initial decision. If service was made by mail, receipt will be presumed to be five days from the date of mailing in the absence of contrary proof. (b) Every such motion must set forth the matters claimed to have been erroneously decided and the nature of the alleged errors. Such motion shall be accompanied by a supporting brief. (c) Responses to such motions shall be allowed only upon request of the ALJ. (d) No party may file a motion for reconsideration of an initial decision that has been revised in response to a previous motion for reconsideration. (e) The ALJ may dispose of a motion for reconsideration by denying it or by issuing a revised initial decision. (f) If the ALJ denies a motion for reconsideration, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after the ALJ denies the motion, unless the initial decision is timely appealed to the authority head in accordance with § 13.39. (g) If the ALJ issues a revised initial decision, that decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued, unless it is timely appealed to the authority head in accordance with § 13.39. | ||||
| 10:10:1.0.1.1.11.0.76.39 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.39 Appeal to authority head. | NRC | (a) Any defendant who has filed a timely answer and who is determined in an initial decision to be liable for a civil penalty or assessment may appeal such decision to the authority head by filing a notice of appeal with the authority head in accordance with this section. (b)(1) A notice of appeal may be filed at any time within 30 days after the ALJ issues an initial decision. However, if another party files a motion for reconsideration under § 13.38, consideration of the appeal shall be stayed automatically pending resolution of the motion for reconsideration. (2) If a motion for reconsideration is timely filed, a notice of appeal may be filed within 30 days after the ALJ denies the motion or issues a revised initial decision, whichever applies. (3) The authority head may extend the initial 30 day period for an additional 30 days if the defendant files with the authority head a request for an extension within the initial 30 day period and shows good cause. (c) If the defendant files a timely notice of appeal with the authority head and the time for filing motions for reconsideration under § 13.38 has expired, the ALJ shall forward the record of the proceeding to the authority head. (d) A notice of appeal shall be accompanied by a written brief specifying exceptions to the initial decision and reasons supporting the exceptions. (e) The representative for the Government may file a brief in opposition to exceptions within 30 days of receiving the notice of appeal and accompanying brief. (f) There is no right to appear personally before the authority head. (g) There is no right to appeal any interlocutory ruling by the ALJ. (h) In reviewing the initial decision, the authority head shall not consider any objection that was not raised before the ALJ unless a demonstration is made of extraordinary circumstances causing the failure to raise the objection. (i) If any party demonstrates to the satisfaction of the authority head that additional evidence not presented at each hearing is material and that there we… | ||||
| 10:10:1.0.1.1.11.0.76.40 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.40 Stays ordered by the Department of Justice. | NRC | If at any time the Attorney General or an Assistant Attorney General designated by the Attorney General transmits to the authority head a written finding that continuation of the administrative process described in this part with respect to a claim or statement may adversely affect any pending or potential criminal or civil action related to such claim or statement, the authority head shall stay the process immediately. The authority head may order the process resumed only upon receipt of the written authorization of the Attorney General. | ||||
| 10:10:1.0.1.1.11.0.76.41 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.41 Stay pending appeal. | NRC | (a) An initial decision is stayed automatically pending disposition of a motion for reconsideration or of an appeal to the authority head. (b) No administrative stay is available following a final decision of the authority head. | ||||
| 10:10:1.0.1.1.11.0.76.42 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.42 Judicial review. | NRC | Section 3805 of title 31, United States Code, authorizes judicial review by an appropriate United States District Court of a final decision of the authority head imposing penalties or assessments under this part and specifies the procedures for such review. | ||||
| 10:10:1.0.1.1.11.0.76.43 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.43 Collection of civil penalties and assessments. | NRC | Sections 3806 and 3808(b) of title 31, United States Code, authorize actions for collection of civil penalties and assessments imposed under this part and specify the procedures for such actions. | ||||
| 10:10:1.0.1.1.11.0.76.44 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.44 Right to administrative offset. | NRC | The amount of any penalty or assessment which has become final, or for which a judgment has been entered under § 13.42 or § 13.43, or any amount agreed upon in a compromise or settlement under § 13.46, may be collected by administrative offset under 31 U.S.C. 3716, except that an administrative offset may not be made under this subsection against a refund of an overpayment of Federal taxes, then or later owing by the United States to the defendant. | ||||
| 10:10:1.0.1.1.11.0.76.45 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.45 Recovery of Costs and Deposit in Treasury of United States. | NRC | [90 FR 33266, July 17, 2025] | (a) Any amount collected under this part shall be credited first to reimburse the authority or other Federal entity that expended costs in support of the investigation or prosecution of the action, including any court or hearing costs. (b) Any amount reimbursed under paragraph (a) of this section shall be deposited in the appropriations account of the authority or other Federal entity from which the costs described in paragraph (a) of this section were obligated, a similar appropriations account of the authority or other Federal entity; or if the authority or other Federal entity expended nonappropriated funds, another appropriate account; and remain available until expended. (c) Any amounts remaining after reimbursements described in paragraph (a) of this section pursuant to this part shall be deposited as miscellaneous receipts in the Treasury of the United States, except as provided in 31 U.S.C. 3806(g). | |||
| 10:10:1.0.1.1.11.0.76.46 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.46 Compromise or settlement. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) Parties may make offers of compromise or settlement at any time. (b) The reviewing official has the exclusive authority to compromise or settle a case under this part at any time after the date on which the reviewing official is permitted to issue a complaint and before the date on which the ALJ issues an initial decision. Before compromising or settling a case under this part, a reviewing official shall notify the Attorney General in writing not later than 30 days before entering into any agreement to compromise or settle allegations of liability under this part and before the date on which the reviewing official is permitted to refer allegations of liability to a presiding officer. (c) The authority head has exclusive authority to compromise or settle a case under this part at any time after the date on which the ALJ issues an initial decision, except during the pendency of any review under § 13.42 or during the pendency of any action to collect penalties and assessments under § 13.43. (d) The Attorney General has exclusive authority to compromise or settle a case under this part during the pendency of any review under § 13.42 or of any action to recover penalties and assessments under 31 U.S.C. 3806. (e) The investigating officer may recommend settlement terms to the reviewing official, the authority head, or the Attorney General, as appropriate. The reviewing official may recommend settlement terms to the authority head, or the Attorney General, as appropriate. (f) Any compromise or settlement must be in writing. | |||
| 10:10:1.0.1.1.11.0.76.47 | 10 | Energy | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.47 Limitations. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) A notice to the person alleged to be liable under this part with respect to a claim or statement shall be served in the manner specified in § 13.8 not later than the later of: (1) 6 years after the date on which the violation is committed; or (2) 3 years after the date on which facts material to the action are known or reasonably should have been known by the authority head, but in no event more than 10 years after the date on which the violation is committed. (b) A civil action to recover a penalty or assessment under this part shall be commenced within 3 years after the date on which the determination of liability for such penalty or assessment becomes final. (c) The statute of limitations may be extended by agreement of the parties. | |||
| 10:10:1.0.1.1.12.1.76.1 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.1 Scope of regulations. | NRC | [90 FR 54227, Nov. 26, 2025] | (a) The terms “Nuclear Regulatory Commission” and “NRC” as used in this part mean the agency established by section 201(a) of the Energy Reorganization Act of 1974, but do not include any contractor with the Nuclear Regulatory Commission. (b) The regulations in this part supplement the Department of Justice's regulations in 28 CFR parts 14 and 15. (c) These regulations apply to administrative claims under the Federal Tort Claims Act, as amended, asserted on or after the effective date of this rule, for money damages against the United States for damage to or loss of property or personal injury or death caused by the negligent or wrongful act or omission of any employee of the NRC while acting within the scope of his or her office or employment, under circumstances where the United States, if a private person, would be liable to the claimant in accordance with the law of the place where the act or omission occurred. | |||
| 10:10:1.0.1.1.12.1.76.2 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.3 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.1 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.11 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.2 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.13 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.3 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.15 Where to present a claim to NRC. | NRC | [47 FR 8983, Mar. 3, 1982, as amended at 51 FR 35999, Oct. 8, 1986] | A claimant shall mail or deliver the claim to the office of employment of the NRC employee whose negligent or wrongful act or omission is alleged to have caused the loss or injury. If the office of employment is not known, the claimant shall file the claim with the Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555. | |||
| 10:10:1.0.1.1.12.2.76.4 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.17 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.5 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.19 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.6 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.21 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.7 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.23 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.8 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.25 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.2.76.9 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.27 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.1 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.31 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.2 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.33 Officials authorized to act. | NRC | [51 FR 35999, Oct. 8, 1986] | The General Counsel or the General Counsel's designee shall exercise the authority to adjust, determine, compromise and settle a claim under the provisions of 28 U.S.C. 2672. | |||
| 10:10:1.0.1.1.12.3.76.3 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.35 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.4 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.37 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.5 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.39 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.6 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.41 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.12.3.76.7 | 10 | Energy | 14 | PART 14—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | § 14.43 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.13.1.76.1 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.1 Application. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | (a) This part applies to claims for the payment of debts owed to the United States Government in the form of money or property and; unless a different procedure is specified in a statute, regulation, or contract; prescribes procedures by which the NRC— (1) Collects, compromises, suspends, offsets, and terminates collection action for claims; (2) Determines and collects interest and other charges on these claims; and (3) Refers unpaid claims over 180 days delinquent to Treasury for offset and collection and to the DOJ for litigation. (b) The following are examples of kinds of debts to which special statutory and administrative procedures apply: (1) A claim against an employee for erroneous payment of pay and allowances subject to waiver under 5 U.S.C. 5584 are covered by the provisions of 10 CFR part 16. (2) A claim against an applicant for, or a holder or former holder of, an NRC license involving the payment of civil penalties imposed by the NRC under 10 CFR 2.205. (3) A claim involved in a case pending before any Federal Contract Appeals Board or Grant Appeals Board. However, nothing in this part prevents negotiation and settlement of a claim pending before a Board. (c) The NRC is not limited to collection remedies contained in the revised Federal Claims Collection Standards (FCCS). The FCCS is not intended to impair common law remedies. | |||
| 10:10:1.0.1.1.13.1.76.2 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.2 Definitions. | NRC | [55 FR 32377, Aug. 9, 1990, as amended at 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | Administrative offset means withholding money payable by the United States Government to, or held by the Government for, a person to satisfy a debt the person owes the United States Government. Administrative wage garnishment is the process of withholding amounts from an employee's disposable pay and the paying of those amounts to a creditor in satisfaction of a withholding order. Claim and debt are used synonymously to refer to an amount of money, funds, or property that has been determined by an agency official to be owed to the United States from any person, organization, or entity, except another Federal agency. For the purposes of administrative offset under 31 U.S.C. 3716, the terms claim and debt include an amount of money, funds, or property owed by a person to a State (including past-due support being enforced by a State), the District of Columbia, American Samoa, Guam, the United States Virgin Islands, the Commonwealth of the Northern Mariana Islands, or the Commonwealth of Puerto Rico. Cross-servicing means that the Treasury or another debt collection center is taking appropriate debt collection action on behalf of one or more Federal agencies or a unit or subagency thereof. Delinquent. A debt is considered delinquent if it has not been paid by the date specified in the initial written demand for payment or applicable contractual agreement with the NRC unless other satisfactory payment arrangements have been made by that date. If the debtor fails to satisfy obligations under a payment agreement with the NRC after other payment arrangements have been made, the debt becomes a delinquent debt. Federal agencies include agencies of the executive, legislative, and judicial branches of the Government, including Government corporations. License means any license, permit, or other approval issued by the Commission. Payment in full means payment of the total debt due the United States, including any interest, penalty, and administrative costs of collection assessed against the debtor. Recou… | |||
| 10:10:1.0.1.1.13.1.76.3 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.3 Communications. | NRC | [68 FR 58801, Oct. 10, 2003, as amended at 74 FR 62680, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | Unless otherwise specified, communications concerning the regulations in this part may be addressed to the Secretary of the Nuclear Regulatory Commission and sent either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, ATTN: Rulemakings and Adjudications Staff; by hand delivery to the NRC's offices at 11555 Rockville Pike, One White Flint North, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | |||
| 10:10:1.0.1.1.13.1.76.4 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.5 Claims that are covered. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | (a) These procedures generally apply to any claim for payment of a debt which: (1) Results from activities of the NRC, including fees imposed under part 170 and part 171; or (2) Is referred to the NRC for collection. (b) These procedures do not apply to: (1) A claim based on a civil monetary penalty for violation of a licensing requirement unless § 2.205 of this chapter provides otherwise; (2) A claim as to which there is an indication of fraud, the presentation of a false claim, or misrepresentation on the part of the debtor or any other party having an interest in the claim; (3) A claim based in whole or in part on conduct in violation of the antitrust laws; (4) A claim under the Internal Revenue Code of 1986. (5) A claim between Federal agencies. Federal agencies should attempt to resolve interagency claims as referenced in Executive Order 12146 (3 CFR, 1980 Comp., pp. 409-412). (6) A claim once it becomes subject to salary offset under 5 U.S.C. 5514. These claims are subject to the provisions of 10 CFR part 16. (7) A claim involving bankruptcy is covered by Title 11 of the United States Code. | |||
| 10:10:1.0.1.1.13.1.76.5 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.7 Monetary limitation on NRC's authority. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 67 FR 30318, May 6, 2002] | The NRC's authority to compromise a claim, or to terminate or suspend collection action on a claim covered by these procedures, is limited by 31 U.S.C. 3711(a) to claims that— (a) Have not been referred to another Federal Agency for further collection actions; and (b) Do not exceed $100,000 (exclusive of interest, penalties, and administrative charges) or such higher amount as the Attorney General shall from time to time prescribe for purposes of compromise or suspension or termination of collection activity. | |||
| 10:10:1.0.1.1.13.1.76.6 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.8 Information collection requirements: OMB approval. | NRC | [67 FR 30319, May 6, 2002] | This part contains no information collection requirements, and therefore, is not subject to the requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). | |||
| 10:10:1.0.1.1.13.1.76.7 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.9 No private rights created. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 67 FR 30319, May 6, 2002] | (a) The failure of NRC to include in this part any provision of the FCCS, 31 CFR Chapter IX, parts 900-904, does not prevent the NRC from applying these provisions. (b) A debtor may not use the failure of the NRC to comply with any provision of this part or of the Federal Claims Collections Standards as a defense. | |||
| 10:10:1.0.1.1.13.1.76.8 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.11 Form of payment. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 67 FR 30319, May 6, 2002] | These procedures are directed primarily to the recovery of money on behalf of the Government. The NRC may demand: (a) The return of specific property; or (b) The performance of specific services. | |||
| 10:10:1.0.1.1.13.1.76.9 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.13 Subdivision of claims. | NRC | [55 FR 32378, Aug. 9, 1990] | The NRC shall consider a debtor's liability arising from a particular transaction or contract as a single claim in determining whether the claim is less than the monetary limitation for the purpose of compromising or suspending or terminating collection action. A claim may not be subdivided to avoid the monetary limitation established by 31 U.S.C. 3711(a)(2) and § 15.7. | |||
| 10:10:1.0.1.1.13.2.76.1 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.20 Aggressive agency collection activity. | NRC | [67 FR 30319, May 6, 2002, as amended at 79 FR 66602, Nov. 10, 2014] | (a) The NRC shall take aggressive action to collect all debts. These collection activities will be undertaken promptly and follow-up action will be taken as appropriate. These regulations do not require the Department of Justice, Department of the Treasury (Treasury), or any other Treasury-designated collection center to duplicate collection activities previously undertaken by NRC. (b) Debt referred or transferred to Treasury or to a Treasury-designated debt collection center under the authority of 31 U.S.C. 3711(g) must be serviced, collected, or compromised, or the collection action will be suspended or terminated, in accordance with the statutory requirements and authorities applicable to the collection of the debts. (c) The NRC shall cooperate with other agencies in their debt collection activities. (d) The NRC will consider referring debts that are less than 120 days delinquent to Treasury or to a Treasury-designated debt collection center to accomplish efficient, cost-effective debt collection. Referrals to debt collection centers are at the discretion of, and for a time period acceptable to, Treasury. (e) The NRC shall transfer any debt that has been delinquent for 120 days or more to Treasury so that it may take appropriate action to collect the debt or terminate collection actions. This requirement does not apply to any debt that— (1) Is in litigation or foreclosure; (2) Will be disposed of under an approved asset sale program; (3) Has been referred to a private collection contractor for a period of time acceptable to Treasury; (4) Is at a debt collection center for a period of time acceptable to Treasury; (5) Will be collected under internal offset procedures within 3 years after the date the debt first became delinquent; or (6) Is exempt from this requirement based on a determination by Treasury that exemption for a certain class of debt is in the best interest of the United States. (f) Agencies operating Treasury-designated debt collection centers are authorized to charge a fee for services… | |||
| 10:10:1.0.1.1.13.2.76.2 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.21 Written demands for payment. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30319, May 6, 2002] | (a) The NRC shall make appropriate written demands upon the debtor for payment of money or the return of specific property in terms which specify: (1) The basis of the indebtedness and the right of the debtor to seek review within the NRC; (2) The amount claimed; (3) A description of any property which is to be returned by a date certain; (4) The date on which payment is to be made (which is normally the date the initial written demand letter statement was mailed or hand delivered, unless otherwise specified by contractual agreement, established by Federal statute or regulation, or agreed to under a payment agreement); (5) The applicable standards for assessing interest, penalties, and administrative costs under 31 CFR 901.9; (6) The applicable policy for reporting the delinquent debt to consumer reporting agencies; and (7) The name, address, and phone number of a contact person or office within the NRC will be included with each demand letter. (b) The NRC shall normally send two demand letters to debtors. The initial demand letter will be followed approximately 30 days later with a second demand letter, unless circumstances indicate that alternative remedies better protect the Government's interest, that the debtor has explicitly refused to pay, or that sending a further demand letter is futile. Depending upon the circumstances, the first and second demand letters may— (1) Offer or seek to confer with the debtor; (2) State the amount of the interest and penalties that will be added on a daily basis as well as the administrative costs that will be added to the debt until the debt is paid; and (3) State that the authorized collection procedures include any procedure authorized in this part including: (i) Contacts with the debtor's employer when the debtor is employed by the Federal Government or is a member of the military establishment or the Coast Guard; (ii) The NRC may report debts to credit bureaus, refer debts to debt collection centers and collection agencies for cross-servicing (including wage… | |||
| 10:10:1.0.1.1.13.2.76.3 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.23 Telephone or internet inquiries and investigations. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 67 FR 30319, May 6, 2002] | (a) If a debtor has not responded to one or more demands, the NRC shall make reasonable efforts by telephone or internet to determine the debtor's intentions. (b) The NRC may undertake an investigation to locate a debtor if the whereabouts of a debtor is a problem, or if a debtor cannot be contacted by telephone. (c) The NRC, under 15 U.S.C. 1681(f), may obtain consumer credit information from private firms, including the name, address, former addresses, place of employment, and former places of employment of a debtor. | |||
| 10:10:1.0.1.1.13.2.76.4 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.25 Personal interviews. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990] | (a) The NRC may seek an interview with the debtor at the offices of the NRC when— (1) A matter involved in the claim needs clarification; (2) Information is needed concerning the debtor's circumstances; or (3) An agreement for payment might be negotiated. (b) The NRC shall grant an interview with a debtor upon the debtor's request. The NRC will not reimburse a debtor's interview expenses. | |||
| 10:10:1.0.1.1.13.2.76.5 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.26 Reporting claims. | NRC | [55 FR 32378, Aug. 9, 1990, as amended at 67 FR 30319, May 6, 2002] | (a) In addition to assessing interest, penalties, and administrative costs under § 15.37, the NRC may report a debt that has been delinquent for 90 days to a consumer reporting agency if all the conditions of this paragraph are met. (1) The debtor has not— (i) Paid or agreed to pay the debt under a written payment plan that has been signed by the debtor and agreed to by the NRC; or (ii) Filed for review of the debt under § 15.26 (a)(2)(iv). (2) The NRC has included a notification in the second written demand (see § 15.21(b)) to the individual debtor stating— (i) That the payment of the debt is delinquent; (ii) That within not less than 60 days after the date of the notification, the NRC intends to disclose to a consumer reporting agency that the individual debtor is responsible for the debt; (iii) The specific information to be disclosed to the consumer reporting agency; and (iv) That the debtor has a right to a complete explanation of the debt (if that has not already been given), to dispute information in NRC records about the debt, and to request reconsideration of the debt by administrative appeal or review of the debt. (3) The NRC has reconsidered its initial decision on the debt when the debtor has requested a review under paragraph (a)(2)(iv) of this section. (4) The NRC has taken reasonable action to locate a debtor for whom the NRC does not have a current address to send the notification provided for in paragraph (a)(2) of this section. (b) If there is a substantial change in the condition or amount of the debt, the NRC shall— (1) Promptly disclose that fact(s) to each consumer reporting agency to which the original disclosure was made; (2) Promptly verify or correct information about a debt on request of a consumer reporting agency for verification of information disclosed by the NRC; and, (3) Obtain assurances from the consumer reporting agency that the agency is complying with all applicable Federal, state and local laws relating to its use of consumer credit information. (c) The inform… | |||
| 10:10:1.0.1.1.13.2.76.6 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.27 Contact with debtor's employing agency. | NRC | [56 FR 51830, Oct. 16, 1991] | If the debtor is employed by the Federal government or is a member of the military establishment or the Coast Guard, collection by offset must be accomplished in accordance with 5 U.S.C. 5514 and the provisions of 10 CFR part 16. | |||
| 10:10:1.0.1.1.13.2.76.7 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.29 Suspension or revocation of license. | NRC | [67 FR 30320, May 6, 2002] | In non-bankruptcy cases, the NRC may suspend or revoke any license, permit, or approval which the NRC has granted to the debtor for any inexcusable, prolonged, or repeated failure of the debtor to pay a delinquent debt. Before suspending or revoking any license, permit, or approval for failure to pay a debt, the NRC shall issue to the debtor (by certified mail) an order or a demand for information as to why the license, permit, or approval should not be suspended or revoked. The NRC shall allow the debtor no more than 30 days to pay the debt in full, including applicable interest, penalties, and administrative costs of collection of the delinquent debt. The NRC may revoke the license, permit, or approval at the end of this period. If a license is revoked under authority of this part, a new application, with appropriate fees, must be made to the NRC. The NRC may not consider an application unless all previous delinquent debts of the debtor to the NRC have been paid in full. The suspension or revocation of a license, permit, or approval is also applicable to Federal programs or activities that are administered by the states on behalf of the Federal Government to the extent that they affect the Federal Government's ability to collect money or funds owed by debtors. In bankruptcy cases, before advising the debtor of NRC's intention to suspend or revoke licenses, permits, or approvals, the NRC will seek legal advice from its Office of the General Counsel concerning the impact of the Bankruptcy Code which may restrict such action. | |||
| 10:10:1.0.1.1.13.2.76.8 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.31 Disputed debts. | NRC | [86 FR 32169, June 16, 2021] | (a) Submitting a dispute of debt. For any type of charges assessed by the NRC, a debtor may submit a dispute of debt within 45 days from the date of the initial demand letter. The debtor shall explain why the debt is incorrect in fact or in law and may support the explanation by affidavit, cancelled checks, or other relevant evidence. The dispute must be submitted to the Office of the Chief Financial Officer via the eBilling system, by email to FeeBillingInquiries.Resource@nrc.gov, or by mail to the Office of the Chief Financial Officer at: U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attn: Chief Financial Officer. For debt disputes related to charges for 10 CFR part 170 fees, the debtor must complete and submit an NRC Form 529 with the required information. (b) Notification of receipt. Following receipt of the dispute, the NRC will acknowledge receipt to the contact person identified by the debtor. (c) Dispute review. The NRC will consider the facts involved in the dispute and, if it considers it necessary, arrange for a conference during which the debtor may present evidence and any arguments in support of the debtor's position. If the debtor's dispute potentially raises an error, the NRC may extend the interest waiver period as described in § 15.37(j) pending a final determination of the existence or amount of the debt. (d) Dispute resolution. If the NRC finds that the dispute has not identified an error, the NRC will notify the dispute contact. If the NRC finds that the dispute has identified an error, the NRC will: (1) Notify the dispute contact; (2) Make corrections to the charges or information on the demand letter; and (3) Issue a revised demand letter. | |||
| 10:10:1.0.1.1.13.2.76.9 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.32 Contracting for collection services. | NRC | [67 FR 30320, May 6, 2002] | The NRC may contract for collection services in order to recover delinquent debts only if the debts are not subject to the DCIA requirement to transfer debts to Treasury for debt collection services, e.g. debts that are less than 180 days delinquent. However, the NRC retains the authority to resolve disputes, compromise claims, suspend or terminate collection action, and initiate enforced collection through litigation. When appropriate, the NRC shall contract for collection services in accordance with the guidance and standards contained in 31 CFR chapter IX, parts 900-904. | |||
| 10:10:1.0.1.1.13.2.76.10 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.33 Collection by administrative offset. | NRC | [67 FR 30320, May 6, 2002, as amended at 79 FR 66602, Nov. 10, 2014] | (a) Application. (1) The NRC may administratively undertake collection by centralized offset on each claim which is liquidated or certain in amount in accordance with the guidance and standards in 31 CFR Chapter IX, parts 900-904 and 5 U.S.C. 5514. (2) This section does not apply to: (i) Debts arising under the Social Security Act, except as provided in 42 U.S.C. 404; (ii) Payments made under the Social Security Act, except as provided for in 31 U.S.C. 3716(c) (see 31 CFR 285.4, Federal Benefit Offset); (iii) Debts arising under, or payments made under, the Internal Revenue Code (see 31 CFR 285.2, Tax Refund Offset) or the tariff laws of the United States; (iv) Offsets against Federal salaries to the extent these standards are inconsistent with regulations published to implement such offsets under 5 U.S.C. 5514 and 31 U.S.C. 3716 (see 5 CFR part 550, subpart K, and 31 CFR 285.7, Federal Salary Offset); (v) Offsets under 31 U.S.C. 3728 against a judgment obtained by a debtor against the United States; (vi) Offsets or recoupments under common law, State law, or Federal statutes specifically prohibiting offsets or recoupments of particular types of debts; or (vii) Offsets in the course of judicial proceedings, including bankruptcy. (3) Unless otherwise provided for by contract or law, debts or payments that are not subject to administrative offset under 31 U.S.C. 3716 may be collected by administrative offset under the common law or their applicable statutory authority. (4) Unless otherwise provided by law, the NRC may not initiate administrative offset of payments under the authority of 31 U.S.C. 3716 to collect a debt more than 10 years after the Government's right to collect the debt first accrued, unless facts material to the Government's right to collect the debt were not known and could not reasonably have been known to the NRC, or collection of “approval” fees has been deferred under 10 CFR part 170. If the collection of “approval” fees has been deferred, the ten-year period begins to run at the e… | |||
| 10:10:1.0.1.1.13.2.76.11 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.35 Payments. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 55 FR 32379, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 63 FR 15743, Apr. 1, 1998; 67 FR 30322, May 6, 2002; 89 FR 51810, June 20, 2024] | (a) Payment in full. The NRC shall make every effort to collect a claim in full before it becomes delinquent. If a claim is paid in one lump sum after it becomes delinquent, the NRC shall impose charges for interest, penalties, and administrative costs as specified in § 15.37. (b) Payment by installment. If a debtor furnishes satisfactory evidence of inability to pay a claim in one lump sum, payment in regular installments may be arranged. Evidence may consist of a financial statement or a signed statement that the debtor's application for a loan to enable the debtor to pay the claim in full was rejected. Except for a claim described in 5 U.S.C. 5514 and codified in 10 CFR part 16, all installment payment arrangements must be in writing and require the payment of interest and administrative charges. (1) Installment note forms may be used. The written installment agreement must contain a provision accelerating the debt payment in the event the debtor defaults. If the debtor's financial statement discloses the ownership of assets which are free and clear of liens or security interests, or assets in which the debtor owns an equity, the debtor may be asked to secure the payment of an installment note by executing a Security Agreement and Financing Statement transferring to the United States a security interest in the asset until the debt is discharged. (2) If the debtor owes more than one debt, the NRC will apply the payment to the various debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case. (c) To whom payment is made. Payment of a debt is to be made payable to the U.S. Nuclear Regulatory Commission. The payments are to be made in U.S. funds using the electronic payment methods accepted at www.Pay.gov. Federal agencies may also make payment by Intra Governmental Payment and Collection (IPAC). Payments should be made to the U.S. Nuclear Regulatory Commission unless payment is— (1) Made pursuant to arrangements with DOJ; (2… | |||
| 10:10:1.0.1.1.13.2.76.12 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.37 Interest, penalties, and administrative costs. | NRC | [55 FR 32380, Aug. 9, 1990, as amended at 67 FR 30322, May 6, 2002; 86 FR 32169, June 16, 2021] | (a) The NRC shall assess interest, penalties, and administrative costs on debts owed to the United States Government in accordance with the guidance provided under the FCCS, 31 CFR 901.9. (b) Before assessing any charges on delinquent debt, the NRC shall mail or hand-deliver a written notice to the debtor explaining its requirements concerning these charges under 31 CFR 901.2 and 901.9, except where these charges are included in a contractual or repayment agreement. (c) Interest begins to accrue from the date on which the initial written demand, advising the debtor of the interest requirements, is first mailed or hand delivered to the debtor unless a different date is specified in a statute, regulation, or contract. (d) The NRC shall assess interest based upon the rate of the current value of funds to the United States Treasury (the Treasury tax and loan account rate) prescribed for the current quarter and published in the Federal Register and the Treasury Financial Manual Bulletins, unless a different rate is prescribed by statute, regulation, or contract. (e) Interest is computed only on the principal of the debt and the interest rate remains fixed for the duration of the indebtedness, unless a debtor defaults on a repayment agreement and seeks to enter into a new agreement. (f) The NRC shall assess against a debtor charges to cover administrative costs incurred as a result of a delinquent debt. Administrative costs may include costs incurred in obtaining a credit report or in using a private debt collector, to the extent they are attributable to the delinquency. (g) The NRC shall assess a penalty charge of 6 percent a year on any portion of a debt that is delinquent for more than 90 days. The charge accrues retroactively to the date that the debt became delinquent. (h) Amounts received by the NRC as partial or installment payments are applied first to outstanding penalty and administrative cost charges, second to accrued interest, and third to outstanding principal. (i) The NRC shall waive collection… | |||
| 10:10:1.0.1.1.13.2.76.13 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.38 Use of credit reports. | NRC | [55 FR 32380, Aug. 9, 1990] | The NRC may institute a credit investigation of the debtor at any time following receipt of knowledge of the debt in order to aid NRC in making appropriate determinations as to: (a) The collection and compromise of a debt; (b) The collection of interest, penalties, and administrative costs; (c) The use of administrative offset; (d) The use of other collection methods; and (e) The likelihood of collecting the debt. | |||
| 10:10:1.0.1.1.13.2.76.14 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.39 Bankruptcy claims. | NRC | [67 FR 30322, May 6, 2002] | When the NRC learns that a bankruptcy petition has been filed with respect to a debtor, before proceeding with further collection action, the NRC will immediately seek legal advice from its Office of the General Counsel concerning the impact of the Bankruptcy Code on any pending or contemplated collection activities. Unless the NRC determines that the automatic stay imposed at the time of filing pursuant to 11 U.S.C. 362 has been lifted or is no longer in effect, collection activity against the debtor will in most cases stop immediately. (a) After seeking legal advice from its Office of the General Counsel, a proof of claim usually will be filed with the bankruptcy court or the Trustee. (b) If the NRC is a secured creditor, it may seek relief from the automatic stay regarding its security, subject to the provisions and requirements of 11 U.S.C. 362. (c) Offset is stayed in most cases by the automatic stay. However, the NRC will seek legal advice from its Office of the General Counsel to determine whether its payments to the debtor and payments of other agencies available for offset may be frozen by the agency until relief from the automatic stay can be obtained from the bankruptcy court. The NRC will seek legal advice from its Office of the General Counsel to determine if recoupment is available. | |||
| 10:10:1.0.1.1.13.3.76.1 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.41 When a claim may be compromised. | NRC | [67 FR 30322, May 6, 2002] | (a) The NRC may compromise a claim not in excess of the monetary limitation if it has not been referred to DOJ for litigation. (b) Unless otherwise provided by law, when the principal balance of a debt, exclusive of interest, penalties, and administrative costs, exceeds $100,000 or any higher amount authorized by the Attorney General, the authority to accept the compromise rests with the DOJ. The NRC will evaluate the compromise offer, using the factors set forth in this part. If an offer to compromise any debt in excess of $100,000 is acceptable to the NRC, the NRC shall refer the debt to the Civil Division or other appropriate litigating division in the DOJ using a CCLR. The referral must include appropriate financial information and a recommendation for the acceptance of the compromise offer. DOJ approval is not required if the compromise offer is rejected by NRC. | |||
| 10:10:1.0.1.1.13.3.76.2 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.43 Reasons for compromising a claim. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32380, Aug. 9, 1990; 67 FR 30322, May 6, 2002] | A claim may be compromised for one or more of the reasons set forth below: (a) The full amount cannot be collected because: (1) The debtor is unable to pay the full amount within a reasonable time; or (2) The debtor refuses to pay the claim in full and the Government is unable to enforce collection in full within a reasonable time by enforced collection proceedings. (b) There is a real doubt concerning the Government's ability to prove its case in Court for the full amount claimed, either because of the legal issues involved or a bona fide dispute as to the facts. (c) The cost of collecting the claim does not justify the enforced collection of the full amount. The NRC shall apply this reason for compromise in accordance with the guidance in 31 CFR 902.2. (d) The NRC shall determine the debtor's inability to pay, the Government's ability to enforce collection, and the amounts that are acceptable in compromise in accordance with the FCCS, 31 CFR part 902. (e) Compromises payable in installments are discouraged, but, if necessary, must be in the form of a legally enforceable agreement for the reinstatement of the prior indebtedness less sums paid thereon. The agreement also must provide that in the event of default— (1) The entire balance of the debt becomes immediately due and payable; and (2) The Government has the right to enforce any security interest. | |||
| 10:10:1.0.1.1.13.3.76.3 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.45 Consideration of tax consequences to the Government. | NRC | [67 FR 30322, May 6, 2002] | (a) The NRC may accept a percentage of a debtor's profits or stock in a debtor corporation in compromise of a claim. In negotiating a compromise with a business concern, the NRC should consider requiring a waiver of tax-loss-carry-forward and tax-loss-carry-back rights of the debtor. For information on reporting requirements, see § 15.60. (b) When two or more debtors are jointly and severally liable, the NRC will pursue collection activity against all debtors, as appropriate. The NRC will not attempt to allocate the burden of payment between the debtors but will proceed to liquidate the indebtedness as quickly as possible. The NRC will ensure that a compromise agreement with one debtor does not release the NRC's claim against the remaining debtors. The amount of a compromise with one debtor shall not be considered a precedent or binding in determining the amount that will be required from other debtors jointly and severally liable on the claim. | |||
| 10:10:1.0.1.1.13.3.76.4 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.47 Finality of a compromise. | NRC | An offer of compromise must be in writing and signed by the debtor. An offer of compromise which is accepted by the NRC is final and conclusive on the debtor and on all officials, agencies, and courts of the United States, unless obtained by fraud, misrepresentation, the presentation of a false claim, or mutual mistake of fact. | ||||
| 10:10:1.0.1.1.13.3.76.5 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.49 Mutual releases of the debtor and the Government. | NRC | [67 FR 30322, May 6, 2002] | (a) In all appropriate instances, a compromise that is accepted by NRC should be implemented by means of a mutual release. (1) The debtor is released from further non-tax liability on the compromised debt in consideration of payment in full of the compromised amount. (2) The Government and its officials, past and present, are released and discharged from any and all claims and causes of action arising from the same transaction held by the debtor. (b) If a mutual release is not executed when a debt is compromised, unless prohibited by law, the debtor is still deemed to have waived any and all claims and causes of action against the Government and its officials related to the transaction giving rise to the compromised debt. | |||
| 10:10:1.0.1.1.13.4.76.1 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.51 When collection action may be suspended or terminated. | NRC | [67 FR 30323, May 6, 2002] | The NRC may suspend or terminate collection action on a claim not in excess of the monetary limitation of $100,000 or such other amount as the Attorney General may direct, exclusive of interest, penalties, and administrative costs, after deducting the amount of partial payments or collections, if any of the debt has not been referred to the DOJ for litigation. If, after deducting the amount of any partial payments or collections, the principal amount of a debt exceeds $100,000, or such other amount as the Attorney General may direct, exclusive of interest, penalties, and administrative costs, the authority to suspend or terminate rests solely with the DOJ. If the NRC believes that suspension or termination of any debt in excess of $100,000 may be appropriate, the NRC shall refer the debt to the Civil Division or other appropriate litigating division in the DOJ, using the CCLR. The referral should specify the reasons for the NRC's recommendation. If, prior to referral to the DOJ, the NRC determines that a debt is plainly erroneous or clearly without legal merit, the NRC may terminate collection activity, regardless of the amount involved, without obtaining DOJ concurrence. | |||
| 10:10:1.0.1.1.13.4.76.2 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.53 Reasons for suspending collection action. | NRC | [67 FR 30323, May 6, 2002, as amended at 86 FR 32169, June 16, 2021] | The NRC may suspend collection activity when: (a) The NRC cannot locate the debtor; (b) The debtor's financial condition is not expected to improve; or (c) The debtor has requested a review of the debt or has disputed the debt. (d) Based on the current financial condition of the debtor, the NRC may suspend collection activity on a debt when the debtor's future prospects justify retention of the debt for periodic review and collection activity and: (1) The applicable statute of limitations has not expired; or (2) Future collection can be effected by administrative offset, notwithstanding the expiration of the applicable statute of limitations for litigation of claims, with due regard to the 10-year limitation for administrative offset prescribed by 31 U.S.C. 3716(e)(1); or (3) The debtor agrees to pay interest on the amount of the debt on which collection will be suspended, and such suspension is likely to enhance the debtor's ability to pay the full amount of the principal of the debt with interest at a later date. (e)(1) The NRC shall suspend collection activity during the time required for consideration of the debtor's request for review or dispute of the debt, if the statute under which the request is sought prohibits the NRC from collecting the debt during that time. (2) If the statute under which the request is sought does not prohibit collection activity pending consideration of the request, the NRC may use discretion, on a case-by-case basis, to suspend collection. Further, the NRC ordinarily should suspend collection action upon a request for review or dispute of the debt, if the NRC is prohibited by statute or regulation from issuing a refund of amounts collected prior to NRC consideration of the debtor's request. However, the NRC should not suspend collection when the NRC determines that the request for review or dispute of the debt is frivolous or was made primarily to delay collection. (f) When the NRC learns that a bankruptcy petition has been filed with respect to a debtor, in most cases,… | |||
| 10:10:1.0.1.1.13.4.76.3 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.55 Reasons for terminating collection action. | NRC | [67 FR 30323, May 6, 2002] | The NRC may terminate collection activity when: (a) The NRC is unable to collect any substantial amount through its own efforts or through the efforts of others; (b) The NRC is unable to locate the debtor; (c) Costs of collection are anticipated to exceed the amount recoverable, (d) The debt is legally without merit or enforcement of the debt is barred by any applicable statute of limitations; (e) The debt cannot be substantiated; or (f) The debt against the debtor has been discharged in bankruptcy. | |||
| 10:10:1.0.1.1.13.4.76.4 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.57 Termination of collection action. | NRC | [67 FR 30323, May 6, 2002] | (a) Before terminating collection activity, the NRC should have pursued all appropriate means of collection and determined, based upon the results of the collection activity, that the debt is uncollectible. Termination of collection activity ceases active collection of the debt. The termination of collection activity does not preclude the NRC from retaining a record of the account for purposes of: (1) Selling the debt, if the Treasury determines that such sale is in the best interests of the United States; (2) Pursuing collection at a subsequent date in the event there is a change in the debtor's status or a new collection tool becomes available; (3) Offsetting against future income or assets not available at the time of termination of collection activity; or (4) Screening future applicants for prior indebtedness. (b) Generally, the NRC will terminate collection activity on a debt that has been discharged in bankruptcy, regardless of the amount. However, the NRC may continue collection activity, subject to the provisions of the Bankruptcy Code, for any payments provided under a plan of reorganization. | |||
| 10:10:1.0.1.1.13.4.76.5 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.59 Exception to termination. | NRC | [67 FR 30323, May 6, 2002] | When a significant enforcement policy is involved, or recovery of a judgment is a prerequisite to the imposition of administrative sanctions, the NRC may refer debts for litigation, although termination of collection activity may be appropriate. | |||
| 10:10:1.0.1.1.13.4.76.6 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.60 Discharge of indebtedness; reporting requirements. | NRC | [67 FR 30323, May 6, 2002] | (a) Before discharging a delinquent debt (also referred to as a close out of the debt), the NRC shall take all appropriate steps to collect the debt in accordance with 31 U.S.C. 3711(g), including, as applicable, administrative offset; tax refund offset; Federal salary offset; referral to Treasury, Treasury-designated debt collection centers, or private collection contractors; credit bureau reporting; wage garnishment; litigation; and foreclosure. Discharge of indebtedness is distinct from termination or suspension of collection activity under 10 CFR 15.55 and 15.57 and is governed by the Internal Revenue Code. When collection action on a debt is suspended or terminated, the debt remains delinquent, and further collection action may be pursued at a later date. When the NRC discharges a debt in full or in part, further collection action is prohibited. Therefore, the NRC will make the determination that collection action is no longer warranted before discharging a debt. Before discharging a debt, the NRC must terminate debt collection action. (b) Section 3711(i), title 31, United States Code, requires agencies to sell a delinquent nontax debt upon termination of collection action if Treasury determines such a sale is in the best interests of the United States. Since the discharge of a debt precludes any further collection action (including the sale of a delinquent debt), the NRC may not discharge a debt until the requirements of 31 U.S.C. 3711(i) have been met. (c) Upon discharge of an indebtedness, the NRC shall report the discharge to the IRS in accordance with the requirements of 26 U.S.C. 6050P and 26 CFR 1.6050P-1. The NRC may request Treasury or a Treasury-designated debt collection center to file a discharge report to the IRS on the NRC's behalf. (d) When discharging a debt, the NRC shall request that litigation counsel release any liens of record securing the debt. | |||
| 10:10:1.0.1.1.13.5.76.1 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.61 Prompt referral. | NRC | [67 FR 30324, May 6, 2002] | (a) The NRC shall promptly refer debts that are subject to aggressive collection activity (as described in subpart B of this part) and that cannot be compromised, or debts on which collection activity cannot be suspended or terminated, to DOJ for litigation. Debts for which the principal amount exceeds $1,000,000, or such other amount as the Attorney General may direct, exclusive of interest and penalties, must be referred to the Civil Division or other division responsible for litigating such debts at DOJ, Washington, DC. Debts for which the principal amount is $1,000,000 or less, or such other amount as the Attorney General may direct, exclusive of interest or penalties, must be referred to the DOJ's Nationwide Central Intake Facility, as required by the CCLR instructions. Debts will be referred as early as possible, consistent with the NRC's aggressive collection activity and well within the one year of the NRC's final determination of the fact and the amount of the debt. (b) DOJ has exclusive jurisdiction over the debts referred to in paragraph (a) of this section. The NRC shall terminate the use of any administrative collection activities to collect a debt when the debt is referred to DOJ. The NRC shall advise the DOJ of the collection activities it used and the results. The NRC shall refrain from having any contact with the debtor and shall direct all inquiries to DOJ. The NRC shall immediately notify DOJ of any payments credited to the debtor's account after the account has been referred to DOJ. DOJ shall notify NRC in a timely manner of any payments it receives from the debtor. | |||
| 10:10:1.0.1.1.13.5.76.2 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.65 Referral of a compromise offer. | NRC | [67 FR 30324, May 6, 2002] | The NRC may refer a debtor's firm written offer of compromise, which is substantial in amount, to the Civil Division or other appropriate litigating division in DOJ using a CCLR accompanied by supporting data and particulars concerning the debt. | |||
| 10:10:1.0.1.1.13.5.76.3 | 10 | Energy | 15 | PART 15—DEBT COLLECTION PROCEDURES | § 15.67 Referral to the Department of Justice. | NRC | [67 FR 30324, May 6, 2002] | (a) Unless excepted by DOJ, the NRC shall complete the CCLR accompanied by a Certificate of Indebtedness, to refer all administratively uncollectible claims to the DOJ for litigation. (b) The NRC shall indicate the actions it wishes DOJ to take regarding the referred claim on the CCLR. (c) Before referring a debt to DOJ for litigation, the NRC shall notify each person determined to be liable for the debt that, unless the debt can be collected administratively, litigation may be initiated. This notification must comply with Executive Order 12988 (3 CFR, 1996 Comp., pp 157-163) and may be given as part of a demand letter or as a separate document. (d) The NRC shall preserve all files and records that DOJ may need to prove the claim in court. (e) The NRC may ordinarily not refer for litigation claims of less than $2,500, exclusive of interest, penalties, and administrative charges, or such other amount as the Attorney General shall from time to time prescribe. (f) The NRC may not refer claims of less than the minimum amount unless: (1) Litigation to collect a smaller claim is important to ensure compliance with NRC's policies and programs; (2) The claim is being referred solely to secure a judgment against the debtor, which will be filed as a lien against the debtor's property under 28 U.S.C. 3201 and returned to the NRC for enforcement, or (3) The debtor has the clear ability to pay the claim, and the Government effectively can enforce payment, with due regard for the exemptions available to the debtor under state and Federal law and the judicial remedies available to the Government. | |||
| 10:10:1.0.1.1.14.0.76.1 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.1 Purpose and scope. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 63 FR 15743, Apr. 1, 1998; 67 FR 57507, Sept. 11, 2002] | (a) This part provides procedures for the collection by administrative offset of a Federal employee's salary without his/her consent to satisfy certain debts owed to the Federal Government. This part applies to all Federal employees who owe debts to the Nuclear Regulatory Commission (NRC) and to current employees of the NRC who owe debts to other Federal agencies. This part does not apply when the employee consents to recovery from his/her current pay account. (b) These procedures do not apply to debts or claims arising under: (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et seq.; (2) The tariff laws of the United States; or (3) Any case where a collection of a debt by salary offset is explicitly provided for or prohibited by another statute. (c) These procedures do not apply to any adjustment to pay arising out of an employee's selection of coverage or a change in coverage under a Federal benefits program requiring periodic deductions from pay if the amount to be recovered was accumulated over four pay periods or less. (d) These procedures do not preclude the compromise, suspension, or termination of collection action where appropriate under the standards implementing the revised Federal Claims Collection Standards (FCCS), 31 U.S.C. 3711 et seq., 31 CFR chapter IX, parts 900 through 904. (e) This part does not preclude an employee from requesting waiver of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716 or in any way questioning the amount or validity of the debt by submitting a subsequent claim to the NRC. This part does not preclude an employee from requesting a waiver pursuant to other statutory provisions applicable to the particular debt being collected. (f) The NRC is not limited to collection remedies contained in the revised FCCS. The FCCS is not intended to impair common law remedies. | |||
| 10:10:1.0.1.1.14.0.76.2 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.3 Definitions. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57507, Sept. 11, 2002] | For the purposes of this part, the following definitions apply: Administrative charges are those amounts assessed by NRC to cover the costs of processing and handling delinquent debts due the Government. Administrative offset means withholding money payable by the United States Government to, or held by the Government for, a person to satisfy a debt the person owes the United States Government. Agency means any agency of the executive, legislative, and judicial branches of the Federal Government, including Government corporations. Centralized salary offset computer matching describes the computerized process used to match delinquent debt records with Federal salary payment records when the purpose of the match is to identify Federal employees who owe debt to the Federal Government. Creditor agency means the agency to which the debt is owed, including a debt collection center when acting in behalf of a creditor agency in matters pertaining to the collection of a debt. Debt and claim are used synonymously to refer to an amount of money, funds, or property that has been determined by an agency official to be owed to the United States from any person, organization, or entity, except another Federal agency. For the purposes of administrative offset under 31 U.S.C. 3716, the terms debt and claim include an amount of money, funds, or property owed by a person to a State (including past-due support being enforced by a State), the District of Columbia, American Samoa, Guam, the United States Virgin Islands, the Commonwealth of the Northern Mariana Islands, or the Commonwealth of Puerto Rico. Debt collection center means the Department of the Treasury or other Government agency or division designated by the Secretary of the Treasury with authority to collect debts on behalf of creditor agencies. Delinquent debt record refers to the information about a debt that an agency submits to Treasury when the agency refers the debt for collection by offset in accordance with the provision of 31 U.S.C. 3716. Di… | |||
| 10:10:1.0.1.1.14.0.76.3 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.5 Application. | NRC | The regulations in this part are to be followed when: (a) The NRC is owed a debt by an individual currently employed by another Federal agency; (b) The NRC is owed a debt by an individual who is a current employee of the NRC; or (c) The NRC employs an individual who owes a debt to another Federal agency. | ||||
| 10:10:1.0.1.1.14.0.76.4 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.7 Notice requirements. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57508, Sept. 11, 2002] | (a) If the NRC is the creditor agency, deductions will not be made unless the NRC provides the employee with a signed written notice of the debt at least 30 days before salary offset commences. The notice will be delivered in person or by certified or registered mail, return receipt requested, with receipt returned as proof of delivery. (b) The written notice must contain: (1) A statement that the debt is owed and an explanation of its origin, nature, and amount; (2) The NRC's intention to collect the debt by deducting from the employee's current disposable pay account; (3) The amount and frequency of the intended deduction (stated as a fixed dollar amount or as a percentage of pay, not to exceed 15 percent of disposable pay) and the intention to continue the deduction until the debt is paid in full or otherwise resolved. (4) An explanation of interest, penalties, and administrative charges, including a statement that these charges will be assessed unless excused in accordance with the Federal Claims Collection Standards at 4 CFR parts 101-105; (5) The employee's right to inspect and copy government records pertaining to the debt or, if the employee or his or her representative cannot personally inspect the records, to request and receive a copy of these records; (6) If not previously provided, the opportunity (under terms agreeable to the NRC) to establish a schedule for the voluntary repayment of the debt or to enter into a written agreement to establish a schedule for repayment of the debt in lieu of offset (31 CFR Chapter IX, 901.2). The agreement must be in writing, signed by the employee and the NRC, and documented in the NRC's files. (7) The employee's right to a hearing conducted by an official arranged for by the NRC (an administrative law judge, or alternatively, a hearing official not under the control of the head of the agency) if a petition is filed as prescribed in § 16.9; (8) The methods and time period for petitioning for hearings; (9) A statement that the timely filing of a petition for… | |||
| 10:10:1.0.1.1.14.0.76.5 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.8 Information collection requirements: OMB approval. | NRC | [67 FR 57508, Sept. 11, 2002] | This part contains no information collection requirements, and, therefore, is not subject to the requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et. seq. ). | |||
| 10:10:1.0.1.1.14.0.76.6 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.9 Hearing. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57508, Sept. 11, 2002] | (a) Request for hearing. (1) An employee shall file a petition for a hearing in accordance with the instructions outlined in the creditor agency's notice of offset. (2) If the NRC is the creditor agency, a hearing may be requested by filing a written petition stating why the employee disputes the existence or amount of the debt or the repayment schedule if it was not established by written agreement between the employee and the NRC. The employee shall sign the petition and fully identify and explain with reasonable specificity all the facts, evidence, and witnesses, if any, which the employee believes support his or her position. The petition for a hearing must be received no later than fifteen (15) calendar days after receipt of the notice of offset unless the employee can show that the delay in meeting the deadline date was because of circumstances beyond his or her control or because of failure to receive notice of the time limit (unless otherwise aware of it). (b) Hearing procedures. (1) The hearing will be presided over by a hearing official arranged by NRC (an administrative law judge or, alternatively, a hearing official not under the supervision or control of the head of the agency.) (2) The hearing must conform to procedures contained in the revised FCCS, 31 CFR Chapter IX, 901.3(e). The burden is on the employee to demonstrate either that the existence or the amount of the debt is in error or that the terms of the repayment schedule would result in undue financial hardship or would be against equity and good conscience. (3) An employee is entitled to representation of his or her choice at any stage of the proceeding. NRC attorneys may not be provided as representatives for the debtor. The NRC will not compensate the debtor for representation expenses, including hourly fees for attorneys, travel expenses, and costs for reproducing documents. | |||
| 10:10:1.0.1.1.14.0.76.7 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.11 Written decision. | NRC | (a) The hearing official will issue a written opinion no later than 60 days after the hearing. (b) The written opinion must include: (1) A statement of the facts presented to demonstrate the nature and origin of the alleged debt; (2) The hearing official's analysis, findings, and conclusions; (3) The amount and validity of the debt; and (4) The repayment schedule, where appropriate. | ||||
| 10:10:1.0.1.1.14.0.76.8 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.13 Procedures for centralized administrative offset. | NRC | [67 FR 57508, Sept. 11, 2002] | (a) The NRC must notify Treasury of all debts that are delinquent as defined in the FCCS (over 180 days old) so that recovery may be made by centralized administrative offset. This includes those debts the NRC seeks to recover from the pay account of an employee of another agency via salary offset. The Treasury and other Federal disbursing officials will match payments, including Federal salary payments, against such debts. When a match occurs, and all the requirements for offset have been met, the payments will be offset to collect the debt. Prior to offset of the pay account of an employee, the NRC must comply with the requirements of 5 U.S.C. 5514, 5 CFR part 550, and 10 CFR part 15. Procedures for notifying Treasury of a debt for purposes of collection by centralized administrative offset are contained in 31 CFR part 285 and 10 CFR 15.33. Procedures for internal salary offset are contained in § 16.15 of this chapter. (b) When the NRC determines that an employee of another Federal agency owes a delinquent debt to the NRC, the NRC will, as appropriate: (1) Arrange for a hearing upon the proper petitioning by the employee; (2) Provide the Federal employee with a notice and an opportunity to dispute the debt as contained in 5 U.S.C. 5514 and 10 CFR 15.26. (3) Submit the debt to Treasury for centralized administrative offset and certify in writing that the debtor has been afforded the legally required due process notification. (4) If collection must be made in installments, the NRC must advise the paying agency of the amount or percentage of disposable pay to be collected in each installment. (c) Offset amount. (1) The amount offset from a salary payment under this section shall be the lesser of: (i) The amount of the debt, including any interest, penalties, and administrative costs; or (ii) An amount up to 15 percent of the debtor's disposable pay. (2) Alternatively, the amount offset may be an amount agreed upon, in writing, by the debtor and the NRC. (3) Offsets will continue until the debt, includi… | |||
| 10:10:1.0.1.1.14.0.76.9 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.15 Procedures for internal salary offset. | NRC | (a) Deductions to liquidate an employee's debt will be by the method and in the amount stated in the NRC's notice of intention to offset as provided in § 16.7. Debts will be collected in one lump sum where possible. If the employee is financially unable to pay in one lump sum, collection must be made in installments. (b) Debts will be collected by deduction at officially established pay intervals from an employee's current pay account unless alternative arrangements for repayment are made. (c) Installment deductions will be made over a period not greater than the anticipated period of employment. The size of installment deductions must bear a reasonable relationship to the size of the debt and the employee's ability to pay. The deduction for the pay intervals for any period may not exceed 15% of disposable pay unless the employee has agreed in writing to a deduction of a greater amount. (d) Offset against any subsequent payment due an employee who retires or resigns or whose employment or period of active duty ends before collection of the debt is completed is provided for in accordance with 31 U.S.C. 3716. These payments include but are not limited to final salary payment or lump-sum leave due the employee from the paying agency as of the date of separation to the extent necessary to liquidate the debt. | ||||
| 10:10:1.0.1.1.14.0.76.10 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.17 Refunds. | NRC | (a) The NRC will refund promptly any amounts deducted to satisfy debts owed to the NRC when the debt is waived, found not owed to the NRC, or when directed by an administrative or Judicial order. (b) The creditor agency will promptly return any amounts deducted by NRC to satisfy debts owed to the creditor agency when the debt is waived, found not owed, or when directed by an administrative or judicial order. (c) Unless required or permitted by law or contract, refunds under this section may not bear interest. | ||||
| 10:10:1.0.1.1.14.0.76.11 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.19 Statute of limitations. | NRC | If a debt has been outstanding for more than 10 years after the agency's right to collect the debt first accrued, the agency may not collect by salary offset unless facts material to the Government's right to collect were not known and could not reasonably have been known by the NRC official or officials who were charged with the responsibility for discovery and collection of the debts. | ||||
| 10:10:1.0.1.1.14.0.76.12 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.21 Non-waiver of rights. | NRC | An employee's involuntary payment of all or any part of a debt collected under these regulations will not be construed as a waiver of any rights that the employee may have under 5 U.S.C. 5514 or any other provision of contract or law, unless there are statutes or contract(s) to the contrary. | ||||
| 10:10:1.0.1.1.14.0.76.13 | 10 | Energy | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.23 Interest, penalties, and administrative charges. | NRC | [67 FR 57509, Sept. 11, 2002] | Charges may be assessed for interest, penalties, and administrative charges in accordance with the FCCS, 31 CFR Chapter IX, 901.9. | |||
| 10:10:1.0.1.1.15.0.76.1 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.1 Purpose. | NRC | [72 FR 49483, Aug. 28, 2007] | The regulations in this part establish requirements for notices, instructions, and reports by licensees and regulated entities to individuals participating in NRC-licensed and regulated activities and options available to these individuals in connection with Commission inspections of licensees and regulated entities, and to ascertain compliance with the provisions of the Atomic Energy Act of 1954, as amended, titles II and IV of the Energy Reorganization Act of 1974, and regulations, orders, and licenses thereunder. The regulations in this part also establish the rights and responsibilities of the Commission and individuals during interviews compelled by subpoena as part of agency inspections or investigations under Section 161c of the Atomic Energy Act of 1954, as amended, on any matter within the Commission's jurisdiction. | |||
| 10:10:1.0.1.1.15.0.76.2 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.2 Scope. | NRC | [72 FR 49484, Aug. 28, 2007] | (a) The regulations in this part apply to: (1) All persons who receive, possess, use, or transfer material licensed by the NRC under the regulations in parts 30 through 36, 39, 40, 60, 61, 63, 70, or 72 of this chapter, including persons licensed to operate a production or utilization facility under parts 50 or 52 of this chapter, persons licensed to possess power reactor spent fuel in an independent spent fuel storage installation (ISFSI) under part 72 of this chapter, and in accordance with 10 CFR 76.60 to persons required to obtain a certificate of compliance or an approved compliance plan under part 76 of this chapter; (2) All applicants for and holders of licenses (including construction permits and early site permits) under parts 50, 52, and 54 of this chapter; (3) All applicants for and holders of a standard design approval under subpart E of part 52 of this chapter; and (4) All applicants for a standard design certification under subpart B of part 52 of this chapter, and those (former) applicants whose designs have been certified under that subpart. (b) The regulations in this part regarding interviews of individuals under subpoena apply to all investigations and inspections within the jurisdiction of the NRC other than those involving NRC employees or NRC contractors. The regulations in this part do not apply to subpoenas issued under 10 CFR 2.702. | |||
| 10:10:1.0.1.1.15.0.76.3 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.3 Definitions. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 53 FR 31680, Aug. 19, 1988; 55 FR 247, Jan. 4, 1990; 56 FR 23470, May 21, 1991; 56 FR 65948, Dec. 19, 1991; 57 FR 61785, Dec. 29, 1992; 58 FR 7736, Feb. 9, 1993; 66 FR 55789, Nov. 2, 2001; 69 FR 76600, Dec. 22, 2004; 72 FR 49484, Aug. 28, 2007] | As used in this part: Act means the Atomic Energy Act of 1954, (68 Stat. 919) including any amendments thereto. Commission means the United States Nuclear Regulatory Commission. Exclusion means the removal of counsel representing multiple interests from an interview whenever the NRC official conducting the interview has concrete evidence that the presence of the counsel would obstruct and impede the particular investigation or inspection. License means a license issued under the regulations in parts 30 through 36, 39, 40, 60, 61, 63, 70, or 72 of this chapter, including licenses to manufacture, construct and/or operate a production or utilization facility under parts 50, 52, or 54 of this chapter. Licensee means the holder of such a license. Regulated activities means any activity carried on which is under the jurisdiction of the NRC under the Atomic Energy Act of 1954, as amended, or any title of the Energy Reorganization Act of 1972, as amended. Regulated entities means any individual, person, organization, or corporation that is subject to the regulatory jurisdiction of the NRC, including (but not limited to) an applicant for or holder of a standard design approval under subpart E of part 52 of this chapter or a standard design certification under subpart B of part 52 of this chapter. Restricted area means an area, access to which is limited by the licensee for the purpose of protecting individuals against undue risks from exposure to radiation and radioactive materials. Restricted area does not include areas used as residential quarters, but separate rooms in a residential building may be set apart as a restricted area. Sequestration means the separation or isolation of witnesses and their attorneys from other witnesses and their attorneys during an interview conducted as part of an investigation, inspection, or other inquiry. Worker means an individual engaged in activities licensed or regulated by the Commission and controlled by a licensee or regulated entity, but does not include the l… | |||
| 10:10:1.0.1.1.15.0.76.4 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.4 Interpretations. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 90 FR 55627, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.15.0.76.5 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.5 Communications. | NRC | [67 FR 67098, Nov. 4, 2002] | Except where otherwise specified in this part, all communications and reports concerning the regulations in this part should be addressed to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in Appendix D of part 20 of this chapter. Communications, reports, and applications may be delivered in person at the Commission's offices at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland. | |||
| 10:10:1.0.1.1.15.0.76.6 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.8 Information collection requirements: OMB approval. | NRC | [62 FR 52185, Oct. 6, 1997, as amended at 85 FR 65661, Oct. 16, 2020] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0044. (b) The approved information collection requirements contained in this part appear in §§ 19.12, 19.13, 19.16, and 19.31. | |||
| 10:10:1.0.1.1.15.0.76.7 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.11 Posting of notices to workers. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 47 FR 30454, July 14, 1982; 58 FR 52408, Oct. 8, 1993; 60 FR 24551, May 9, 1995; 61 FR 6764, Feb. 22, 1996; 62 FR 48166, Sept. 15, 1997; 68 FR 58801, Oct. 10, 2003; 72 FR 49484, Aug. 28, 2007; 73 FR 30457, May 28, 2008; 79 FR 66602, Nov. 10, 2014] | (a) Each licensee (except for a holder of an early site permit under subpart A of part 52 of this chapter, or a holder of a manufacturing license under subpart F of part 52 of this chapter) shall post current copies of the following documents: (1) The regulations in this part and in part 20 of this chapter; (2) The license, license conditions, or documents incorporated into a license by reference, and amendments thereto; (3) The operating procedures applicable to licensed activities; (4) Any notice of violation involving radiological working conditions, proposed imposition of civil penalty, or order issued pursuant to subpart B of part 2 of this chapter, and any response from the licensee. (b) Each applicant for and holder of a standard design approval under subpart E of part 52 of this chapter, each applicant for an early site permit under subpart A of part 52 of this chapter, each applicant for a standard design certification under subpart B of part 52 of this chapter, and each applicant for and holder of a manufacturing license under subpart F of part 52 of this chapter shall post: (1) The regulations in this part; (2) The operating procedures applicable to the activities regulated by the NRC which are being conducted by the applicant or holder; and (3) Any notice of violation, proposed imposition of civil penalty, or order issued under subpart B of part 2 of this chapter, and any response from the applicant or holder. (c) [Reserved] (d) If posting of a document specified in paragraphs (a)(1), (2) or (3), or (b)(1) or (2) of this section is not practicable, the licensee or regulated entity may post a notice which describes the document and states where it may be examined. (e)(1) Each licensee, each applicant for a specific license, each applicant for or holder of a standard design approval under subpart E of part 52 of this chapter, each applicant for an early site permit under subpart A of part 52 of this chapter, and each applicant for a standard design certification under subpart B of part 52 of … | |||
| 10:10:1.0.1.1.15.0.76.8 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.12 Instruction to workers. | NRC | [60 FR 36043, July 13, 1995] | (a) All individuals who in the course of employment are likely to receive in a year an occupational dose in excess of 100 mrem (1 mSv) shall be— (1) Kept informed of the storage, transfer, or use of radiation and/or radioactive material; (2) Instructed in the health protection problems associated with exposure to radiation and/or radioactive material, in precautions or procedures to minimize exposure, and in the purposes and functions of protective devices employed; (3) Instructed in, and required to observe, to the extent within the workers control, the applicable provisions of Commission regulations and licenses for the protection of personnel from exposure to radiation and/or radioactive material; (4) Instructed of their responsibility to report promptly to the licensee any condition which may lead to or cause a violation of Commission regulations and licenses or unnecessary exposure to radiation and/or radioactive material; (5) Instructed in the appropriate response to warnings made in the event of any unusual occurrence or malfunction that may involve exposure to radiation and/or radioactive material; and (6) Advised as to the radiation exposure reports which workers may request pursuant to § 19.13. (b) In determining those individuals subject to the requirements of paragraph (a) of this section, licensees must take into consideration assigned activities during normal and abnormal situations involving exposure to radiation and/or radioactive material which can reasonably be expected to occur during the life of a licensed facility. The extent of these instructions must be commensurate with potential radiological health protection problems present in the work place. | |||
| 10:10:1.0.1.1.15.0.76.9 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.13 Notifications and reports to individuals. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 44 FR 32352, June 6, 1979; 58 FR 67658, Dec. 22, 1993; 59 FR 41642, Aug. 15, 1994; 72 FR 68058, Dec. 4, 2007] | (a) Radiation exposure data for an individual, and the results of any measurements, analyses, and calculations of radioactive material deposited or retained in the body of an individual, shall be reported to the individual as specified in this section. The information reported shall include data and results obtained pursuant to Commission regulations, orders or license conditions, as shown in records maintained by the licensee pursuant to Commission regulations. Each notification and report shall: be in writing; include appropriate identifying data such as the name of the licensee, the name of the individual, the individual's social security number; include the individual's exposure information; and contain the following statement: This report is furnished to you under the provisions of the Nuclear Regulatory Commission regulation 10 CFR part 19. You should preserve this report for further reference. This report is furnished to you under the provisions of the Nuclear Regulatory Commission regulation 10 CFR part 19. You should preserve this report for further reference. (b) Each licensee shall make dose information available to workers as shown in records maintained by the licensee under the provisions of 10 CFR 20.2106. The licensee shall provide an annual report to each individual monitored under 10 CFR 20.1502 of the dose received in that monitoring year if: (1) The individual's occupational dose exceeds 1 mSv (100 mrem) TEDE or 1 mSv (100 mrem) to any individual organ or tissue; or (2) The individual requests his or her annual dose report. (c)(1) At the request of a worker formerly engaged in licensed activities controlled by the licensee, each licensee shall furnish to the worker a report of the worker's exposure to radiation and/or to radioactive material: (i) As shown in records maintained by the licensee pursuant to § 20.2106 for each year the worker was required to be monitored under the provisions of § 20.1502; and (ii) For each year the worker was required to be monitored under the monitoring re… | |||
| 10:10:1.0.1.1.15.0.76.10 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.14 Presence of representatives of licensees and regulated entities, and workers during inspections. | NRC | [72 FR 49484, Aug. 28, 2007, as amended at 76 FR 72084, Nov. 22, 2011] | (a) Each licensee, applicant for a license, applicant for or holder of a standard design approval under subpart E of part 52 of this chapter, applicant for an early site permit under subpart A of part 52 of this chapter, and applicant for a standard design certification under subpart B of part 52 of this chapter shall afford to the Commission at all reasonable times opportunity to inspect materials, activities, facilities, premises, and records under the regulations in this chapter. (b) During an inspection, Commission inspectors may consult privately with workers as specified in § 19.15. The licensee, regulated entity, or the licensee's or regulated entity's representative may accompany Commission inspectors during other phases of an inspection. (c) If, at the time of inspection, an individual has been authorized by the workers to represent them during Commission inspections, the licensee or regulated entity shall notify the inspectors of such authorization and shall give the workers' representative an opportunity to accompany the inspectors during the inspection of physical working conditions. (d) Each workers' representative shall be routinely engaged in NRC-licensed or regulated activities under control of the licensee or regulated entity, and shall have received instructions as specified in § 19.12. (e) Different representatives of licensees or regulated entities, and workers may accompany the inspectors during different phases of an inspection if there is no resulting interference with the conduct of the inspection. However, only one workers' representative at a time may accompany the inspectors. (f) With the approval of the licensee or regulated entity, and the workers' representative an individual who is not routinely engaged in licensed or regulated activities under control of the license or regulated entity (for example, a consultant to the licensee, the regulated entity, or the workers' representative), shall be afforded the opportunity to accompany Commission inspectors during the inspection of p… | |||
| 10:10:1.0.1.1.15.0.76.11 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.15 Consultation with workers during inspections. | NRC | (a) Commission inspectors may consult privately with workers concerning matters of occupational radiation protection and other matters related to applicable provisions of Commission regulations and licenses to the extent the inspectors deem necessary for the conduct of an effective and thorough inspection. (b) During the course of an inspection any worker may bring privately to the attention of the inspectors, either orally or in writing, any past or present condition which he has reason to believe may have contributed to or caused any violation of the act, the regulations in this chapter, or license condition, or any unnecessary exposure of an individual to radiation from licensed radioactive material under the licensee's control. Any such notice in writing shall comply with the requirements of § 19.16(a). (c) The provisions of paragraph (b) of this section shall not be interpreted as authorization to disregard instructions pursuant to § 19.12. | ||||
| 10:10:1.0.1.1.15.0.76.12 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.16 Requests by workers for inspections. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 47 FR 30454, July 14, 1982; 52 FR 31610, Aug. 21, 1987] | (a) Any worker or representative of workers who believes that a violation of the Act, the regulations in this chapter, or license conditions exists or has occurred in license activities with regard to radiological working conditions in which the worker is engaged, may request an inspection by giving notice of the alleged violation to the Administrator of the appropriate Commission Regional Office, or to Commission inspectors. Any such notice shall be in writing, shall set forth the specific grounds for the notice, and shall be signed by the worker or representative of workers. A copy shall be provided the licensee by the Regional Office Administrator, or the inspector no later than at the time of inspection except that, upon the request of the worker giving such notice, his name and the name of individuals referred to therein shall not appear in such copy or on any record published, released or made available by the Commission, except for good cause shown. (b) If, upon receipt of such notice, the Regional Office Administrator determines that the complaint meets the requirements set forth in paragraph (a) of this section, and that there are reasonable grounds to believe that the alleged violation exists or has occurred, he shall cause an inspection to be made as soon as practicable, to determine if such alleged violation exists or has occurred. Inspections pursuant to this section need not be limited to matters referred to in the complaint. | |||
| 10:10:1.0.1.1.15.0.76.13 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.17 Inspections not warranted; informal review. | NRC | [38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 52 FR 31610, Aug. 21, 1987; 67 FR 77652, Dec. 19, 2002; 68 FR 58801, Oct. 10, 2003; 74 FR 62680, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | (a) If the Administrator of the appropriate Regional Office determines, with respect to a complaint under § 19.16, that an inspection is not warranted because there are no reasonable grounds to believe that a violation exists or has occurred, he shall notify the complainant in writing of such determination. The complainant may obtain review of this determination by submitting a written statement of position to the Executive Director for Operations, either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. The Executive Director for Operations will provide the licensee with a copy of such statement by certified mail, excluding, at the request of the complainant, the name of the complainant. The licensee may submit an opposing written statement of position with the Executive Director for Operations who will provide the complainant with a copy of such statement by certified mail. Upon the request of the complainant, the Executive Director for Operations or his designee may hold an informal conference in which the complainant and the licensee may orally present their views. An informal conference may also be held at the request of the licensee, but discl… | |||
| 10:10:1.0.1.1.15.0.76.14 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.18 Sequestration of witnesses and exclusion of counsel in interviews conducted under subpoena. | NRC | [55 FR 247, Jan. 4, 1990, as amended at 56 FR 65948, Dec. 19, 1991; 57 FR 61785, Dec. 29, 1992] | (a) All witnesses compelled by subpoena to submit to agency interviews shall be sequestered unless the official conducting the interviews permits otherwise. (b) Any witness compelled by subpoena to appear at an interview during an agency inquiry may be accompanied, represented, and advised by counsel of his or her choice. However, when the agency official conducting the inquiry determines, after consultation with the Office of the General Counsel, that the agency has concrete evidence that the presence of an attorney representing multiple interests would obstruct and impede the investigation or inspection, the agency official may prohibit that counsel from being present during the interview. (c) The interviewing official is to provide a witness whose counsel has been excluded under paragraph (b) of this section and the witness's counsel a written statement of the reasons supporting the decision to exclude. This statement, which must be provided no later than five working days after exclusion, must explain the basis for the counsel's exclusion. This statement must also advise the witness of the witness' right to appeal the exclusion decision and obtain an automatic stay of the effectiveness of the subpoena by filing a motion to quash the subpoena with the Commission within five days of receipt of this written statement. (d) Within five days after receipt of the written notification required in paragraph (c) of this section, a witness whose counsel has been excluded may appeal the exclusion decision by filing a motion to quash the subpoena with the Commission. The filing of the motion to quash will stay the effectiveness of the subpoena pending the Commission's decision on the motion. (e) If a witness' counsel is excluded under paragraph (b) of this section, the interview may, at the witness' request, either proceed without counsel or be delayed for a reasonable period of time to permit the retention of new counsel. The interview may also be rescheduled to a subsequent date established by the NRC, although the … | |||
| 10:10:1.0.1.1.15.0.76.15 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.20 Employee protection. | NRC | [72 FR 49485, Aug. 28, 2007] | Employment discrimination by a licensee, a holder of a certificate of compliance issued under part 76 of this chapter or regulated entity subject to the requirements in this part as delineated in § 19.2(a), or a contractor or subcontractor of a licensee, a holder of a certificate of compliance issued under part 76 of this chapter, or regulated entity subject to the requirements in this part as delineated in § 19.2(a), against an employee for engaging in protected activities under this part or parts 30, 40, 50, 52, 54, 60, 61, 63, 70, 72, 76, or 150 of this chapter is prohibited. | |||
| 10:10:1.0.1.1.15.0.76.16 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.30 Violations. | NRC | [57 FR 55071, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | |||
| 10:10:1.0.1.1.15.0.76.17 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.31 Application for exemptions. | NRC | [72 FR 49485, Aug. 28, 2007] | The Commission may, upon application by any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part as it determines are authorized by law, will not result in undue hazard to life and property. | |||
| 10:10:1.0.1.1.15.0.76.18 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.32 Discrimination prohibited. | NRC | [72 FR 49485, Aug. 28, 2007] | No person shall on the grounds of sex be excluded from participation in, be denied a license, be denied the benefit of, or be subjected to discrimination under any program or activity carried on which is under the jurisdiction of the NRC under the Atomic Energy Act of 1954, as amended, or under any title of the Energy Reorganization Act of 1974, as amended. This provision will be enforced through agency provisions and regulations similar to those already established, with respect to racial and other discrimination, under Title VI of the Civil Rights Act of 1964. This remedy is not exclusive, however, and will not prejudice or cut off any other legal remedies available to a discriminatee. | |||
| 10:10:1.0.1.1.15.0.76.19 | 10 | Energy | 19 | PART 19—NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS | § 19.40 Criminal penalties. | NRC | [57 FR 55071, Nov. 24, 1992] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 19 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 19 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 19.1, 19.2, 19.3, 19.4, 19.5, 19.8, 19.16, 19.17, 19.18, 19.30, 19.31, and 19.40. | |||
| 10:10:1.0.1.1.16.1.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1001 Purpose. | NRC | (a) The regulations in this part establish standards for protection against ionizing radiation resulting from activities conducted under licenses issued by the Nuclear Regulatory Commission. These regulations are issued under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended. (b) It is the purpose of the regulations in this part to control the receipt, possession, use, transfer, and disposal of licensed material by any licensee in such a manner that the total dose to an individual (including doses resulting from licensed and unlicensed radioactive material and from radiation sources other than background radiation) does not exceed the standards for protection against radiation prescribed in the regulations in this part. However, nothing in this part shall be construed as limiting actions that may be necessary to protect health and safety. | ||||
| 10:10:1.0.1.1.16.1.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1002 Scope. | NRC | [72 FR 49485, Aug. 28, 2007] | The regulations in this part apply to persons licensed by the Commission to receive, possess, use, transfer, or dispose of byproduct, source, or special nuclear material or to operate a production or utilization facility under parts 30 through 36, 39, 40, 50, 52, 60, 61, 63, 70, or 72 of this chapter, and in accordance with 10 CFR 76.60 to persons required to obtain a certificate of compliance or an approved compliance plan under part 76 of this chapter. The limits in this part do not apply to doses due to background radiation, to exposure of patients to radiation for the purpose of medical diagnosis or therapy, to exposure from individuals administered radioactive material and released under § 35.75, or to exposure from voluntary participation in medical research programs. | |||
| 10:10:1.0.1.1.16.1.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1003 Definitions. | NRC | [56 FR 23391, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 58 FR 7736, Feb. 9, 1993; 60 FR 36043, July 13, 1995; 60 FR 48625, Sept. 20, 1995; 61 FR 65127, Dec. 10, 1996; 62 FR 4133, Jan. 29, 1997; 62 FR 39087, July 21, 1997; 63 FR 39481, July 23, 1998; 64 FR 54556, Oct. 7, 1999; 66 FR 55789, Nov. 2, 2001; 67 FR 16304, Apr. 5, 2002; 67 FR 20370, Apr. 24, 2002; 67 FR 62872, Oct. 9, 2002; 71 FR 65707, Nov. 8, 2006; 72 FR 55921, Oct. 1, 2007; 72 FR 68058, Dec. 4, 2007; 74 FR 62680, Dec. 1, 2009] | As used in this part: Absorbed dose means the energy imparted by ionizing radiation per unit mass of irradiated material. The units of absorbed dose are the rad and the gray (Gy). Accelerator-produced radioactive material means any material made radioactive by a particle accelerator. Act means the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq. ), as amended. Activity is the rate of disintegration (transformation) or decay of radioactive material. The units of activity are the curie (Ci) and the becquerel (Bq). Adult means an individual 18 or more years of age. Airborne radioactive material means radioactive material dispersed in the air in the form of dusts, fumes, particulates, mists, vapors, or gases. Airborne radioactivity area means a room, enclosure, or area in which airborne radioactive materials, composed wholly or partly of licensed material, exist in concentrations— (1) In excess of the derived air concentrations (DACs) specified in appendix B, to §§ 20.1001-20.2401, or (2) To such a degree that an individual present in the area without respiratory protective equipment could exceed, during the hours an individual is present in a week, an intake of 0.6 percent of the annual limit on intake (ALI) or 12 DAC-hours. Air-purifying respirator means a respirator with an air-purifying filter, cartridge, or canister that removes specific air contaminants by passing ambient air through the air-purifying element. ALARA (acronym for “as low as is reasonably achievable”) means making every reasonable effort to maintain exposures to radiation as far below the dose limits in this part as is practical consistent with the purpose for which the licensed activity is undertaken, taking into account the state of technology, the economics of improvements in relation to state of technology, the economics of improvements in relation to benefits to the public health and safety, and other societal and socioeconomic considerations, and in relation to utilization of nuclear energy and licensed materials in th… | |||
| 10:10:1.0.1.1.16.1.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1004 Units of radiation dose. | NRC | (a) Definitions. As used in this part, the units of radiation dose are: Gray (Gy) is the SI unit of absorbed dose. One gray is equal to an absorbed dose of 1 Joule/kilogram (100 rads). Rad is the special unit of absorbed dose. One rad is equal to an absorbed dose of 100 ergs/gram or 0.01 joule/kilogram (0.01 gray). Rem is the special unit of any of the quantities expressed as dose equivalent. The dose equivalent in rems is equal to the absorbed dose in rads multiplied by the quality factor (1 rem = 0.01 sievert). Sievert is the SI unit of any of the quantities expressed as dose equivalent. The dose equivalent in sieverts is equal to the absorbed dose in grays multiplied by the quality factor (1 Sv = 100 rems). (b) As used in this part, the quality factors for converting absorbed dose to dose equivalent are shown in table 1004(b).1. Table 1004( b ).1—Quality Factors and Absorbed Dose Equivalencies a Absorbed dose in rad equal to 1 rem or the absorbed dose in gray equal to 1 sievert. (c) If it is more convenient to measure the neutron fluence rate than to determine the neutron dose equivalent rate in rems per hour or sieverts per hour, as provided in paragraph (b) of this section, 1 rem (0.01 Sv) of neutron radiation of unknown energies may, for purposes of the regulations in this part, be assumed to result from a total fluence of 25 million neutrons per square centimeter incident upon the body. If sufficient information exists to estimate the approximate energy distribution of the neutrons, the licensee may use the fluence rate per unit dose equivalent or the appropriate Q value from table 1004(b).2 to convert a measured tissue dose in rads to dose equivalent in rems. Table 1004( b ).2—Mean Quality Factors, Q, and Fluence per Unit Dose Equivalent for Monoenergetic Neutrons a Value of quality factor (Q) at the point where the dose equivalent is maximum in a 30-cm diameter cylinder tissue-equivalent phantom. b Monoenergetic neutrons incident normally on a 30-cm diameter cylinder tissue-equivalent… | ||||
| 10:10:1.0.1.1.16.1.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1005 Units of radioactivity. | NRC | [56 FR 23391, May 21, 1991; 56 FR 61352, Dec. 3, 1991] | For the purposes of this part, activity is expressed in the special unit of curies (Ci) or in the SI unit of becquerels (Bq), or their multiples, or disintegrations (transformations) per unit of time. (a) One becquerel = 1 disintegration per second (s −1 ). (b) One curie = 3.7 × 10 10 disintegrations per second = 3.7 × 10 10 becquerels = 2.22 × 10 12 disintegrations per minute. | |||
| 10:10:1.0.1.1.16.1.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1006 Interpretations. | NRC | [56 FR 23391, May 21, 1991, as amended at 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by an officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.16.1.76.7 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1007 Communications. | NRC | [68 FR 58801, Oct. 10, 2003, as amended at 74 FR 62680, Dec. 1, 2009; 80 FR 74979, Dec. 1, 2015] | Unless otherwise specified, communications or reports concerning the regulations in this part should be addressed to the Executive Director for Operations (EDO), and sent either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | |||
| 10:10:1.0.1.1.16.1.76.8 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1008 Implementation. | NRC | [59 FR 41643, Aug. 15, 1994] | (a) [Reserved] (b) The applicable section of §§ 20.1001-20.2402 must be used in lieu of requirements in the standards for protection against radiation in effect prior to January 1, 1994 1 that are cited in license conditions or technical specifications, except as specified in paragraphs (c), (d), and (e) of this section. If the requirements of this part are more restrictive than the existing license condition, then the licensee shall comply with this part unless exempted by paragraph (d) of this section. 1 See §§ 20.1-20.602 codified as of January 1, 1993. (c) Any existing license condition or technical specification that is more restrictive than a requirement in §§ 20.1001-20.2402 remains in force until there is a technical specification change, license amendment, or license renewal. (d) If a license condition or technical specification exempted a licensee from a requirement in the standards for protection against radiation in effect prior to January 1, 1994, 1 it continues to exempt a licensee from the corresponding provision of §§ 20.1001-20.2402. (e) If a license condition cites provisions in requirements in the standards for protection against radiation in effect prior to January 1, 1994 1 and there are no corresponding provisions in §§ 20.1001-20.2402, then the license condition remains in force until there is a technical specification change, license amendment, or license renewal that modifies or removes this condition. | |||
| 10:10:1.0.1.1.16.1.76.9 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1009 Information collection requirements: OMB approval. | NRC | [63 FR 50128, Sept. 21, 1998, as amended at 67 FR 67099, Nov. 4, 2002; 71 FR 65707, Nov. 8, 2006; 72 FR 55922, Oct. 1, 2007; 77 FR 39905, July 6, 2012] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0014. (b) The approved information collection requirements contained in this part appear in §§ 20.1003, 20.1101, 20.1202, 20.1203, 20.1204, 20.1206, 20.1208, 20.1301, 20.1302, 20.1403, 20.1404, 20.1406, 20.1501, 20.1601, 20.1703, 20.1901, 20.1904, 20.1905, 20.1906, 20.2002, 20.2004, 20.2005, 20.2006, 20.2102, 20.2103, 20.2104, 20.2105, 20.2106, 20.2107, 20.2108, 20.2110, 20.2201, 20.2202, 20.2203, 20.2204, 20.2205, 20.2206, 20.2207, 20.2301, and appendix G to this part. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In § 20.2104, NRC Form 4 is approved under control number 3150-0005. (2) In §§ 20.2106 and 20.2206, NRC Form 5 is approved under control number 3150-0006. (3) In § 20.2006 and appendix G to 10 CFR part 20, NRC Form 540 and 540A is approved under control number 3150-0164. (4) In § 20.2006 and appendix G to 10 CFR part 20, NRC Form 541 and 541A is approved under control number 3150-0166. (5) In § 20.2006 and appendix G to 10 CFR part 20, NRC Form 542 and 542A is approved under control number 3150-0165. (6) In § 20.2207, NRC Form 748 is approved under control number 3150-0202. | |||
| 10:10:1.0.1.1.16.2.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1101 Radiation protection programs. | NRC | [56 FR 23396, May 21, 1991, as amended at 61 FR 65127, Dec. 10, 1996; 63 FR 39482, July 23, 1998] | (a) Each licensee shall develop, document, and implement a radiation protection program commensurate with the scope and extent of licensed activities and sufficient to ensure compliance with the provisions of this part. (See § 20.2102 for recordkeeping requirements relating to these programs.) (b) The licensee shall use, to the extent practical, procedures and engineering controls based upon sound radiation protection principles to achieve occupational doses and doses to members of the public that are as low as is reasonably achievable (ALARA). (c) The licensee shall periodically (at least annually) review the radiation protection program content and implementation. (d) To implement the ALARA requirements of § 20.1101 (b), and notwithstanding the requirements in § 20.1301 of this part, a constraint on air emissions of radioactive material to the environment, excluding Radon-222 and its daughters, shall be established by licensees other than those subject to § 50.34a, such that the individual member of the public likely to receive the highest dose will not be expected to receive a total effective dose equivalent in excess of 10 mrem (0.1 mSv) per year from these emissions. If a licensee subject to this requirement exceeds this dose constraint, the licensee shall report the exceedance as provided in § 20.2203 and promptly take appropriate corrective action to ensure against recurrence. | |||
| 10:10:1.0.1.1.16.3.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1201 Occupational dose limits for adults. | NRC | [56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995; 63 FR 39482, July 23, 1998; 67 FR 16304, Apr. 5, 2002; 72 FR 68059, Dec. 4, 2007] | (a) The licensee shall control the occupational dose to individual adults, except for planned special exposures under § 20.1206, to the following dose limits. (1) An annual limit, which is the more limiting of— (i) The total effective dose equivalent being equal to 5 rems (0.05 Sv); or (ii) The sum of the deep-dose equivalent and the committed dose equivalent to any individual organ or tissue other than the lens of the eye being equal to 50 rems (0.5 Sv). (2) The annual limits to the lens of the eye, to the skin of the whole body, and to the skin of the extremities, which are: (i) A lens dose equivalent of 15 rems (0.15 Sv), and (ii) A shallow-dose equivalent of 50 rem (0.5 Sv) to the skin of the whole body or to the skin of any extremity. (b) Doses received in excess of the annual limits, including doses received during accidents, emergencies, and planned special exposures, must be subtracted from the limits for planned special exposures that the individual may receive during the current year (see § 20.1206(e)(1)) and during the individual's lifetime (see § 20.1206(e)(2)). (c) When the external exposure is determined by measurement with an external personal monitoring device, the deep-dose equivalent must be used in place of the effective dose equivalent, unless the effective dose equivalent is determined by a dosimetry method approved by the NRC. The assigned deep-dose equivalent must be for the part of the body receiving the highest exposure. The assigned shallow-dose equivalent must be the dose averaged over the contiguous 10 square centimeters of skin receiving the highest exposure. The deep-dose equivalent, lens-dose equivalent, and shallow-dose equivalent may be assessed from surveys or other radiation measurements for the purpose of demonstrating compliance with the occupational dose limits, if the individual monitoring device was not in the region of highest potential exposure, or the results of individual monitoring are unavailable. (d) Derived air concentration (DAC) and annual limit on intake… | |||
| 10:10:1.0.1.1.16.3.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1202 Compliance with requirements for summation of external and internal doses. | NRC | [56 FR 23396, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992] | (a) If the licensee is required to monitor under both §§ 20.1502 (a) and (b), the licensee shall demonstrate compliance with the dose limits by summing external and internal doses. If the licensee is required to monitor only under § 20.1502(a) or only under § 20.1502(b), then summation is not required to demonstrate compliance with the dose limits. The licensee may demonstrate compliance with the requirements for summation of external and internal doses by meeting one of the conditions specified in paragraph (b) of this section and the conditions in paragraphs (c) and (d) of this section. The dose equivalents for the lens of the eye, the skin, and the extremities are not included in the summation, but are subject to separate limits.) (b) Intake by inhalation. If the only intake of radionuclides is by inhalation, the total effective dose equivalent limit is not exceeded if the sum of the deep-dose equivalent divided by the total effective dose equivalent limit, and one of the following, does not exceed unity: (1) The sum of the fractions of the inhalation ALI for each radionuclide, or (2) The total number of derived air concentration-hours (DAC-hours) for all radionuclides divided by 2,000, or (3) The sum of the calculated committed effective dose equivalents to all significantly irradiated 1 organs or tissues (T) calculated from bioassay data using appropriate biological models and expressed as a fraction of the annual limit. 1 An organ or tissue is deemed to be significantly irradiated if, for that organ or tissue, the product of the weighting factor, w T , and the committed dose equivalent, H T,50 , per unit intake is greater than 10 percent of the maximum weighted value of H T,50 , ( i.e. , W T H T,50 ) per unit intake for any organ or tissue. (c) Intake by oral ingestion. If the occupationally exposed individual also receives an intake of radionuclides by oral ingestion greater than 10 percent of the applicable oral ALI, the licensee shall account for this intake and include it in demonstra… | |||
| 10:10:1.0.1.1.16.3.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1203 Determination of external dose from airborne radioactive material. | NRC | [56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995; 63 FR 39482, July 23, 1998] | Licensees shall, when determining the dose from airborne radioactive material, include the contribution to the deep-dose equivalent, lens dose equivalent, and shallow-dose equivalent from external exposure to the radioactive cloud (see appendix B to part 20, footnotes 1 and 2). Airborne radioactivity measurements and DAC values should not be used as the primary means to assess the deep-dose equivalent when the airborne radioactive material includes radionuclides other than noble gases or if the cloud of airborne radioactive material is not relatively uniform. The determination of the deep-dose equivalent to an individual should be based upon measurements using instruments or individual monitoring devices. | |||
| 10:10:1.0.1.1.16.3.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1204 Determination of internal exposure. | NRC | [56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995] | (a) For purposes of assessing dose used to determine compliance with occupational dose equivalent limits, the licensee shall, when required under § 20.1502, take suitable and timely measurements of— (1) Concentrations of radioactive materials in air in work areas; or (2) Quantities of radionuclides in the body; or (3) Quantities of radionuclides excreted from the body; or (4) Combinations of these measurements. (b) Unless respiratory protective equipment is used, as provided in § 20.1703, or the assessment of intake is based on bioassays, the licensee shall assume that an individual inhales radioactive material at the airborne concentration in which the individual is present. (c) When specific information on the physical and biochemical properties of the radionuclides taken into the body or the behavior or the material in an individual is known, the licensee may— (1) Use that information to calculate the committed effective dose equivalent, and, if used, the licensee shall document that information in the individual's record; and (2) Upon prior approval of the Commission, adjust the DAC or ALI values to reflect the actual physical and chemical characteristics of airborne radioactive material (e.g., aerosol size distribution or density); and (3) Separately assess the contribution of fractional intakes of Class D, W, or Y compounds of a given radionuclide (see appendix B to part 20) to the committed effective dose equivalent. (d) If the licensee chooses to assess intakes of Class Y material using the measurements given in § 20.1204(a)(2) or (3), the licensee may delay the recording and reporting of the assessments for periods up to 7 months, unless otherwise required by §§ 20.2202 or 20.2203, in order to permit the licensee to make additional measurements basic to the assessments. (e) If the identity and concentration of each radionuclide in a mixture are known, the fraction of the DAC applicable to the mixture for use in calculating DAC-hours must be either— (1) The sum of the ratios of the concentrati… | |||
| 10:10:1.0.1.1.16.3.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1205 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.16.3.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1206 Planned special exposures. | NRC | [56 FR 23396, May 21, 1991, as amended at 63 FR 39482, July 23, 1998] | A licensee may authorize an adult worker to receive doses in addition to and accounted for separately from the doses received under the limits specified in § 20.1201 provided that each of the following conditions is satisfied— (a) The licensee authorizes a planned special exposure only in an exceptional situation when alternatives that might avoid the dose estimated to result from the planned special exposure are unavailable or impractical. (b) The licensee (and employer if the employer is not the licensee) specifically authorizes the planned special exposure, in writing, before the exposure occurs. (c) Before a planned special exposure, the licensee ensures that the individuals involved are— (1) Informed of the purpose of the planned operation; (2) Informed of the estimated doses and associated potential risks and specific radiation levels or other conditions that might be involved in performing the task; and (3) Instructed in the measures to be taken to keep the dose ALARA considering other risks that may be present. (d) Prior to permitting an individual to participate in a planned special exposure, the licensee ascertains prior doses as required by § 20.2104(b) during the lifetime of the individual for each individual involved. (e) Subject to § 20.1201(b), the licensee does not authorize a planned special exposure that would cause an individual to receive a dose from all planned special exposures and all doses in excess of the limits to exceed— (1) The numerical values of any of the dose limits in § 20.1201(a) in any year; and (2) Five times the annual dose limits in § 20.1201(a) during the individual's lifetime. (f) The licensee maintains records of the conduct of a planned special exposure in accordance with § 20.2105 and submits a written report in accordance with § 20.2204. (g) The licensee records the best estimate of the dose resulting from the planned special exposure in the individual's record and informs the individual, in writing, of the dose within 30 days from the date of the planned sp… | |||
| 10:10:1.0.1.1.16.3.76.7 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1207 Occupational dose limits for minors. | NRC | The annual occupational dose limits for minors are 10 percent of the annual dose limits specified for adult workers in § 20.1201. | ||||
| 10:10:1.0.1.1.16.3.76.8 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1208 Dose equivalent to an embryo/fetus. | NRC | [56 FR 23396, May 21, 1991, as amended at 63 FR 39482, July 23, 1998] | (a) The licensee shall ensure that the dose equivalent to the embryo/fetus during the entire pregnancy, due to the occupational exposure of a declared pregnant woman, does not exceed 0.5 rem (5 mSv). (For recordkeeping requirements, see § 20.2106.) (b) The licensee shall make efforts to avoid substantial variation above a uniform monthly exposure rate to a declared pregnant woman so as to satisfy the limit in paragraph (a) of this section. (c) The dose equivalent to the embryo/fetus is the sum of— (1) The deep-dose equivalent to the declared pregnant woman; and (2) The dose equivalent to the embryo/fetus resulting from radionuclides in the embryo/fetus and radionuclides in the declared pregnant woman. (d) If the dose equivalent to the embryo/fetus is found to have exceeded 0.5 rem (5 mSv), or is within 0.05 rem (0.5 mSv) of this dose, by the time the woman declares the pregnancy to the licensee, the licensee shall be deemed to be in compliance with paragraph (a) of this section if the additional dose equivalent to the embryo/fetus does not exceed 0.05 rem (0.5 mSv) during the remainder of the pregnancy. | |||
| 10:10:1.0.1.1.16.4.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1301 Dose limits for individual members of the public. | NRC | [56 FR 23398, May 21, 1991, as amended at 60 FR 48625, Sept. 20, 1995; 62 FR 4133, Jan. 29, 1997; 67 FR 20370, Apr. 24, 2002; 67 FR 62872, Oct. 9, 2002] | (a) Each licensee shall conduct operations so that— (1) The total effective dose equivalent to individual members of the public from the licensed operation does not exceed 0.1 rem (1 mSv) in a year, exclusive of the dose contributions from background radiation, from any medical administration the individual has received, from exposure to individuals administered radioactive material and released under § 35.75, from voluntary participation in medical research programs, and from the licensee's disposal of radioactive material into sanitary sewerage in accordance with § 20.2003, and (2) The dose in any unrestricted area from external sources, exclusive of the dose contributions from patients administered radioactive material and released in accordance with § 35.75, does not exceed 0.002 rem (0.02 millisievert) in any one hour. (b) If the licensee permits members of the public to have access to controlled areas, the limits for members of the public continue to apply to those individuals. (c) Notwithstanding paragraph (a)(1) of this section, a licensee may permit visitors to an individual who cannot be released, under § 35.75, to receive a radiation dose greater than 0.1 rem (1 mSv) if— (1) The radiation dose received does not exceed 0.5 rem (5 mSv); and (2) The authorized user, as defined in 10 CFR Part 35, has determined before the visit that it is appropriate. (d) A licensee or license applicant may apply for prior NRC authorization to operate up to an annual dose limit for an individual member of the public of 0.5 rem (5 mSv). The licensee or license applicant shall include the following information in this application: (1) Demonstration of the need for and the expected duration of operations in excess of the limit in paragraph (a) of this section; (2) The licensee's program to assess and control dose within the 0.5 rem (5 mSv) annual limit; and (3) The procedures to be followed to maintain the dose as low as is reasonably achievable. (e) In addition to the requirements of this part, a licensee subject … | |||
| 10:10:1.0.1.1.16.4.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1302 Compliance with dose limits for individual members of the public. | NRC | [56 FR 23398, May 21, 1991; 56 FR 61352, Dec. 3, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 60 FR 20185, Apr. 25, 1995] | (a) The licensee shall make or cause to be made, as appropriate, surveys of radiation levels in unrestricted and controlled areas and radioactive materials in effluents released to unrestricted and controlled areas to demonstrate compliance with the dose limits for individual members of the public in § 20.1301. (b) A licensee shall show compliance with the annual dose limit in § 20.1301 by— (1) Demonstrating by measurement or calculation that the total effective dose equivalent to the individual likely to receive the highest dose from the licensed operation does not exceed the annual dose limit; or (2) Demonstrating that— (i) The annual average concentrations of radioactive material released in gaseous and liquid effluents at the boundary of the unrestricted area do not exceed the values specified in table 2 of appendix B to part 20; and (ii) If an individual were continuously present in an unrestricted area, the dose from external sources would not exceed 0.002 rem (0.02 mSv) in an hour and 0.05 rem (0.5 mSv) in a year. (c) Upon approval from the Commission, the licensee may adjust the effluent concentration values in appendix B to part 20, table 2, for members of the public, to take into account the actual physical and chemical characteristics of the effluents (e.g., aerosol size distribution, solubility, density, radioactive decay equilibrium, chemical form). | |||
| 10:10:1.0.1.1.16.5.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1401 General provisions and scope. | NRC | [62 FR 39088, July 21, 1997, as amended at 66 FR 55789, Nov. 2, 2001; 68 FR 19726, Apr. 22, 2003; 72 FR 49485, Aug. 28, 2007] | (a) The criteria in this subpart apply to the decommissioning of facilities licensed under parts 30, 40, 50, 52, 60, 61, 63, 70, and 72 of this chapter, and release of part of a facility or site for unrestricted use in accordance with § 50.83 of this chapter, as well as other facilities subject to the Commission's jurisdiction under the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended. For high-level and low-level waste disposal facilities (10 CFR parts 60, 61, and 63), the criteria apply only to ancillary surface facilities that support radioactive waste disposal activities. The criteria do not apply to uranium and thorium recovery facilities already subject to appendix A to 10 CFR part 40 or the uranium solution extraction facilities. (b) The criteria in this subpart do not apply to sites which: (1) Have been decommissioned prior to the effective date of the rule in accordance with criteria identified in the Site Decommissioning Management Plan (SDMP) Action Plan of April 16, 1992 (57 FR 13389); (2) Have previously submitted and received Commission approval on a license termination plan (LTP) or decommissioning plan that is compatible with the SDMP Action Plan criteria; or (3) Submit a sufficient LTP or decommissioning plan before August 20, 1998 and such LTP or decommissioning plan is approved by the Commission before August 20, 1999 and in accordance with the criteria identified in the SDMP Action Plan, except that if an EIS is required in the submittal, there will be a provision for day-for-day extension. (c) After a site has been decommissioned and the license terminated in accordance with the criteria in this subpart, or after part of a facility or site has been released for unrestricted use in accordance with § 50.83 of this chapter and in accordance with the criteria in this subpart, the Commission will require additional cleanup only, if based on new information, it determines that the criteria of this subpart were not met and residual radioactivity remai… | |||
| 10:10:1.0.1.1.16.5.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1402 Radiological criteria for unrestricted use. | NRC | A site will be considered acceptable for unrestricted use if the residual radioactivity that is distinguishable from background radiation results in a TEDE to an average member of the critical group that does not exceed 25 mrem (0.25 mSv) per year, including that from groundwater sources of drinking water, and that the residual radioactivity has been reduced to levels that are as low as reasonably achievable (ALARA). Determination of the levels which are ALARA must take into account consideration of any detriments, such as deaths from transportation accidents, expected to potentially result from decontamination and waste disposal. | ||||
| 10:10:1.0.1.1.16.5.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1403 Criteria for license termination under restricted conditions. | NRC | [62 FR 39088, July 21, 1997, as amended at 76 FR 35564, July 17, 2011] | A site will be considered acceptable for license termination under restricted conditions if: (a) The licensee can demonstrate that further reductions in residual radioactivity necessary to comply with the provisions of § 20.1402 would result in net public or environmental harm or were not being made because the residual levels associated with restricted conditions are ALARA. Determination of the levels which are ALARA must take into account consideration of any detriments, such as traffic accidents, expected to potentially result from decontamination and waste disposal; (b) The licensee has made provisions for legally enforceable institutional controls that provide reasonable assurance that the TEDE from residual radioactivity distinguishable from background to the average member of the critical group will not exceed 25 mrem (0.25 mSv) per year; (c) The licensee has provided sufficient financial assurance to enable an independent third party, including a governmental custodian of a site, to assume and carry out responsibilities for any necessary control and maintenance of the site. Acceptable financial assurance mechanisms are— (1) Funds placed into a trust segregated from the licensee's assets and outside the licensee's administrative control, and in which the adequacy of the trust funds is to be assessed based on an assumed annual 1 percent real rate of return on investment; (2) A statement of intent in the case of Federal, State, or local Government licensees, as described in § 30.35(f)(4) of this chapter; or (3) When a government entity is assuming custody and ownership of a site, an arrangement that is deemed acceptable by such governmental entity. (d) The licensee has submitted a decommissioning plan or License Termination Plan (LTP) to the Commission indicating the licensee's intent to decommission in accordance with §§ 30.36(d), 40.42(d), 50.82 (a) and (b), 70.38(d), or 72.54 of this chapter, and specifying that the licensee intends to decommission by restricting use of the site. The licensee shall… | |||
| 10:10:1.0.1.1.16.5.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1404 Alternate criteria for license termination. | NRC | [62 FR 39088, July 21, 1997, as amended at 76 FR 35564, July 17, 2011] | (a) The Commission may terminate a license using alternate criteria greater than the dose criterion of §§ 20.1402, 20.1403(b), and 20.1403(d)(1)(i)(A), if the licensee— (1) Provides assurance that public health and safety would continue to be protected, and that it is unlikely that the dose from all man-made sources combined, other than medical, would be more than the 1 mSv/y (100 mrem/y) limit of subpart D, by submitting an analysis of possible sources of exposure; (2) Has employed to the extent practical restrictions on site use according to the provisions of § 20.1403 in minimizing exposures at the site; and (3) Reduces doses to ALARA levels, taking into consideration any detriments such as traffic accidents expected to potentially result from decontamination and waste disposal. (4) Has submitted a decommissioning plan or License Termination Plan (LTP) to the Commission indicating the licensee's intent to decommission in accordance with §§ 30.36(d), 40.42(d), 50.82 (a) and (b), 70.38(d), or 72.54 of this chapter, and specifying that the licensee proposes to decommission by use of alternate criteria. The licensee shall document in the decommissioning plan or LTP how the advice of individuals and institutions in the community who may be affected by the decommissioning has been sought and addressed, as appropriate, following analysis of that advice. In seeking such advice, the licensee shall provide for: (i) Participation by representatives of a broad cross section of community interests who may be affected by the decommissioning; (ii) An opportunity for a comprehensive, collective discussion on the issues by the participants represented; and (iii) A publicly available summary of the results of all such discussions, including a description of the individual viewpoints of the participants on the issues and the extent of agreement and disagreement on the issues. (5) Has provided sufficient financial assurance in the form of a trust fund to enable an independent third party, including a governmental custodia… | |||
| 10:10:1.0.1.1.16.5.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1405 Public notification and public participation. | NRC | Upon the receipt of an LTP or decommissioning plan from the licensee, or a proposal by the licensee for release of a site pursuant to §§ 20.1403 or 20.1404, or whenever the Commission deems such notice to be in the public interest, the Commission shall: (a) Notify and solicit comments from: (1) Local and State governments in the vicinity of the site and any Indian Nation or other indigenous people that have treaty or statutory rights that could be affected by the decommissioning; and (2) The Environmental Protection Agency for cases where the licensee proposes to release a site pursuant to § 20.1404. (b) Publish a notice in the Federal Register and in a forum. such as local newspapers, letters to State of local organizations, or other appropriate forum, that is readily accessible to individuals in the vicinity of the site, and solicit comments from affected parties. | ||||
| 10:10:1.0.1.1.16.5.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1406 Minimization of contamination. | NRC | [72 FR 49485, Aug. 28, 2007, as amended at 76 FR 35564, June 17, 2011] | (a) Applicants for licenses, other than early site permits and manufacturing licenses under part 52 of this chapter and renewals, whose applications are submitted after August 20, 1997, shall describe in the application how facility design and procedures for operation will minimize, to the extent practicable, contamination of the facility and the environment, facilitate eventual decommissioning, and minimize, to the extent practicable, the generation of radioactive waste. (b) Applicants for standard design certifications, standard design approvals, and manufacturing licenses under part 52 of this chapter, whose applications are submitted after August 20, 1997, shall describe in the application how facility design will minimize, to the extent practicable, contamination of the facility and the environment, facilitate eventual decommissioning, and minimize, to the extent practicable, the generation of radioactive waste. (c) Licensees shall, to the extent practical, conduct operations to minimize the introduction of residual radioactivity into the site, including the subsurface, in accordance with the existing radiation protection requirements in subpart B and radiological criteria for license termination in subpart E of this part. | |||
| 10:10:1.0.1.1.16.6.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1501 General. | NRC | [56 FR 23398, May 21, 1991, as amended at 63 FR 39482, July 23, 1998; 76 FR 35564, June 17, 2011] | (a) Each licensee shall make or cause to be made, surveys of areas, including the subsurface, that— (1) May be necessary for the licensee to comply with the regulations in this part; and (2) Are reasonable under the circumstances to evaluate— (i) The magnitude and extent of radiation levels; and (ii) Concentrations or quantities of residual radioactivity; and (iii) The potential radiological hazards of the radiation levels and residual radioactivity detected. (b) Notwithstanding § 20.2103(a) of this part, records from surveys describing the location and amount of subsurface residual radioactivity identified at the site must be kept with records important for decommissioning, and such records must be retained in accordance with §§ 30.35(g), 40.36(f), 50.75(g), 70.25(g), or 72.30(d), as applicable. (c) The licensee shall ensure that instruments and equipment used for quantitative radiation measurements (e.g., dose rate and effluent monitoring) are calibrated periodically for the radiation measured. (d) All personnel dosimeters (except for direct and indirect reading pocket ionization chambers and those dosimeters used to measure the dose to the extremities) that require processing to determine the radiation dose and that are used by licensees to comply with § 20.1201, with other applicable provisions of this chapter, or with conditions specified in a license must be processed and evaluated by a dosimetry processor— (1) Holding current personnel dosimetry accreditation from the National Voluntary Laboratory Accreditation Program (NVLAP) of the National Institute of Standards and Technology; and (2) Approved in this accreditation process for the type of radiation or radiations included in the NVLAP program that most closely approximates the type of radiation or radiations for which the individual wearing the dosimeter is monitored. | |||
| 10:10:1.0.1.1.16.6.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1502 Conditions requiring individual monitoring of external and internal occupational dose. | NRC | [56 FR 23398, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995; 63 FR 39482, July 23, 1998] | Each licensee shall monitor exposures to radiation and radioactive material at levels sufficient to demonstrate compliance with the occupational dose limits of this part. As a minimum— (a) Each licensee shall monitor occupational exposure to radiation from licensed and unlicensed radiation sources under the control of the licensee and shall supply and require the use of individual monitoring devices by— (1) Adults likely to receive, in 1 year from sources external to the body, a dose in excess of 10 percent of the limits in § 20.1201(a), (2) Minors likely to receive, in 1 year, from radiation sources external to the body, a deep dose equivalent in excess of 0.1 rem (1 mSv), a lens dose equivalent in excess of 0.15 rem (1.5 mSv), or a shallow dose equivalent to the skin or to the extremities in excess of 0.5 rem (5 mSv); (3) Declared pregnant women likely to receive during the entire pregnancy, from radiation sources external to the body, a deep dose equivalent in excess of 0.1 rem (1 mSv); 2 and 2 All of the occupational doses in § 20.1201 continue to be applicable to the declared pregnant worker as long as the embryo/fetus dose limit is not exceeded. (4) Individuals entering a high or very high radiation area. (b) Each licensee shall monitor (see § 20.1204) the occupational intake of radioactive material by and assess the committed effective dose equivalent to— (1) Adults likely to receive, in 1 year, an intake in excess of 10 percent of the applicable ALI(s) in table 1, columns 1 and 2, of appendix B to §§ 20.1001-20.2402; (2) Minors likely to receive, in 1 year, a committed effective dose equivalent in excess of 0.1 rem (1 mSv); and (3) Declared pregnant women likely to receive, during the entire pregnancy, a committed effective dose equivalent in excess of 0.1 rem (1 mSv). | |||
| 10:10:1.0.1.1.16.7.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1601 Control of access to high radiation areas. | NRC | (a) The licensee shall ensure that each entrance or access point to a high radiation area has one or more of the following features— (1) A control device that, upon entry into the area, causes the level of radiation to be reduced below that level at which an individual might receive a deep-dose equivalent of 0.1 rem (1 mSv) in 1 hour at 30 centimeters from the radiation source or from any surface that the radiation penetrates; (2) A control device that energizes a conspicuous visible or audible alarm signal so that the individual entering the high radiation area and the supervisor of the activity are made aware of the entry; or (3) Entryways that are locked, except during periods when access to the areas is required, with positive control over each individual entry. (b) In place of the controls required by paragraph (a) of this section for a high radiation area, the licensee may substitute continuous direct or electronic surveillance that is capable of preventing unauthorized entry. (c) A licensee may apply to the Commission for approval of alternative methods for controlling access to high radiation areas. (d) The licensee shall establish the controls required by paragraphs (a) and (c) of this section in a way that does not prevent individuals from leaving a high radiation area. (e) Control is not required for each entrance or access point to a room or other area that is a high radiation area solely because of the presence of radioactive materials prepared for transport and packaged and labeled in accordance with the regulations of the Department of Transportation provided that— (1) The packages do not remain in the area longer than 3 days; and (2) The dose rate at 1 meter from the external surface of any package does not exceed 0.01 rem (0.1 mSv) per hour. (f) Control of entrance or access to rooms or other areas in hospitals is not required solely because of the presence of patients containing radioactive material, provided that there are personnel in attendance who will take the necessary precaution… | ||||
| 10:10:1.0.1.1.16.7.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1602 Control of access to very high radiation areas. | NRC | In addition to the requirements in § 20.1601, the licensee shall institute additional measures to ensure that an individual is not able to gain unauthorized or inadvertent access to areas in which radiation levels could be encountered at 500 rads (5 grays) or more in 1 hour at 1 meter from a radiation source or any surface through which the radiation penetrates. | ||||
| 10:10:1.0.1.1.16.8.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1701 Use of process or other engineering controls. | NRC | [64 FR 54556, Oct. 7, 1999] | The licensee shall use, to the extent practical, process or other engineering controls (e.g., containment, decontamination, or ventilation) to control the concentration of radioactive material in air. | |||
| 10:10:1.0.1.1.16.8.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1702 Use of other controls. | NRC | [64 FR 54556, Oct. 7, 1999] | (a) When it is not practical to apply process or other engineering controls to control the concentrations of radioactive material in the air to values below those that define an airborne radioactivity area, the licensee shall, consistent with maintaining the total effective dose equivalent ALARA, increase monitoring and limit intakes by one or more of the following means— (1) Control of access; (2) Limitation of exposure times; (3) Use of respiratory protection equipment; or (4) Other controls. (b) If the licensee performs an ALARA analysis to determine whether or not respirators should be used, the licensee may consider safety factors other than radiological factors. The licensee should also consider the impact of respirator use on workers' industrial health and safety. | |||
| 10:10:1.0.1.1.16.8.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1703 Use of individual respiratory protection equipment. | NRC | [64 FR 54557, Oct. 7, 1999, as amended at 67 FR 77652, Dec. 19, 2002] | If the licensee assigns or permits the use of respiratory protection equipment to limit the intake of radioactive material, (a) The licensee shall use only respiratory protection equipment that is tested and certified by the National Institute for Occupational Safety and Health (NIOSH) except as otherwise noted in this part. (b) If the licensee wishes to use equipment that has not been tested or certified by NIOSH, or for which there is no schedule for testing or certification, the licensee shall submit an application to the NRC for authorized use of this equipment except as provided in this part. The application must include evidence that the material and performance characteristics of the equipment are capable of providing the proposed degree of protection under anticipated conditions of use. This must be demonstrated either by licensee testing or on the basis of reliable test information. (c) The licensee shall implement and maintain a respiratory protection program that includes: (1) Air sampling sufficient to identify the potential hazard, permit proper equipment selection, and estimate doses; (2) Surveys and bioassays, as necessary, to evaluate actual intakes; (3) Testing of respirators for operability (user seal check for face sealing devices and functional check for others) immediately prior to each use; (4) Written procedures regarding— (i) Monitoring, including air sampling and bioassays; (ii) Supervision and training of respirator users; (iii) Fit testing; (iv) Respirator selection; (v) Breathing air quality; (vi) Inventory and control; (vii) Storage, issuance, maintenance, repair, testing, and quality assurance of respiratory protection equipment; (viii) Recordkeeping; and (ix) Limitations on periods of respirator use and relief from respirator use; (5) Determination by a physician that the individual user is medically fit to use respiratory protection equipment: (i) Before the initial fitting of a face sealing respirator; (ii) Before the first field use of non-face sealing respirat… | |||
| 10:10:1.0.1.1.16.8.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1704 Further restrictions on the use of respiratory protection equipment. | NRC | [64 FR 54557, Oct. 7, 1999] | The Commission may impose restrictions in addition to the provisions of §§ 20.1702, 20.1703, and Appendix A to Part 20, in order to: (a) Ensure that the respiratory protection program of the licensee is adequate to limit doses to individuals from intakes of airborne radioactive materials consistent with maintaining total effective dose equivalent ALARA; and (b) Limit the extent to which a licensee may use respiratory protection equipment instead of process or other engineering controls. | |||
| 10:10:1.0.1.1.16.8.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1705 Application for use of higher assigned protection factors. | NRC | [64 FR 54557, Oct. 7, 1999] | The licensee shall obtain authorization from the Commission before using assigned protection factors in excess of those specified in Appendix A to part 20. The Commission may authorize a licensee to use higher assigned protection factors on receipt of an application that— (a) Describes the situation for which a need exists for higher protection factors; and (b) Demonstrates that the respiratory protection equipment provides these higher protection factors under the proposed conditions of use. | |||
| 10:10:1.0.1.1.16.9.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1801 Security of stored material. | NRC | The licensee shall secure from unauthorized removal or access licensed materials that are stored in controlled or unrestricted areas. | ||||
| 10:10:1.0.1.1.16.9.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1802 Control of material not in storage. | NRC | The licensee shall control and maintain constant surveillance of licensed material that is in a controlled or unrestricted area and that is not in storage. | ||||
| 10:10:1.0.1.1.16.10.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1901 Caution signs. | NRC | (a) Standard radiation symbol. Unless otherwise authorized by the Commission, the symbol prescribed by this part shall use the colors magenta, or purple, or black on yellow background. The symbol prescribed by this part is the three-bladed design: (1) Cross-hatched area is to be magenta, or purple, or black, and (2) The background is to be yellow. (b) Exception to color requirements for standard radiation symbol. Notwithstanding the requirements of paragraph (a) of this section, licensees are authorized to label sources, source holders, or device components containing sources of licensed materials that are subjected to high temperatures, with conspicuously etched or stamped radiation caution symbols and without a color requirement. (c) Additional information on signs and labels. In addition to the contents of signs and labels prescribed in this part, the licensee may provide, on or near the required signs and labels, additional information, as appropriate, to make individuals aware of potential radiation exposures and to minimize the exposures. | ||||
| 10:10:1.0.1.1.16.10.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1902 Posting requirements. | NRC | [56 FR 23401, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995] | (a) Posting of radiation areas. The licensee shall post each radiation area with a conspicuous sign or signs bearing the radiation symbol and the words “CAUTION, RADIATION AREA.” (b) Posting of high radiation areas. The licensee shall post each high radiation area with a conspicuous sign or signs bearing the radiation symbol and the words “CAUTION, HIGH RADIATION AREA” or “DANGER, HIGH RADIATION AREA.” (c) Posting of very high radiation areas. The licensee shall post each very high radiation area with a conspicuous sign or signs bearing the radiation symbol and words “GRAVE DANGER, VERY HIGH RADIATION AREA.” (d) Posting of airborne radioactivity areas. The licensee shall post each airborne radioactivity area with a conspicuous sign or signs bearing the radiation symbol and the words “CAUTION, AIRBORNE RADIOACTIVITY AREA” or “DANGER, AIRBORNE RADIOACTIVITY AREA.” (e) Posting of areas or rooms in which licensed material is used or stored. The licensee shall post each area or room in which there is used or stored an amount of licensed material exceeding 10 times the quantity of such material specified in appendix C to part 20 with a conspicuous sign or signs bearing the radiation symbol and the words “CAUTION, RADIOACTIVE MATERIAL(S)” or “DANGER, RADIOACTIVE MATERIAL(S).” | |||
| 10:10:1.0.1.1.16.10.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1903 Exceptions to posting requirements. | NRC | [56 FR 23401, May 21, 1991, as amended at 57 FR 39357, Aug. 31, 1992; 62 FR 4133, Jan. 29, 1997; 63 FR 39482, July 23, 1998] | (a) A licensee is not required to post caution signs in areas or rooms containing radioactive materials for periods of less than 8 hours, if each of the following conditions is met: (1) The materials are constantly attended during these periods by an individual who takes the precautions necessary to prevent the exposure of individuals to radiation or radioactive materials in excess of the limits established in this part; and (2) The area or room is subject to the licensee's control. (b) Rooms or other areas in hospitals that are occupied by patients are not required to be posted with caution signs pursuant to § 20.1902 provided that the patient could be released from licensee control pursuant to § 35.75 of this chapter. (c) A room or area is not required to be posted with a caution sign because of the presence of a sealed source provided the radiation level at 30 centimeters from the surface of the source container or housing does not exceed 0.005 rem (0.05 mSv) per hour. (d) Rooms in hospitals or clinics that are used for teletherapy are exempt from the requirement to post caution signs under § 20.1902 if— (1) Access to the room is controlled pursuant to 10 CFR 35.615; and (2) Personnel in attendance take necessary precautions to prevent the inadvertent exposure of workers, other patients, and members of the public to radiation in excess of the limits established in this part. | |||
| 10:10:1.0.1.1.16.10.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1904 Labeling containers. | NRC | (a) The licensee shall ensure that each container of licensed material bears a durable, clearly visible label bearing the radiation symbol and the words “CAUTION, RADIOACTIVE MATERIAL” or “DANGER, RADIOACTIVE MATERIAL.” The label must also provide sufficient information (such as the radionuclide(s) present, an estimate of the quantity of radioactivity, the date for which the activity is estimated, radiation levels, kinds of materials, and mass enrichment) to permit individuals handling or using the containers, or working in the vicinity of the containers, to take precautions to avoid or minimize exposures. (b) Each licensee shall, prior to removal or disposal of empty uncontaminated containers to unrestricted areas, remove or deface the radioactive material label or otherwise clearly indicate that the container no longer contains radioactive materials. | ||||
| 10:10:1.0.1.1.16.10.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1905 Exemptions to labeling requirements. | NRC | [56 FR 23401, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995; 72 FR 68059, Dec. 4, 2007; 89 FR 106250, Dec. 30, 2024] | A licensee is not required to label— (a) Containers holding licensed material in quantities less than the quantities listed in appendix C to part 20; or (b) Containers holding licensed material in concentrations less than those specified in table 3 of appendix B to part 20; or (c) Containers attended by an individual who takes the precautions necessary to prevent the exposure of individuals in excess of the limits established by this part; or (d) Containers when they are in transport and packaged and labeled in accordance with the regulations of the Department of Transportation, 3 or 3 Labeling of packages containing radioactive materials is required by the Department of Transportation (DOT) if the amount and type of radioactive material exceeds the limits for an excepted quantity or article as defined and limited by DOT regulations 49 CFR 173.403 (m) and (w) and 173.421-424. (e) Containers that are accessible only to individuals authorized to handle or use them, or to work in the vicinity of the containers, if the contents are identified to these individuals by a readily available written record (examples of containers of this type are containers in locations such as water-filled canals, storage vaults, or hot cells). The record must be retained as long as the containers are in use for the purpose indicated on the record; or (f) Installed manufacturing or process equipment, such as reactor components, piping, and tanks; or (g) Containers holding licensed material (other than sealed sources that are either specifically or generally licensed) at a facility licensed under Parts 50 or 52 of this chapter, not including non-power production or utilization facilities, that are within an area posted under the requirements in § 20.1902 if the containers are: (1) Conspicuously marked (such as by providing a system of color coding of containers) commensurate with the radiological hazard; (2) Accessible only to individuals who have sufficient instruction to minimize radiation exposure while handling or work… | |||
| 10:10:1.0.1.1.16.10.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.1906 Procedures for receiving and opening packages. | NRC | [56 FR 23401, May 21, 1991, as amended at 57 FR 39357, Aug. 31, 1992; 60 FR 20185, Apr. 25, 1995; 63 FR 39482, July 23, 1998; 85 FR 65661, Oct. 16, 2020; 85 FR 68243, Oct. 28, 2020] | (a) Each licensee who expects to receive a package containing quantities of radioactive material in excess of a Type A quantity, as defined in § 71.4 and appendix A to part 71 of this chapter, shall make arrangements to receive— (1) The package when the carrier offers it for delivery; or (2) Notification of the arrival of the package at the carrier's terminal and to take possession of the package expeditiously. (b) Each licensee shall— (1) Monitor the external surfaces of a labeled 3a package for radioactive contamination unless the package contains only radioactive material in the form of a gas or in special form as defined in 10 CFR 71.4; 3a Labeled with a Radioactive White I, Yellow II, or Yellow III label as specified in U.S. Department of Transportation regulations, 49 CFR 172.403 and 172.436-440. (2) Monitor the external surfaces of a labeled 3a package for radiation levels unless the package contains quantities of radioactive material that are less than or equal to the Type A quantity, as defined in § 71.4 and appendix A to part 71 of this chapter; and (3) Monitor all packages known to contain radioactive material for radioactive contamination and radiation levels if there is evidence of degradation of package integrity, such as packages that are crushed, wet, or damaged. (c) The licensee shall perform the monitoring required by paragraph (b) of this section as soon as practical after receipt of the package, but not later than 3 hours after the package is received at the licensee's facility if it is received during the licensee's normal working hours, or not later than 3 hours from the beginning of the next working day if it is received after working hours. (d) The licensee shall immediately notify the final delivery carrier and the NRC Headquarters Operations Center by telephone at the numbers specified in appendix A to part 73 of this chapter, when— (1) Removable radioactive surface contamination exceeds the limits of § 71.87(i) of this chapter; or (2) External radiation levels excee… | |||
| 10:10:1.0.1.1.16.11.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2001 General requirements. | NRC | [56 FR 23403, May 21, 1991, as amended at 66 FR 55789, Nov. 2, 2001; 72 FR 55922, Oct. 1, 2007] | (a) A licensee shall dispose of licensed material only— (1) By transfer to an authorized recipient as provided in § 20.2006 or in the regulations in parts 30, 40, 60, 61, 63, 70, and 72 of this chapter; (2) By decay in storage; or (3) By release in effluents within the limits in § 20.1301; or (4) As authorized under §§ 20.2002, 20.2003, 20.2004, 20.2005, or 20.2008. (b) A person must be specifically licensed to receive waste containing licensed material from other persons for: (1) Treatment prior to disposal; or (2) Treatment or disposal by incineration; or (3) Decay in storage; or (4) Disposal at a land disposal facility licensed under part 61 of this chapter; or (5) Disposal at a geologic repository under part 60 or part 63 of this chapter. | |||
| 10:10:1.0.1.1.16.11.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2002 Method for obtaining approval of proposed disposal procedures. | NRC | A licensee or applicant for a license may apply to the Commission for approval of proposed procedures, not otherwise authorized in the regulations in this chapter, to dispose of licensed material generated in the licensee's activities. Each application shall include: (a) A description of the waste containing licensed material to be disposed of, including the physical and chemical properties important to risk evaluation, and the proposed manner and conditions of waste disposal; and (b) An analysis and evaluation of pertinent information on the nature of the environment; and (c) The nature and location of other potentially affected licensed and unlicensed facilities; and (d) Analyses and procedures to ensure that doses are maintained ALARA and within the dose limits in this part. | ||||
| 10:10:1.0.1.1.16.11.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2003 Disposal by release into sanitary sewerage. | NRC | [56 FR 23403, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995] | (a) A licensee may discharge licensed material into sanitary sewerage if each of the following conditions is satisfied: (1) The material is readily soluble (or is readily dispersible biological material) in water; and (2) The quantity of licensed or other radioactive material that the licensee releases into the sewer in 1 month divided by the average monthly volume of water released into the sewer by the licensee does not exceed the concentration listed in table 3 of appendix B to part 20; and (3) If more than one radionuclide is released, the following conditions must also be satisfied: (i) The licensee shall determine the fraction of the limit in table 3 of appendix B to part 20 represented by discharges into sanitary sewerage by dividing the actual monthly average concentration of each radionuclide released by the licensee into the sewer by the concentration of that radionuclide listed in table 3 of appendix B to part 20; and (ii) The sum of the fractions for each radionuclide required by paragraph (a)(3)(i) of this section does not exceed unity; and (4) The total quantity of licensed and other radioactive material that the licensee releases into the sanitary sewerage system in a year does not exceed 5 curies (185 GBq) of hydrogen-3, 1 curie (37 GBq) of carbon-14, and 1 curie (37 GBq) of all other radioactive materials combined. (b) Excreta from individuals undergoing medical diagnosis or therapy with radioactive material are not subject to the limitations contained in paragraph (a) of this section. | |||
| 10:10:1.0.1.1.16.11.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2004 Treatment or disposal by incineration. | NRC | [57 FR 57656, Dec. 7, 1992] | (a) A licensee may treat or dispose of licensed material by incineration only: (1) As authorized by paragraph (b) of this section; or (2) If the material is in a form and concentration specified in § 20.2005; or (3) As specifically approved by the Commission pursuant to § 20.2002. (b)(1) Waste oils (petroleum derived or synthetic oils used principally as lubricants, coolants, hydraulic or insulating fluids, or metalworking oils) that have been radioactively contaminated in the course of the operation or maintenance of a nuclear power reactor licensed under part 50 of this chapter may be incinerated on the site where generated provided that the total radioactive effluents from the facility, including the effluents from such incineration, conform to the requirements of appendix I to part 50 of this chapter and the effluent release limits contained in applicable license conditions other than effluent limits specifically related to incineration of waste oil. The licensee shall report any changes or additions to the information supplied under §§ 50.34 and 50.34a of this chapter associated with this incineration pursuant to § 50.71 of this chapter, as appropriate. The licensee shall also follow the procedures of § 50.59 of this chapter with respect to such changes to the facility or procedures. (2) Solid residues produced in the process of incinerating waste oils must be disposed of as provided by § 20.2001. (3) The provisions of this section authorize onsite waste oil incineration under the terms of this section and supersede any provision in an individual plant license or technical specification that may be inconsistent. | |||
| 10:10:1.0.1.1.16.11.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2005 Disposal of specific wastes. | NRC | (a) A licensee may dispose of the following licensed material as if it were not radioactive: (1) 0.05 microcurie (1.85 kBq), or less, of hydrogen-3 or carbon-14 per gram of medium used for liquid scintillation counting; and (2) 0.05 microcurie (1.85 kBq), or less, of hydrogen-3 or carbon-14 per gram of animal tissue, averaged over the weight of the entire animal. (b) A licensee may not dispose of tissue under paragraph (a)(2) of this section in a manner that would permit its use either as food for humans or as animal feed. (c) The licensee shall maintain records in accordance with § 20.2108. | ||||
| 10:10:1.0.1.1.16.11.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2006 Transfer for disposal and manifests. | NRC | [63 FR 50128, Sept. 21, 1998, as amended at 72 FR 55922, Oct. 1, 2007] | (a) The requirements of this section and appendix G to 10 CFR part 20 are designed to— (1) Control transfers of low-level radioactive waste by any waste generator, waste collector, or waste processor licensee, as defined in this part, who ships low-level waste either directly, or indirectly through a waste collector or waste processor, to a licensed low-level waste land disposal facility (as defined in part 61 of this chapter); (2) Establish a manifest tracking system; and (3) Supplement existing requirements concerning transfers and recordkeeping for those wastes. (b) Any licensee shipping radioactive waste intended for ultimate disposal at a licensed land disposal facility must document the information required on NRC's Uniform Low-Level Radioactive Waste Manifest and transfer this recorded manifest information to the intended consignee in accordance with appendix G to 10 CFR part 20. (c) Each shipment manifest must include a certification by the waste generator as specified in section II of appendix G to 10 CFR part 20. (d) Each person involved in the transfer for disposal and disposal of waste, including the waste generator, waste collector, waste processor, and disposal facility operator, shall comply with the requirements specified in section III of appendix G to 10 CFR part 20. (e) Any licensee shipping byproduct material as defined in paragraphs (3) and (4) of the definition of Byproduct material set forth in § 20.1003 intended for ultimate disposal at a land disposal facility licensed under part 61 of this chapter must document the information required on the NRC's Uniform Low-Level Radioactive Waste Manifest and transfer this recorded manifest information to the intended consignee in accordance with appendix G to this part. | |||
| 10:10:1.0.1.1.16.11.76.7 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2007 Compliance with environmental and health protection regulations. | NRC | Nothing in this subpart relieves the licensee from complying with other applicable Federal, State, and local regulations governing any other toxic or hazardous properties of materials that may be disposed of under this subpart. | ||||
| 10:10:1.0.1.1.16.11.76.8 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2008 Disposal of certain byproduct material. | NRC | [72 FR 55922, Oct. 1, 2007] | (a) Licensed material as defined in paragraphs (3) and (4) of the definition of Byproduct material set forth in § 20.1003 may be disposed of in accordance with part 61 of this chapter, even though it is not defined as low-level radioactive waste. Therefore, any licensed byproduct material being disposed of at a facility, or transferred for ultimate disposal at a facility licensed under part 61 of this chapter, must meet the requirements of § 20.2006. (b) A licensee may dispose of byproduct material, as defined in paragraphs (3) and (4) of the definition of Byproduct material set forth in § 20.1003, at a disposal facility authorized to dispose of such material in accordance with any Federal or State solid or hazardous waste law, including the Solid Waste Disposal Act, as authorized under the Energy Policy Act of 2005. | |||
| 10:10:1.0.1.1.16.12.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2101 General provisions. | NRC | [56 FR 23404, May 21, 1991, as amended at 60 FR 15663, Mar. 27, 1995; 63 FR 39483, July 23, 1998] | (a) Each licensee shall use the units: curie, rad, rem, including multiples and subdivisions, and shall clearly indicate the units of all quantities on records required by this part. (b) In the records required by this part, the licensee may record quantities in SI units in parentheses following each of the units specified in paragraph (a) of this section. However, all quantities must be recorded as stated in paragraph (a) of this section. (c) Not withstanding the requirements of paragraph (a) of this section, when recording information on shipment manifests, as required in § 20.2006(b), information must be recorded in the International System of Units (SI) or in SI and units as specified in paragraph (a) of this section. (d) The licensee shall make a clear distinction among the quantities entered on the records required by this part (e.g., total effective dose equivalent, shallow-dose equivalent, lens dose equivalent, deep-dose equivalent, committed effective dose equivalent). | |||
| 10:10:1.0.1.1.16.12.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2102 Records of radiation protection programs. | NRC | (a) Each licensee shall maintain records of the radiation protection program, including: (1) The provisions of the program; and (2) Audits and other reviews of program content and implementation. (b) The licensee shall retain the records required by paragraph (a)(1) of this section until the Commission terminates each pertinent license requiring the record. The licensee shall retain the records required by paragraph (a)(2) of this section for 3 years after the record is made. | ||||
| 10:10:1.0.1.1.16.12.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2103 Records of surveys. | NRC | [56 FR 23404, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995; 66 FR 64737, Dec. 14, 2001] | (a) Each licensee shall maintain records showing the results of surveys and calibrations required by §§ 20.1501 and 20.1906(b). The licensee shall retain these records for 3 years after the record is made. (b) The licensee shall retain each of the following records until the Commission terminates each pertinent license requiring the record: (1) Records of the results of surveys to determine the dose from external sources and used, in the absence of or in combination with individual monitoring data, in the assessment of individual dose equivalents. This includes those records of results of surveys to determine the dose from external sources and used, in the absence of or in combination with individual monitoring data, in the assessment of individual dose equivalents required under the standards for protection against radiation in effect prior to January 1, 1994; and (2) Records of the results of measurements and calculations used to determine individual intakes of radioactive material and used in the assessment of internal dose. This includes those records of the results of measurements and calculations used to determine individual intakes of radioactive material and used in the assessment of internal dose required under the standards for protection against radiation in effect prior to January 1, 1994; and (3) Records showing the results of air sampling, surveys, and bioassays required pursuant to § 20.1703(c)(1) and (2). This includes those records showing the results of air sampling, surveys, and bioassays required under the standards for protection against radiation in effect prior to January 1, 1994; and (4) Records of the results of measurements and calculations used to evaluate the release of radioactive effluents to the environment. This includes those records of the results of measurements and calculations used to evaluate the release of radioactive effluents to the environment required under the standards for protection against radiation in effect prior to January 1, 1994. | |||
| 10:10:1.0.1.1.16.12.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2104 Determination of prior occupational dose. | NRC | [56 FR 23404, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 60 FR 20186, Apr. 25, 1995; 60 FR 36043, July 13, 1995; 72 FR 68059, Dec. 4, 2007] | (a) For each individual who is likely to receive an annual occupational dose requiring monitoring under § 20.1502, the licensee shall determine the occupational radiation dose received during the current year. (b) Prior to permitting an individual to participate in a planned special exposure, the licensee shall determine— (1) The internal and external doses from all previous planned special exposures; and (2) All doses in excess of the limits (including doses received during accidents and emergencies) received during the lifetime of the individual. (c) In complying with the requirements of paragraphs (a) or (b) of this section, a licensee may— (1) Accept, as a record of the occupational dose that the individual received during the current year, a written signed statement from the individual, or from the individual's most recent employer for work involving radiation exposure, that discloses the nature and the amount of any occupational dose that the individual may have received during the current year; (2) Accept, as the record of cumulative radiation dose, an up-to-date NRC Form 4, or equivalent, signed by the individual and countersigned by an appropriate official of the most recent employer for work involving radiation exposure, or the individual's current employer (if the individual is not employed by the licensee); and (3) Obtain reports of the individual's dose equivalent(s) from the most recent employer for work involving radiation exposure, or the individual's current employer (if the individual is not employed by the licensee) by telephone, telegram, electronic media, or letter. The licensee shall request a written verification of the dose data if the authenticity of the transmitted report cannot be established. (d) The licensee shall record the exposure history of each individual, as required by paragraphs (a) or (b) of this section, on NRC Form 4, or other clear and legible record, including all of the information required by NRC Form 4. 4 The form or record must show each period in which … | |||
| 10:10:1.0.1.1.16.12.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2105 Records of planned special exposures. | NRC | (a) For each use of the provisions of § 20.1206 for planned special exposures, the licensee shall maintain records that describe— (1) The exceptional circumstances requiring the use of a planned special exposure; and (2) The name of the management official who authorized the planned special exposure and a copy of the signed authorization; and (3) What actions were necessary; and (4) Why the actions were necessary; and (5) How doses were maintained ALARA; and (6) What individual and collective doses were expected to result, and the doses actually received in the planned special exposure. (b) The licensee shall retain the records until the Commission terminates each pertinent license requiring these records. | ||||
| 10:10:1.0.1.1.16.12.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2106 Records of individual monitoring results. | NRC | [56 FR 23404, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995; 63 FR 39483, July 23, 1998] | (a) Recordkeeping requirement. Each licensee shall maintain records of doses received by all individuals for whom monitoring was required pursuant to § 20.1502, and records of doses received during planned special exposures, accidents, and emergency conditions. These records 5 must include, when applicable— 5 Assessments of dose equivalent and records made using units in effect before the licensee's adoption of this part need not be changed. (1) The deep-dose equivalent to the whole body, lens dose equivalent, shallow-dose equivalent to the skin, and shallow-dose equivalent to the extremities; (2) The estimated intake of radionuclides (see § 20.1202); (3) The committed effective dose equivalent assigned to the intake of radionuclides; (4) The specific information used to assess the committed effective dose equivalent pursuant to § 20.1204 (a) and (c), and when required by § 20.1502; (5) The total effective dose equivalent when required by § 20.1202; and (6) The total of the deep-dose equivalent and the committed dose to the organ receiving the highest total dose. (b) Recordkeeping frequency. The licensee shall make entries of the records specified in paragraph (a) of this section at least annually. (c) Recordkeeping format. The licensee shall maintain the records specified in paragraph (a) of this section on NRC Form 5, in accordance with the instructions for NRC Form 5, or in clear and legible records containing all the information required by NRC Form 5. (d) Privacy protection. The records required under this section should be protected from public disclosure because of their personal privacy nature. These records are protected by most State privacy laws and, when transferred to the NRC, are protected by the Privacy Act of 1974, Public Law 93-579, 5 U.S.C. 552a, and the Commission's regulations in 10 CFR part 9. (e) The licensee shall maintain the records of dose to an embryo/fetus with the records of dose to the declared pregnant woman. The declaration of pregnancy shall also be kept … | |||
| 10:10:1.0.1.1.16.12.76.7 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2107 Records of dose to individual members of the public. | NRC | (a) Each licensee shall maintain records sufficient to demonstrate compliance with the dose limit for individual members of the public (see § 20.1301). (b) The licensee shall retain the records required by paragraph (a) of this section until the Commission terminates each pertinent license requiring the record. | ||||
| 10:10:1.0.1.1.16.12.76.8 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2108 Records of waste disposal. | NRC | [56 FR 23404, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995; 61 FR 24673, May 16, 1996] | (a) Each licensee shall maintain records of the disposal of licensed materials made under §§ 20.2002, 20.2003, 20.2004, 20.2005, 10 CFR part 61 and disposal by burial in soil, including burials authorized before January 28, 1981. 6 6 A previous § 20.304 permitted burial of small quantities of licensed materials in soil before January 28, 1981, without specific Commission authorization. (b) The licensee shall retain the records required by paragraph (a) of this section until the Commission terminates each pertinent license requiring the record. Requirements for disposition of these records, prior to license termination, are located in §§ 30.51, 40.61, 70.51, and 72.80 for activities licensed under these parts. | |||
| 10:10:1.0.1.1.16.12.76.9 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2109 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.16.12.76.10 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2110 Form of records. | NRC | Each record required by this part must be legible throughout the specified retention period. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records, such as letters, drawings, and specifications, must include all pertinent information, such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. | ||||
| 10:10:1.0.1.1.16.13.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2201 Reports of theft or loss of licensed material. | NRC | [56 FR 23406, May 21, 1991, as amended at 58 FR 69220, Dec. 30, 1993; 60 FR 20186, Apr. 25, 1995; 66 FR 64738, Dec. 14, 2001; 67 FR 3585, Jan. 25, 2002; 78 FR 17006, Mar. 19, 2013; 85 FR 65661, Oct. 16, 2020; 88 FR 15880, Mar. 14, 2023] | (a) Telephone reports. (1) Each licensee shall report by telephone as follows: (i) Immediately after its occurrence becomes known to the licensee, any lost, stolen, or missing licensed material in an aggregate quantity equal to or greater than 1,000 times the quantity specified in appendix C to part 20 under such circumstances that it appears to the licensee that an exposure could result to persons in unrestricted areas; or (ii) Within 30 days after the occurrence of any lost, stolen, or missing licensed material becomes known to the licensee, all licensed material in a quantity greater than 10 times the quantity specified in appendix C to part 20 that is still missing at this time. (2) Reports must be made as follows: (i) Licensees having an installed Emergency Notification System shall make the reports to the NRC Operations Center in accordance with § 50.72 of this chapter, and (ii) All other licensees shall make reports by telephone to the NRC Headquarters Operations Center at the numbers specified in appendix A to part 73 of this chapter. (b) Written reports. (1) Each licensee required to make a report under paragraph (a) of this section shall, within 30 days after making the telephone report, make a written report setting forth the following information: (i) A description of the licensed material involved, including kind, quantity, and chemical and physical form; and (ii) A description of the circumstances under which the loss or theft occurred; and (iii) A statement of disposition, or probable disposition, of the licensed material involved; and (iv) Exposures of individuals to radiation, circumstances under which the exposures occurred, and the possible total effective dose equivalent to persons in unrestricted areas; and (v) Actions that have been taken, or will be taken, to recover the material; and (vi) Procedures or measures that have been, or will be, adopted to ensure against a recurrence of the loss or theft of licensed material. (2) Reports must be made as follows: (i) For holders … | |||
| 10:10:1.0.1.1.16.13.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2202 Notification of incidents. | NRC | [56 FR 23406, May 21, 1991, as amended at 56 FR 40766, Aug. 16, 1991; 57 FR 57879, Dec. 8, 1992; 59 FR 14086, Mar. 25, 1994; 63 FR 39483, July 23, 1998; 85 FR 65661, Oct. 16, 2020] | (a) Immediate notification. Notwithstanding any other requirements for notification, each licensee shall immediately report any event involving byproduct, source, or special nuclear material possessed by the licensee that may have caused or threatens to cause any of the following conditions— (1) An individual to receive— (i) A total effective dose equivalent of 25 rems (0.25 Sv) or more; or (ii) A lens dose equivalent of 75 rems (0.75 Sv) or more; or (iii) A shallow-dose equivalent to the skin or extremities of 250 rads (2.5 Gy) or more; or (2) The release of radioactive material, inside or outside of a restricted area, so that, had an individual been present for 24 hours, the individual could have received an intake five times the annual limit on intake (the provisions of this paragraph do not apply to locations where personnel are not normally stationed during routine operations, such as hot-cells or process enclosures). (b) Twenty-four hour notification. Each licensee shall, within 24 hours of discovery of the event, report any event involving loss of control of licensed material possessed by the licensee that may have caused, or threatens to cause, any of the following conditions: (1) An individual to receive, in a period of 24 hours— (i) A total effective dose equivalent exceeding 5 rems (0.05 Sv); or (ii) A lens dose equivalent exceeding 15 rems (0.15 Sv); or (iii) A shallow-dose equivalent to the skin or extremities exceeding 50 rems (0.5 Sv); or (2) The release of radioactive material, inside or outside of a restricted area, so that, had an individual been present for 24 hours, the individual could have received an intake in excess of one occupational annual limit on intake (the provisions of this paragraph do not apply to locations where personnel are not normally stationed during routine operations, such as hot-cells or process enclosures). (c) The licensee shall prepare any report filed with the Commission pursuant to this section so that names of individuals who have received exposure to r… | |||
| 10:10:1.0.1.1.16.13.76.3 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2203 Reports of exposures, radiation levels, and concentrations of radioactive material exceeding the constraints or limits. | NRC | [56 FR 23406, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995; 61 FR 65127, Dec. 10, 1996; 68 FR 14308, Mar. 25, 2003; 68 FR 58801, Oct. 10, 2003; 72 FR 49486, Aug. 28, 2007; 74 FR 62680, Dec. 1, 2009; 80 FR 74979, Dec. 1, 2015] | (a) Reportable events. In addition to the notification required by § 20.2202, each licensee shall submit a written report within 30 days after learning of any of the following occurrences: (1) Any incident for which notification is required by § 20.2202; or (2) Doses in excess of any of the following: (i) The occupational dose limits for adults in § 20.1201; or (ii) The occupational dose limits for a minor in § 20.1207; or (iii) The limits for an embryo/fetus of a declared pregnant woman in § 20.1208; or (iv) The limits for an individual member of the public in § 20.1301; or (v) Any applicable limit in the license; or (vi) The ALARA constraints for air emissions established under § 20.1101(d); or (3) Levels of radiation or concentrations of radioactive material in— (i) A restricted area in excess of any applicable limit in the license; or (ii) An unrestricted area in excess of 10 times any applicable limit set forth in this part or in the license (whether or not involving exposure of any individual in excess of the limits in § 20.1301); or (4) For licensees subject to the provisions of EPA's generally applicable environmental radiation standards in 40 CFR part 190, levels of radiation or releases of radioactive material in excess of those standards, or of license conditions related to those standards. (b) Contents of reports. (1) Each report required by paragraph (a) of this section must describe the extent of exposure of individuals to radiation and radioactive material, including, as appropriate: (i) Estimates of each individual's dose; and (ii) The levels of radiation and concentrations of radioactive material involved; and (iii) The cause of the elevated exposures, dose rates, or concentrations; and (iv) Corrective steps taken or planned to ensure against a recurrence, including the schedule for achieving conformance with applicable limits, ALARA constraints, generally applicable environmental standards, and associated license conditions. (2) Each report filed pursuant to paragraph (a) o… | |||
| 10:10:1.0.1.1.16.13.76.4 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2204 Reports of planned special exposures. | NRC | [56 FR 23406, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995] | The licensee shall submit a written report to the Administrator of the appropriate NRC Regional Office listed in appendix D to part 20 within 30 days following any planned special exposure conducted in accordance with § 20.1206, informing the Commission that a planned special exposure was conducted and indicating the date the planned special exposure occurred and the information required by § 20.2105. | |||
| 10:10:1.0.1.1.16.13.76.5 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2205 Reports to individuals of exceeding dose limits. | NRC | [72 FR 68059, Dec. 4, 2007] | When a licensee is required by §§ 20.2203 or 20.2204 to report to the Commission any exposure of an identified occupationally exposed individual, or an identified member of the public, to radiation or radioactive material, the licensee shall also provide the individual a report on his or her exposure data included in the report to Commission. This report must be transmitted no later than the transmittal to the Commission. | |||
| 10:10:1.0.1.1.16.13.76.6 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2206 Reports of individual monitoring. | NRC | [56 FR 23406, May 21, 1991, as amended at 56 FR 32072, July 15, 1991; 66 FR 55789, Nov. 2, 2001; 68 FR 58802, Oct. 10, 2003] | (a) This section applies to each person licensed by the Commission to— (1) Operate a nuclear reactor designed to produce electrical or heat energy pursuant to § 50.21(b) or § 50.22 of this chapter or a testing facility as defined in § 50.2 of this chapter; or (2) Possess or use byproduct material for purposes of radiography pursuant to parts 30 and 34 of this chapter; or (3) Possess or use at any one time, for purposes of fuel processing, fabricating, or reprocessing, special nuclear material in a quantity exceeding 5,000 grams of contained uranium-235, uranium-233, or plutonium, or any combination thereof pursuant to part 70 of this chapter; or (4) Possess high-level radioactive waste at a geologic repository operations area pursuant to part 60 or 63 of this chapter; or (5) Possess spent fuel in an independent spent fuel storage installation (ISFSI) pursuant to part 72 of this chapter; or (6) Receive radioactive waste from other persons for disposal under part 61 of this chapter; or (7) Possess or use at any time, for processing or manufacturing for distribution pursuant to parts 30, 32, 33 or 35 of this chapter, byproduct material in quantities exceeding any one of the following quantitites: 1 The Commission may require as a license condition, or by rule, regulation, or order pursuant to § 20.2302, reports from licensees who are licensed to use radionuclides not on this list, in quantities sufficient to cause comparable radiation levels. (b) Each licensee in a category listed in paragraph (a) of this section shall submit an annual report of the results of individual monitoring carried out by the licensee for each individual for whom monitoring was required by § 20.1502 during that year. The licensee may include additional data for individuals for whom monitoring was provided but not required. The licensee shall use Form NRC 5 or electronic media containing all the information required by Form NRC 5. (c) The licensee shall file the report required by § 20.2206(b), covering the preceding year, on or be… | |||
| 10:10:1.0.1.1.16.13.76.7 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2207 Reports of transactions involving nationally tracked sources. | NRC | [71 FR 65707, Nov. 8, 2006, as amended at 72 FR 59163, Oct. 19, 2007; 86 FR 43401, Aug. 9, 2021] | Each licensee who manufactures, transfers, receives, disassembles, or disposes of a nationally tracked source shall complete and submit a National Source Tracking Transaction Report as specified in paragraphs (a) through (e) of this section for each type of transaction. (a) Each licensee who manufactures a nationally tracked source shall complete and submit a National Source Tracking Transaction Report. The report must include the following information: (1) The name, address, and license number of the reporting licensee; (2) The name of the individual preparing the report; (3) The manufacturer, model, and serial number of the source; (4) The radioactive material in the source; (5) The initial source strength in becquerels (curies) at the time of manufacture; and (6) The manufacture date of the source. (b) Each licensee that transfers a nationally tracked source to another person shall complete and submit a National Source Tracking Transaction Report. The report must include the following information: (1) The name, address, and license number of the reporting licensee; (2) The name of the individual preparing the report; (3) The name and license number of the recipient facility and the shipping address; (4) The manufacturer, model, and serial number of the source or, if not available, other information to uniquely identify the source; (5) The radioactive material in the source; (6) The initial or current source strength in becquerels (curies); (7) The date for which the source strength is reported; (8) The shipping date; (9) The estimated arrival date; and (10) For nationally tracked sources transferred as waste under a Uniform Low-Level Radioactive Waste Manifest, the waste manifest number and the container identification of the container with the nationally tracked source. (c) Each licensee that receives a nationally tracked source shall complete and submit a National Source Tracking Transaction Report. The report must include the following information: (1) The name, address, and license numb… | |||
| 10:10:1.0.1.1.16.14.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2301 Applications for exemptions. | NRC | The Commission may, upon application by a licensee or upon its own initiative, grant an exemption from the requirements of the regulations in this part if it determines the exemption is authorized by law and would not result in undue hazard to life or property. | ||||
| 10:10:1.0.1.1.16.14.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2302 Additional requirements. | NRC | The Commission may, by rule, regulation, or order, impose requirements on a licensee, in addition to those established in the regulations in this part, as it deems appropriate or necessary to protect health or to minimize danger to life or property. | ||||
| 10:10:1.0.1.1.16.15.76.1 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2401 Violations. | NRC | [56 FR 23408, May 21, 1991; 56 FR 61352, Dec. 3, 1991, as amended at 57 FR 55071, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107 or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; and (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under Section 186 of the Atomic Energy Act of 1954, as amended. | |||
| 10:10:1.0.1.1.16.15.76.2 | 10 | Energy | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | § 20.2402 Criminal penalties. | NRC | [57 FR 55071, Nov. 24, 1992, as amended at 62 FR 39089, July 21, 1997] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in §§ 20.1001 through 20.2402 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) this section. (b) The regulations in §§ 20.1001 through 20.2402 that are not issued under Sections 161b, 161i, or 161o for the purposes of Section 223 are as follows: §§ 20.1001, 20.1002, 20.1003, 20.1004, 20.1005, 20.1006, 20.1007, 20.1008, 20.1009, 20.1405, 20.1704, 20.1903, 20.1905, 20.2002, 20.2007, 20.2301, 20.2302, 20.2401, and 20.2402. | |||
| 10:10:1.0.1.1.17.0.76.1 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.1 Purpose. | NRC | The regulations in this part establish procedures and requirements for implementation of section 206 of the Energy Reorganization Act of 1974. That section requires any individual director or responsible officer of a firm constructing, owning, operating or supplying the components of any facility or activity which is licensed or otherwise regulated pursuant to the Atomic Energy Act of 1954, as amended, or the Energy Reorganization Act of 1974, who obtains information reasonably indicating: (a) That the facility, activity or basic component supplied to such facility or activity fails to comply with the Atomic Energy Act of 1954, as amended, or any applicable rule, regulation, order, or license of the Commission relating to substantial safety hazards or (b) that the facility, activity, or basic component supplied to such facility or activity contains defects, which could create a substantial safety hazard, to immediately notify the Commission of such failure to comply or such defect, unless he has actual knowledge that the Commission has been adequately informed of such defect or failure to comply. | ||||
| 10:10:1.0.1.1.17.0.76.2 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.2 Scope. | NRC | [56 FR 36089, July 31, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 59 FR 48959, Sept. 23, 1994; 60 FR 48373, Sept. 19, 1995; 66 FR 55790, Nov. 2, 2001; 72 FR 49486, Aug. 28, 2007; 85 FR 65661, Oct. 16, 2020; 88 FR 15880, Mar. 14, 2023] | (a) The regulations in this part apply, except as specifically provided otherwise in parts 31, 34, 35, 39, 40, 60, 61, 63, 70, or part 72 of this chapter, to: (1) Each individual, partnership, corporation, or other entity applying for or holding a license or permit under the regulations in this chapter to possess, use, or transfer within the United States source material, byproduct material, special nuclear material, and/or spent fuel and high-level radioactive waste, or to construct, manufacture, possess, own, operate, or transfer within the United States, any production or utilization facility or independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS); and each director and responsible officer of such a licensee; (2) Each individual, corporation, partnership, or other entity doing business within the United States, and each director and responsible officer of such an organization, that constructs a production or utilization facility licensed for manufacture, construction, or operation under parts 50 or 52 of this chapter, an ISFSI for the storage of spent fuel licensed under part 72 of this chapter, an MRS for the storage of spent fuel or high-level radioactive waste under part 72 of this chapter, or a geologic repository for the disposal of high-level radioactive waste under part 60 or 63 of this chapter; or supplies basic components for a facility or activity licensed, other than for export, under parts 30, 40, 50, 52, 60, 61, 63, 70, 71, or part 72 of this chapter; (3) Each individual, corporation, partnership, or other entity doing business within the United States, and each director and responsible officer of such an organization, applying for a design certification rule under part 52 of this chapter; or supplying basic components with respect to that design certification, and each individual, corporation, partnership, or other entity doing business within the United States, and each director and responsible officer of such an organization, whose applicati… | |||
| 10:10:1.0.1.1.17.0.76.3 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.3 Definitions. | NRC | [42 FR 28893, June 6, 1977; 42 FR 36803, July 18, 1977, as amended at 43 FR 48622, Oct. 19, 1978; 46 FR 58283, Dec. 1, 1981; 47 FR 57480, Dec. 27, 1982; 56 FR 36089, July 31, 1991; 59 FR 5519, Feb. 7, 1994; 60 FR 48373, Sept. 19, 1995; 61 FR 65171, Dec. 11, 1996; 64 FR 72000, Dec. 23, 1999; 66 FR 55790, Nov. 2, 2001; 72 FR 49486, Aug. 28, 2007; 84 FR 63567, Nov. 18, 2019] | As used in this part: Basic component. (1)(i) When applied to nuclear power plants licensed under 10 CFR part 50 or part 52 of this chapter, basic component means a structure, system, or component, or part thereof that affects its safety function necessary to assure: (A) The integrity of the reactor coolant pressure boundary; (B) The capability to shut down the reactor and maintain it in a safe-shutdown condition; or (C) The capability to prevent or mitigate the consequences of accidents which could result in potential offsite exposures comparable to those referred to in §§ 50.34(a)(1), 50.67(b)(2), or 100.11 of this chapter, as applicable. (ii) Basic components are items designed and manufactured under a quality assurance program complying with appendix B to part 50 of this chapter, or commercial grade items which have successfully completed the dedication process. (2) When applied to standard design certifications under subpart B of part 52 of this chapter and standard design approvals under part 52 of this chapter, basic component means the design or procurement information approved or to be approved within the scope of the design certification or approval for a structure, system, or component, or part thereof, that affects its safety function necessary to assure: (i) The integrity of the reactor coolant pressure boundary; (ii) The capability to shut down the reactor and maintain it in a safe-shutdown condition; or (iii) The capability to prevent or mitigate the consequences of accidents which could result in potential offsite exposures comparable to those referred to in §§ 50.34(a)(1), 50.67(b)(2), or 100.11 of this chapter, as applicable. (3) When applied to other facilities and other activities licensed under 10 CFR parts 30, 40, 50 (other than nuclear power plants), 60, 61, 63, 70, 71, or 72 of this chapter, basic component means a structure, system, or component, or part thereof, that affects their safety function, that is directly procured by the licensee of a facility or activity subject to t… | |||
| 10:10:1.0.1.1.17.0.76.4 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.4 Interpretations. | NRC | [42 FR 28893, June 6, 1977, as amended at 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027 unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.17.0.76.5 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.5 Communications. | NRC | [72 FR 49487, Aug. 28, 2007, as amended at 74 FR 62680, Dec. 1, 2009; 80 FR 74979, Dec. 1, 2015] | Except where otherwise specified in this part, written communications and reports concerning the regulations in this part must be addressed to the NRC's Document Control Desk, and sent by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. In the case of a licensee or permit holder, a copy of the communication must also be sent to the appropriate Regional Administrator at the address specified in appendix D to part 20 of this chapter. | |||
| 10:10:1.0.1.1.17.0.76.6 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.6 Posting requirements. | NRC | [42 FR 28893, June 6, 1977, as amended at 60 FR 48374, Sept. 19, 1995] | (a)(1) Each individual, partnership, corporation, dedicating entity, or other entity subject to the regulations in this part shall post current copies of— (i) The regulations in this part; (ii) Section 206 of the Energy Reorganization Act of 1974; and (iii) Procedures adopted pursuant to the regulations in this part. (2) These documents must be posted in a conspicuous position on any premises within the United States where the activities subject to this part are conducted. (b) If posting of the regulations in this part or the procedures adopted pursuant to the regulations in this part is not practicable, the licensee or firm subject to the regulations in this part may, in addition to posting section 206, post a notice which describes the regulations/procedures, including the name of the individual to whom reports may be made, and states where they may be examined. (c) The effective date of this section has been deferred until January 6, 1978. | |||
| 10:10:1.0.1.1.17.0.76.7 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.7 Exemptions. | NRC | [42 FR 28893, June 6, 1977, as amended at 43 FR 48622, Oct. 19, 1978] | The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part as it determines are authorized by law and will not endanger life or property or the common defense and security and are otherwise in the public interest. Suppliers of commercial grade items are exempt from the provisions of this part to the extent that they supply commercial grade items. | |||
| 10:10:1.0.1.1.17.0.76.8 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.8 Information collection requirements: OMB approval. | NRC | [62 FR 52185, Oct. 6, 1997] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0035. (b) The approved information collection requirements contained in this part appear in §§ 21.7, 21.21 and 21.51. | |||
| 10:10:1.0.1.1.17.0.77.9 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.21 Notification of failure to comply or existence of a defect and its evaluation. | NRC | [42 FR 28893, June 6, 1977, as amended at 46 FR 58283, Dec. 1, 1981; 47 FR 57480, Dec. 27, 1982; 52 FR 31611, Aug. 21, 1987; 56 FR 36089, July 31, 1991; 59 FR 14086, Mar. 25, 1994; 60 FR 48374, Sept. 19, 1995; 66 FR 55790, Nov. 2, 2001; 67 FR 77652, Dec. 19, 2002; 72 FR 49487, Aug. 28, 2007] | (a) Each individual, corporation, partnership, dedicating entity, or other entity subject to the regulations in this part shall adopt appropriate procedures to— (1) Evaluate deviations and failures to comply to identify defects and failures to comply associated with substantial safety hazards as soon as practicable, and, except as provided in paragraph (a)(2) of this section, in all cases within 60 days of discovery, in order to identify a reportable defect or failure to comply that could create a substantial safety hazard, were it to remain uncorrected, and (2) Ensure that if an evaluation of an identified deviation or failure to comply potentially associated with a substantial safety hazard cannot be completed within 60 days from discovery of the deviation or failure to comply, an interim report is prepared and submitted to the Commission through a director or responsible officer or designated person as discussed in § 21.21(d)(5). The interim report should describe the deviation or failure to comply that is being evaluated and should also state when the evaluation will be completed. This interim report must be submitted in writing within 60 days of discovery of the deviation or failure to comply. (3) Ensure that a director or responsible officer subject to the regulations of this part is informed as soon as practicable, and, in all cases, within the 5 working days after completion of the evaluation described in paragraphs (a)(1) or (a)(2) of this section if the manufacture, construction, or operation of a facility or activity, a basic component supplied for such facility or activity, or the design certification or design approval under part 52 of this chapter— (i) Fails to comply with the Atomic Energy Act of 1954, as amended, or any applicable rule, regulation, order, or license of the Commission or standard design approval under part 52 of this chapter, relating to a substantial safety hazard, or (ii) Contains a defect. (b) If the deviation or failure to comply is discovered by a supplier of basic compo… | |||
| 10:10:1.0.1.1.17.0.78.10 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.31 Procurement documents. | NRC | [60 FR 48374, Sept. 19, 1995] | Each individual, corporation, partnership, dedicating entity, or other entity subject to the regulations in this part shall ensure that each procurement document for a facility, or a basic component issued by him, her or it on or after January 6, 1978, specifies, when applicable, that the provisions of 10 CFR part 21 apply. | |||
| 10:10:1.0.1.1.17.0.79.11 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.41 Inspections. | NRC | [60 FR 48374, Sept. 19, 1995] | Each individual, corporation, partnership, dedicating entity, or other entity subject to the regulations in this part shall permit the Commission to inspect records, premises, activities, and basic components as necessary to accomplish the purposes of this part. | |||
| 10:10:1.0.1.1.17.0.79.12 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.51 Maintenance and inspection of records. | NRC | [56 FR 36090, July 31, 1991, as amended at 60 FR 48374, Sept. 19, 1995; 72 FR 49488, Aug. 28, 2007] | (a) Each individual, corporation, partnership, dedicating entity, or other entity subject to the regulations in this part shall prepare and maintain records necessary to accomplish the purposes of this part, specifically— (1) Retain evaluations of all deviations and failures to comply for a minimum of five years after the date of the evaluation; (2) Suppliers of basic components must retain any notifications sent to purchasers and affected licensees for a minimum of five years after the date of the notification. (3) Suppliers of basic components must retain a record of the purchasers of basic components for 10 years after delivery of the basic component or service associated with a basic component. (4) Applicants for standard design certification under subpart B of part 52 of this chapter and others providing a design which is the subject of a design certification, during and following Commission adoption of a final design certification rule for that design, shall retain any notifications sent to purchasers and affected licensees for a minimum of 5 years after the date of the notification, and retain a record of the purchasers for 15 years after delivery of design which is the subject of the design certification rule or service associated with the design. (5) Applicants for or holders of a standard design approval under subpart E of part 52 of this chapter and others providing a design which is the subject of a design approval shall retain any notifications sent to purchasers and affected licensees for a minimum of 5 years after the date of the notification, and retain a record of the purchasers for 15 years after delivery of the design which is the subject of the design approval or service associated with the design. (b) Each individual, corporation, partnership, dedicating entity, or other entity subject to the regulations in this part shall permit the Commission the opportunity to inspect records pertaining to basic components that relate to the identification and evaluation of deviations, and the report… | |||
| 10:10:1.0.1.1.17.0.80.13 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.61 Failure to notify. | NRC | [60 FR 48374, Sept. 19, 1995, as amended at 72 FR 49488, Aug. 28, 2007] | (a) Any director or responsible officer of an entity (including dedicating entity) that is not otherwise subject to the deliberate misconduct provisions of this chapter but is subject to the regulations in this part who knowingly and consciously fails to provide the notice required as by § 21.21 shall be subject to a civil penalty equal to the amount provided by section 234 of the Atomic Energy Act of 1954, as amended. (b) Any NRC licensee or applicant for a license (including an applicant for, or holder of, a permit), applicant for a design certification under part 52 of this chapter during the pendency of its application, applicant for a design certification after Commission adoption of a final design certification rule for that design, or applicant for or holder of a standard design approval under part 52 of this chapter subject to the regulations in this part who fails to provide the notice required by § 21.21, or otherwise fails to comply with the applicable requirements of this part shall be subject to a civil penalty as provided by Section 234 of the Atomic Energy Act of 1954, as amended. (c) The dedicating entity, pursuant to § 21.21(c) of this part, is responsible for identifying and evaluating deviations, reporting defects and failures to comply for the dedicated item, and maintaining auditable records of the dedication process. NRC enforcement action can be taken for failure to identify and evaluate deviations, failure to report defects and failures to comply, or failure to maintain auditable records. | |||
| 10:10:1.0.1.1.17.0.80.14 | 10 | Energy | 21 | PART 21—REPORTING OF DEFECTS AND NONCOMPLIANCE | § 21.62 Criminal penalties. | NRC | [57 FR 55071, Nov. 24, 1992] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 21 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 21 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 21.1, 21.2, 21.3, 21.4 21.5, 21.7, 21.8, 21.61, and 21.62. | |||
| 10:10:1.0.1.1.18.0.81.1 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.1 Purpose. | NRC | [62 FR 17687, Apr. 11, 1997] | The regulations in this part establish procedures for granting, reinstating, extending, transferring, and terminating access authorizations of licensee personnel, licensee contractors or agents, and other persons (e.g., individuals involved in adjudicatory procedures as set forth in 10 CFR part 2, subpart I) who may require access to classified information. | |||
| 10:10:1.0.1.1.18.0.81.2 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.3 Scope. | NRC | [70 FR 32227, June 2, 2005] | The regulations in this part apply to licensees, certificate holders, and others who may require access to classified information related to a license, certificate, an application for a license or certificate, or other activities as the Commission may determine. | |||
| 10:10:1.0.1.1.18.0.81.3 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.5 Definitions. | NRC | [45 FR 14481, Mar. 5, 1980, as amended at 46 FR 58283, Dec. 1, 1981; 47 FR 38683, Sept. 2, 1982; 48 FR 24320, June 1, 1983; 50 FR 36984, Sept. 11, 1985; 55 FR 11574, Mar. 29, 1990; 62 FR 17687, Apr. 11, 1997; 64 FR 15647, Apr. 1, 1999; 70 FR 32227, June 2, 2005; 75 FR 73941, Nov. 30, 2010; 86 FR 43401, Aug. 9, 2021; 87 FR 45241, July 28, 2022] | Access authorization means an administrative determination that an individual (including a consultant) who is employed by or an applicant for employment with the NRC, NRC contractors, agents, licensees and certificate holders, or other person designated by the Executive Director for Operations, is eligible for a security clearance for access to classified information. Act means the Atomic Energy Act of 1954 (68 Stat. 919), as amended. Certificate holder means a facility operating under the provisions of parts 71 or 76 of this chapter. Classified information means either classified National Security Information, Restricted Data, or Formerly Restricted Data or any one of them. It is the generic term for information requiring protection in the interest of National Security whether classified under an Executive Order or the Atomic Energy Act. Classified National Security Information means information that has been determined under E.O. 13526, as amended, or any predecessor or successor order to require protection against unauthorized disclosure and that is so designated. Cognizant Security Agency (CSA) means agencies of the Executive Branch that have been authorized by E.O. 12829 to establish an industrial security program for the purpose of safeguarding classified information under the jurisdiction of those agencies when disclosed or released to U.S. industry. These agencies are the Department of Defense, the Department of Energy, the Central Intelligence Agency, and the Nuclear Regulatory Commission. A facility has a single CSA which exercises primary authority for the protection of classified information at the facility. The CSA for the facility provides security representation for other government agencies with security interests at the facility. The Secretary of Defense has been designated as Executive Agent for the National Industrial Security Program. Commission means the Nuclear Regulatory Commission or its duly authorized representatives. “L” access authorization means an access authorization … | |||
| 10:10:1.0.1.1.18.0.81.4 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.7 Interpretations. | NRC | [45 FR 14481, Mar. 5, 1980, as amended at 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.18.0.81.5 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.8 Information collection requirements: OMB approval. | NRC | [49 FR 19624, May 9, 1984, as amended at 57 FR 3720, Jan. 31, 1992; 62 FR 17687, Apr. 11, 1997; 62 FR 52185, Oct. 6, 1997; 87 FR 45241, July 28, 2022] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0046. (b) The approved information collection requirements contained in this part appear in §§ 25.11, 25.17, 25.21, 25.23, 25.25, 25.27, 25.29, 25.31, 25.33, and 25.35. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In §§ 25.17(b), 25.21(c), 25.27(a), 25.29, and 25.31, NRC Form 237 is approved under control number 3150-0050. (2) In §§ 25.17(c), 25.21(c), 25.27(b), 25.29, and 25.31, the “Electronic Questionnaire for Investigations Processing (e-QIP), SF-86—Questionnaire for National Security Positions” is approved under control number 3206-0005. (3) In § 25.21(b), NRC Form 354 is approved under control number 3150-0026. (4) In § 25.33, NRC Form 136 is approved under control number 3150-0049. (5) In § 25.35, NRC Form 277 is approved under control number 3150-0051. | |||
| 10:10:1.0.1.1.18.0.81.6 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.9 Communications. | NRC | [68 FR 58803, Oct. 10, 2003, as amended at 74 FR 62681, Dec. 1, 2009; 80 FR 74979, Dec. 1, 2015] | Except where otherwise specified, communications and reports concerning the regulations in this part should be addressed to the Director, Division of Facilities and Security, Mail Stop T7-D57, and sent either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | |||
| 10:10:1.0.1.1.18.0.81.7 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.11 Specific exemptions. | NRC | [64 FR 15647, Apr. 1, 1999] | The NRC may, upon application by any interested person or upon its own initiative, grant exemptions from the requirements of the regulations of this part, that are— (a) Authorized by law, will not present an undue risk to the public health and safety, and are consistent with the common defense and security; or (b) Coincidental with one or more of the following: (1) An application of the regulation in the particular circumstances conflicts with other NRC rules or requirements; (2) An application of the regulation in the particular circumstances would not serve the underlying purpose of the rule or is not necessary to achieve the underlying purpose of the rule; (3) When compliance would result in undue hardship or other costs that significantly exceed those contemplated when the regulation was adopted, or that significantly exceed those incurred by others similarly situated; (4) When the exemption would result in benefit to the common defense and security that compensates for any decrease in the security that may result from the grant of the exemption; (5) When the exemption would provide only temporary relief from the applicable regulation and the licensee or applicant has made good faith efforts to comply with the regulation; (6) When there is any other material circumstance present that was not considered when the regulation was adopted that would be in the public interest to grant an exemption. If this condition is relied on exclusively for satisfying paragraph (b) of this section, the exemption may not be granted until the Executive Director for Operations has consulted with the Commission. | |||
| 10:10:1.0.1.1.18.0.81.8 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.13 Maintenance of records. | NRC | [45 FR 14481, Mar. 5, 1980, as amended at 53 FR 19245, May 27, 1988; 62 FR 17687, Apr. 11, 1997] | (a) Each licensee or organization employing individuals approved for personnel security access authorization under this part, shall maintain records as prescribed within the part. These records are subject to review and inspection by CSA representatives during security reviews. (b) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. | |||
| 10:10:1.0.1.1.18.0.82.9 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.15 Access permitted under “Q” or “L” access authorization. | NRC | [45 FR 14481, Mar. 5, 1980, as amended at 47 FR 9195, Mar. 4, 1982; 50 FR 36984, Sept. 11, 1985] | (a) A “Q” access authorization permits an individual access on a need-to-know basis to (1) Secret and Confidential Restricted Data and (2) Secret and Confidential National Security Information including intelligence information, CRYPTO ( i.e. , cryptographic information) or other classified communications security (COMSEC) information. (b) An “L” access authorization permits an individual access on a need-to-know basis to Confidential Restricted Data and Secret and Confidential National Security Information other than the categories specifically included in paragraph (a) of this section. In addition, access to certain Confidential COMSEC information is permitted as authorized by a National Communications Security Committee waiver dated February 14, 1985. (c) Each employee of the Commission is processed for one of the two levels of access authorization. Licensees and other persons will furnish National Security Information and/or Restricted Data to a Commission employee on official business when the employee has the appropriate level of NRC access authorization and need-to-know. Some individuals are permitted to begin NRC employment without an access authorization. However, no NRC employee shall be permitted access to any classified information until the appropriate level of access authorization has been granted to that employee by NRC. | |||
| 10:10:1.0.1.1.18.0.82.10 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.17 Approval for processing applicants for access authorization. | NRC | [62 FR 17687, Apr. 11, 1997, as amended at 68 FR 62512, Nov. 5, 2003; 70 FR 32227, June 2, 2005; 72 FR 27411, May 16, 2007; 77 FR 26153, May 3, 2012; 77 FR 46258, Aug. 3, 2012; 86 FR 43401, Aug. 9, 2021; 86 FR 47209, Aug. 24, 2021; 87 FR 45241, July 28, 2022] | (a) Access authorizations must be requested for licensee employees or other persons (e.g., 10 CFR part 2, subpart I) who need access to classified information in connection with activities under 10 CFR parts 50, 52, 54, 60, 63, 70, 72, or 76. (b) The request must be submitted to the facility CSA. If the NRC is the CSA, the procedures in § 25.17 (c) and (d) will be followed. If the NRC is not the CSA, the request will be submitted to the CSA in accordance with procedures established by the CSA. The NRC will be notified of the request by a letter that includes the name, Social Security number and level of access authorization. (c) The request must include a completed personnel security packet (see § 25.17(d)) and request form (NRC Form 237) signed by a licensee, licensee contractor official, or other authorized person. (d)(1) Each personnel security packet submitted must include the following completed forms: (i) Electronic Questionnaire for Investigations Processing (e-QIP), SF-86 Questionnaire for National Security Positions; (ii) Two standard fingerprint cards (FD-258); (iii) Security Acknowledgment (NRC Form 176); and (iv) Other related forms where specified in accompanying instructions (NRC Form 254). (2) Only a Security Acknowledgment (NRC Form 176) need be completed by any person possessing an active access authorization, or who is being processed for an access authorization, by another Federal agency. The active or pending access authorization must be at an equivalent level to that required by the NRC and be based on an adequate investigation of not more than five years old. (e) To avoid delays in processing requests for access authorizations, each security packet should be reviewed for completeness and correctness (including legibility of response on the forms) before submittal. (f) The Defense Counterintelligence and Security Agency (DCSA) bills the NRC for the cost of each background investigation conducted in support of an application for access authorization (application). The combined cost o… | |||
| 10:10:1.0.1.1.18.0.82.11 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.19 Processing applications. | NRC | [64 FR 15648, Apr. 1, 1999] | Each application for an access authorization or access authorization renewal must be submitted to the CSA. If the NRC is the CSA, the application and its accompanying fee must be submitted to the NRC Division of Facilities and Security. If necessary, the NRC Division of Facilities and Security may obtain approval from the appropriate Commission office exercising licensing or regulatory authority before processing the access authorization or access authorization renewal request. If the applicant is disapproved for processing, the NRC Division of Facilities and Security shall notify the submitter in writing and return the original application (security packet) and its accompanying fee. | |||
| 10:10:1.0.1.1.18.0.82.12 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.21 Determination of initial and continued eligibility for access authorization. | NRC | [62 FR 17688, Apr. 11, 1997, as amended at 64 FR 15648, Apr. 1, 1999] | (a) Following receipt by the CSA of the reports of the personnel security investigations, the record will be reviewed to determine that granting an access authorization or renewal of access authorization will not endanger the common defense and security and is clearly consistent with the national interest. If this determination is made, access authorization will be granted or renewed. If the NRC is the CSA, questions as to initial or continued eligibility will be determined in accordance with part 10 of chapter I. If another agency is the CSA, that agency will, under the requirements of the NISPOM, have established procedures at the facility to resolve questions as to initial or continued eligibility for access authorization. These questions will be determined in accordance with established CSA procedures already in effect for the facility. (b) The CSA must be promptly notified of developments that bear on continued eligibility for access authorization throughout the period for which the authorization is active (e.g., persons who marry subsequent to the completion of a personnel security packet must report this change by submitting a completed NRC Form 354, “Data Report on Spouse” or equivalent CSA form). (c)(1) Except as provided in paragraph (c)(2) of this section, an NRC “Q” access authorization must be renewed every five years from the date of issuance. Except as provided in paragraph (c)(2) of this section, an NRC “L” access authorization must be renewed every ten years from the date of issuance. An application for renewal must be submitted at least 120 days before the expiration of the five-year period for a “Q” access authorization and the ten-year period for an “L” access authorization, and must include: (i) A statement by the licensee or other person that the individual continues to require access to classified National Security Information or Restricted Data; and (ii) A personnel security packet as described in § 25.17(d). (2) Renewal applications and the required paperwork are not required for ind… | |||
| 10:10:1.0.1.1.18.0.82.13 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.23 Notification of grant of access authorization. | NRC | [62 FR 17688, Apr. 11, 1997, as amended at 64 FR 15648, Apr. 1, 1999] | The determination to grant or renew access authorization will be furnished in writing to the licensee or organization that initiated the request. Upon receipt of the notification of original grant of access authorization, the licensee or organization shall obtain, as a condition for grant of access authorization and access to classified information, an executed “Classified Information Nondisclosure Agreement” (SF-312) from the affected individual. The SF-312 is an agreement between the United States and an individual who is cleared for access to classified information. An employee issued an initial access authorization shall execute a SF-312 before being granted access to classified information. The licensee or other organization shall forward the executed SF-312 to the CSA for retention. If the employee refuses to execute the SF-312, the licensee or other organization shall deny the employee access to classified information and submit a report to the CSA. The SF-312 must be signed and dated by the employee and witnessed. The employee's and witness' signatures must bear the same date. The individual shall also be given a security orientation briefing in accordance with § 95.33 of this chapter. Records of access authorization grant and renewal notification must be maintained by the licensee or other organization for three years after the access authorization has been terminated by the CSA. This information may also be furnished to other representatives of the Commission, to licensees, contractors, or other Federal agencies. Notifications of access authorization will not be given in writing to the affected individual except: (a) In those cases when the determination was made as a result of a Personnel Security Hearing or by a Personnel Security Review Panel ; or (b) When the individual also is the official designated by the licensee or other organization to whom written NRC notifications are forwarded. | |||
| 10:10:1.0.1.1.18.0.82.14 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.25 Cancellation of requests for access authorization. | NRC | [64 FR 15648, Apr. 1, 1999] | When a request for an individual's access authorization or renewal of an access authorization is withdrawn or canceled, the requestor shall notify the CSA immediately by telephone so that the single scope background investigation, national agency check with law and credit investigation, or other personnel security action may be discontinued. The requestor shall identify the full name and date of birth of the individual, the date of request, and the type of access authorization or access authorization renewal requested. The requestor shall confirm each telephone notification promptly in writing. | |||
| 10:10:1.0.1.1.18.0.82.15 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.27 Reopening of cases in which requests for access authorizations are canceled. | NRC | [62 FR 17689, Apr. 11, 1997, as amended at 64 FR 15648, Apr. 1, 1999] | (a) In conjunction with a new request for access authorization (NRC Form 237 or CSA equivalent) for individuals whose cases were previously canceled, new fingerprint cards (FD-257) in duplicate and a new Security Acknowledgment (NRC Form 176), or CSA equivalent, must be furnished to the CSA along with the request. (b) Additionally, if 90 days or more have elapsed since the date of the last Questionnaire for National Security Positions (SF-86), or CSA equivalent, the individual must complete a personnel security packet (see § 25.17(d)). The CSA, based on investigative or other needs, may require a complete personnel security packet in other cases as well. A fee, equal to the amount paid for an initial request, will be charged only if a new or updating investigation by the NRC is required. | |||
| 10:10:1.0.1.1.18.0.82.16 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.29 Reinstatement of access authorization. | NRC | [62 FR 17689, Apr. 11, 1997] | (a) An access authorization can be reinstated provided that: (1) No more than 24 months has lapsed since the date of termination of the clearance; (2) There has been no break in employment with the employer since the date of termination of the clearance; (3) There is no known adverse information; (4) The most recent investigation must not exceed 5 years (Top Secret, Q) or 10 years (Secret, L); and (5) The most recent investigation must meet or exceed the scope of the investigation required for the level of access authorization that is to be reinstated or granted. (b) An access authorization can be reinstated at the same, or lower, level by submission of a CSA-designated form to the CSA. The employee may not have access to classified information until receipt of written confirmation of reinstatement and an up-to-date personnel security packet will be furnished with the request for reinstatement of an access authorization. A new Security Acknowledgement will be obtained in all cases. Where personnel security packets are not required, a request for reinstatement must state the level of access authorization to be reinstated and the full name and date of birth of the individual to establish positive identification. A fee, equal to the amount paid for an initial request, will be charged only if a new or updating investigation by the NRC is required. | |||
| 10:10:1.0.1.1.18.0.82.17 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.31 Extensions and transfers of access authorizations. | NRC | [45 FR 14481, Mar. 5, 1980, as amended at 48 FR 24320, June 1, 1983; 57 FR 3721, Jan. 31, 1992; 62 FR 17689, Apr. 11, 1997; 64 FR 15648, Apr. 1, 1999] | (a) The NRC Division of Facilities and Security may, on request, extend the authorization of an individual who possesses an access authorization in connection with a particular employer or activity to permit access to classified information in connection with an assignment with another employer or activity. (b) The NRC Division of Facilities and Security may, on request, transfer an access authorization when an individual's access authorization under one employer or activity is terminated, simultaneously with the individual being granted an access authorization for another employer or activity. (c) Requests for an extension or transfer of an access authorization must state the full name of the person, date of birth, and level of access authorization. The Director, Division of Facilities and Security, may require a new personnel security packet (see § 25.17(c)) to be completed by the applicant. A fee, equal to the amount paid for an initial request, will be charged only if a new or updating investigation by the NRC is required. (d) The date of an extension or transfer of access authorization may not be used to determine when a request for renewal of access authorization is required. Access authorization renewal requests must be timely submitted, in accordance with § 25.21(c). | |||
| 10:10:1.0.1.1.18.0.82.18 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.33 Termination of access authorizations. | NRC | [62 FR 17689, Apr. 11, 1997, as amended at 64 FR 15649, Apr. 1, 1999] | (a) Access authorizations will be terminated when: (1) An access authorization is no longer required; (2) An individual is separated from the employment or the activity for which he or she obtained an access authorization for a period of 90 days or more; or (3) An individual, pursuant to 10 CFR part 10 or other CSA-approved adjudicatory standards, is no longer eligible for an access authorization. (b) A representative of the licensee or other organization that employs the individual whose access authorization will be terminated shall immediately notify the CSA when the circumstances noted in paragraph (a)(1) or (a)(2) of this section exist; inform the individual that his or her access authorization is being terminated, and the reason; and that he or she will be considered for reinstatement of an access authorization if he or she resumes work requiring the authorization. (c) When an access authorization is to be terminated, a representative of the licensee or other organization shall conduct a security termination briefing of the individual involved, explain the Security Termination Statement (NRC Form 136 or CSA approved form) and have the individual complete the form. The representative shall promptly forward the original copy of the completed Security Termination Statement to CSA. | |||
| 10:10:1.0.1.1.18.0.83.19 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.35 Classified visits. | NRC | [62 FR 17689, Apr. 11, 1997, as amended at 64 FR 15649, Apr. 1, 1999; 72 FR 49488, Aug. 28, 2007] | (a) The number of classified visits must be held to a minimum. The licensee, certificate holder, applicant for a standard design certification under part 52 of this chapter (including an applicant after the Commission has adopted a final standard design certification rule under part 52 of this chapter), or other facility, or an applicant for or holder of a standard design approval under part 52 of this chapter shall determine that the visit is necessary and that the purpose of the visit cannot be achieved without access to, or disclosure of, classified information. All classified visits require advance notification to, and approval of, the organization to be visited. In urgent cases, visit information may be furnished by telephone and confirmed in writing. (b) Representatives of the Federal Government, when acting in their official capacities as inspectors, investigators, or auditors, may visit a licensee, certificate holder, or other facility without furnishing advanced notification, provided these representatives present appropriate Government credentials upon arrival. Normally, however, Federal representatives will provide advance notification in the form of an NRC Form 277, “Request for Visit or Access Approval,” with the “need-to-know” certified by the appropriate NRC office exercising licensing or regulatory authority and verification of an NRC access authorization by the Division of Facilities and Security. (c) The licensee, certificate holder, or others shall include the following information on all Visit Authorization Letters (VAL) which they prepare. (1) Visitor's name, address, and telephone number and certification of the level of the facility security clearance; (2) Name, date and place of birth, and citizenship of the individual intending to visit; (3) Certification of the proposed visitor's personnel clearance and any special access authorizations required for the visit; (4) Name of person(s) to be visited; (5) Purpose and sufficient justification for the visit to allow for a determination o… | |||
| 10:10:1.0.1.1.18.0.84.20 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.37 Violations. | NRC | [48 FR 24320, June 1, 1983, as amended at 57 FR 55072, Nov. 24, 1992; 64 FR 15649, Apr. 1, 1999; 70 FR 32227, June 2, 2005; 75 FR 73941, Nov. 30, 2010] | (a) An injunction or other court order may be obtained to prohibit a violation of any provision of: (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) Any regulation or order issued under these Acts. (b) National Security Information is protected under the requirements and sanctions of Executive Order 13526, as amended, or any predecessor or successor orders. | |||
| 10:10:1.0.1.1.18.0.84.21 | 10 | Energy | 25 | PART 25—ACCESS AUTHORIZATION | § 25.39 Criminal penalties. | NRC | [57 FR 55072, Nov. 24, 1992] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 25 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 25 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 25.1, 25.3, 25.5, 25.7, 25.8, 25.9, 25.11, 25.19, 25.25, 25.27, 25.29, 25.31, 25.37, and 25.39. | |||
| 10:10:1.0.1.1.19.1.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.1 Purpose. | NRC | This part prescribes requirements and standards for the establishment, implementation, and maintenance of fitness-for-duty (FFD) programs. | ||||
| 10:10:1.0.1.1.19.1.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.3 Scope. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 89 FR 106250, Dec. 30, 2024] | (a) Licensees who are authorized to operate a nuclear power reactor under 10 CFR 50.57, and holders of a combined license under 10 CFR Part 52 after the Commission has made the finding under 10 CFR 52.103(g) shall comply with the requirements of this part, except for subpart K of this part. Licensees who receive their authorization to operate a nuclear power reactor under 10 CFR 50.57 after the date of publication of this final rule in the Federal Register and holders of a combined license under 10 CFR Part 52 after the Commission has made the finding under 10 CFR 52.103(g) shall implement the FFD program before the receipt of special nuclear material in the form of fuel assemblies. (b) Licensees who are authorized to possess, use, or transport formula quantities of strategic special nuclear material (SSNM) under Part 70 of this chapter, and any corporation, firm, partnership, limited liability company, association, or other organization who obtains a certificate of compliance or an approved compliance plan under Part 76 of this chapter, only if the entity elects to engage in activities involving formula quantities of SSNM shall comply with the requirements of this part, except for subparts I and K of this part. (c) Before the receipt of special nuclear material in the form of fuel assemblies, the following licensees and other entities shall comply with the requirements of this part, except for subpart I of this part; and, no later than the receipt of special nuclear material in the form of fuel assemblies, the following licensees and other entities shall comply with the requirements of this part: (1) Combined license applicants (under Part 52 of this chapter) who have been issued a limited work authorization under § 50.10(e), if the limited work authorization authorizes the applicant to install the foundations, including the placement of concrete, for safety- and security-related structures, systems, and components (SSCs) under the limited work authorization; (2) Combined license holders (under Part 52 of … | |||
| 10:10:1.0.1.1.19.1.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.4 FFD program applicability to categories of individuals. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 75 FR 73941, Nov. 30, 2010; 87 FR 71455, Nov. 22, 2022] | (a) All persons who are granted unescorted access to nuclear power reactor protected areas by the licensees in § 26.3(a) and, as applicable, (c) and perform the following duties shall be subject to an FFD program that meets all of the requirements of this part, except subpart K of this part: (1) Operating or onsite directing of the operation of systems and components that a risk-informed evaluation process has shown to be significant to public health and safety; (2) Performing health physics or chemistry duties required as a member of the onsite emergency response organization minimum shift complement; (3) Performing the duties of a fire brigade member who is responsible for understanding the effects of fire and fire suppressants on safe shutdown capability; (4) Performing maintenance or onsite directing of the maintenance of SSCs that a risk-informed evaluation process has shown to be significant to public health and safety; and (5) Performing security duties as an armed security force officer, alarm station operator, response team leader, or watchman, hereinafter referred to as security personnel. (b) All persons who are granted unescorted access to nuclear power reactor protected areas by the licensees in § 26.3(a) and, as applicable, (c) and who do not perform the duties described in paragraph (a) of this section shall be subject to an FFD program that meets all of the requirements of this part, except §§ 26.205 through 26.209 and subpart K of this part. (c) All persons who are required by a licensee in § 26.3(a) and, as applicable, (c) to physically report to the licensee's Technical Support Center or Emergency Operations Facility by licensee emergency plans and procedures shall be subject to an FFD program that meets all of the requirement of this part, except §§ 26.205 through 26.209 and subpart K of this part. (d) Any individual whose duties for the licensees and other entities in § 26.3(b) require him or her to have the following types of access or perform the following activities shall be subjec… | |||
| 10:10:1.0.1.1.19.1.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.5 Definitions. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 81 FR 86909, Dec. 2, 2016; 83 FR 58464, Nov. 20, 2018; 87 FR 71455, Nov. 22, 2022] | Acute fatigue means fatigue from causes (e.g., restricted sleep, sustained wakefulness, task demands) occurring within the past 24 hours. Adulterated specimen means a urine specimen that has been altered, as evidenced by test results showing either a substance that is not a normal constituent of urine or showing an abnormal concentration of an endogenous substance. Alertness means the ability to remain awake and sustain attention. Aliquot means a portion of a specimen that is used for testing. It is taken as a sample representing the whole specimen. Analytical run means the process of testing a group of urine specimens for validity or for the presence of drugs and/or drug metabolites. For the purposes of defining the periods within which performance testing must be conducted by any licensee testing facility or HHS-certified laboratory that continuously processes specimens, an analytical run is defined as no more than an 8-hour period. For a facility that analyzes specimens in batches, an analytical run is defined as a group of specimens that are handled and tested together. Authorization means that a licensee or other entity in § 26.3 has determined that an individual has met the requirements of this part to be granted or maintain the types of access or perform the duties specified in § 26.4(a) through (e), and, at the licensee's or other entity's discretion, § 26.4(f) or (g). Best effort means documented actions that a licensee or other entity who is subject to subpart C of this part takes to obtain suitable inquiry and employment information in order to determine whether an individual may be granted authorization, when the primary source of information refuses or indicates an inability or unwillingness to provide the information within 3 business days of the request and the licensee or other entity relies on a secondary source to meet the requirement. Blood alcohol concentration (BAC) means the mass of alcohol in a volume of blood. Calibrator means a solution of known concentration in the appro… | |||
| 10:10:1.0.1.1.19.1.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.7 Interpretations. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding on the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.19.1.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.8 Information collection requirements: OMB approval. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71456, Nov. 22, 2022] | (a) The NRC has submitted the information collection requirements contained in this part for approval by the Office of Management and Budget (OMB), as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0146. (b) The approved information collection requirements contained in this part appear in §§ 26.9, 26.27, 26.29, 26.31, 26.33, 26.35, 26.37, 26.39, 26.41, 26.53, 26.55, 26.57, 26.59, 26.61, 26.63, 26.65, 26.67, 26.69, 26.75, 26.77, 26.85, 26.87, 26.89, 26.91, 26.93, 26.95, 26.97, 26.99, 26.101, 26.103, 26.107, 26.109, 26.111, 26.113, 26.115, 26.117, 26.119, 26.125, 26.127, 26.129, 26.135, 26.137, 26.139, 26.153, 26.157, 26.159, 26.163, 26.165, 26.167, 26.168, 26.169, 26.183, 26.185, 26.187, 26.189, 26.203, 26.205, 26.207, 26.211, 26.401, 26.403, 26.405, 26.406, 26.407, 26.411, 26.413, 26.415, 26.417, 26.711, 26.713, 26.715, 26.717, 26.719, and 26.821. | |||
| 10:10:1.0.1.1.19.1.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.9 Specific exemptions. | NRC | Upon application of any interested person or on its own initiative, the Commission may grant such exemptions from the requirements of the regulations in this part as it determines are authorized by law and will not endanger life or property or the common defense and security, and are otherwise in the public interest. | ||||
| 10:10:1.0.1.1.19.1.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.11 Communications. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 62681, Dec. 1, 2009; 80 FR 74979, Dec. 1, 2015; 88 FR 57878, Aug. 24, 2023] | Except where otherwise specified in this part, all communications, applications, and reports concerning the regulations in this part must be sent either by mail addressed to ATTN: NRC Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland 20852-2738, between the hours of 8:15 a.m. and 4 p.m. eastern time; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, e-mail, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. Copies of all communications must be sent to the appropriate regional office and resident inspector (addresses for the NRC Regional Offices are listed in Appendix D to Part 20 of this chapter). | |||
| 10:10:1.0.1.1.19.2.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.21 Fitness-for-duty program. | NRC | The licensees and other entities specified in § 26.3(a) through (c) shall establish, implement, and maintain FFD programs that, at a minimum, comprise the program elements contained in this subpart. The individuals specified in § 26.4(a) through (e) and (g), and, at the licensee's or other entity's discretion, § 26.4(f), and, if necessary, § 26.4(j) shall be subject to these FFD programs. Licensees and other entities may rely on the FFD program or program elements of a C/V, as defined in § 26.5, if the C/V's FFD program or program elements meet the applicable requirements of this part. | ||||
| 10:10:1.0.1.1.19.2.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.23 Performance objectives. | NRC | Fitness-for-duty programs must— (a) Provide reasonable assurance that individuals are trustworthy and reliable as demonstrated by the avoidance of substance abuse; (b) Provide reasonable assurance that individuals are not under the influence of any substance, legal or illegal, or mentally or physically impaired from any cause, which in any way adversely affects their ability to safely and competently perform their duties; (c) Provide reasonable measures for the early detection of individuals who are not fit to perform the duties that require them to be subject to the FFD program; (d) Provide reasonable assurance that the workplaces subject to this part are free from the presence and effects of illegal drugs and alcohol; and (e) Provide reasonable assurance that the effects of fatigue and degraded alertness on individuals' abilities to safely and competently perform their duties are managed commensurate with maintaining public health and safety. | ||||
| 10:10:1.0.1.1.19.2.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.25 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.19.2.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.27 Written policy and procedures. | NRC | (a) General. Each licensee and other entity shall establish, implement, and maintain written policies and procedures to meet the general performance objectives and applicable requirements of this part. (b) Policy. The FFD policy statement must be clear, concise, and readily available, in its most current form, to all individuals who are subject to the policy. Methods of making the statement readily available include, but are not limited to, posting the policy in multiple work areas, providing individuals with brochures, or allowing individuals to print the policy from a computer. The policy statement must be written in sufficient detail to provide affected individuals with information on what is expected of them and what consequences may result from a lack of adherence to the policy. At a minimum, the written policy statement must— (1) Describe the consequences of the following actions: (i) The use, sale, or possession of illegal drugs on or off site; (ii) The abuse of legal drugs and alcohol; and (iii) The misuse of prescription and over-the-counter drugs; (2) Describe the requirement that individuals who are notified that they have been selected for random testing must report to the collection site within the time period specified by the licensee or other entity; (3) Describe the actions that constitute a refusal to provide a specimen for testing, the consequences of a refusal to test, as well as the consequences of subverting or attempting to subvert the testing process; (4) Prohibit the consumption of alcohol, at a minimum— (i) Within an abstinence period of 5 hours preceding the individual's arrival at the licensee's or other entity's facility, except as permitted in § 26.27(c)(3); and (ii) During the period of any tour of duty; (5) Convey that abstinence from alcohol for the 5 hours preceding any scheduled tour of duty is considered to be a minimum that is necessary, but may not be sufficient, to ensure that the individual is fit for duty; (6) Address other factors that could affect FFD, suc… | ||||
| 10:10:1.0.1.1.19.2.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.29 Training. | NRC | (a) Training content. Licensees and other entities shall ensure that the individuals who are subject to this subpart have the following KAs: (1) Knowledge of the policy and procedures that apply to the individual, the methods that will be used to implement them, and the consequences of violating the policy and procedures; (2) Knowledge of the individual's role and responsibilities under the FFD program; (3) Knowledge of the roles and responsibilities of others, such as the MRO and the human resources, FFD, and EAP staffs; (4) Knowledge of the EAP services available to the individual; (5) Knowledge of the personal and public health and safety hazards associated with abuse of illegal and legal drugs and alcohol; (6) Knowledge of the potential adverse effects on job performance of prescription and over-the-counter drugs, alcohol, dietary factors, illness, mental stress, and fatigue; (7) Knowledge of the prescription and over-the-counter drugs and dietary factors that have the potential to affect drug and alcohol test results; (8) Ability to recognize illegal drugs and indications of the illegal use, sale, or possession of drugs; (9) Ability to observe and detect performance degradation, indications of impairment, or behavioral changes; and (10) Knowledge of the individual's responsibility to report an FFD concern and the ability to initiate appropriate actions, including referrals to the EAP and person(s) designated by the licensee or other entity to receive FFD concerns. (b) Comprehensive examination. Individuals who are subject to this subpart shall demonstrate the successful completion of training by passing a comprehensive examination that addresses the KAs in paragraph (a) of this section. The examination must include a comprehensive random sampling of all KAs with questions that test each KA, including at least one question for each KA. The minimum passing score required must be 80 percent. Remedial training and testing are required for individuals who fail to answer correctly at least 80 percen… | ||||
| 10:10:1.0.1.1.19.2.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.31 Drug and alcohol testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 38327, Aug. 3, 2009; 87 FR 71456, Nov. 22, 2022] | (a) General. To provide a means to deter and detect substance abuse, licensees and other entities who are subject to this part shall implement drug and alcohol testing programs for individuals who are subject to this subpart. (b) Assuring the honesty and integrity of FFD program personnel. (1) Licensees and other entities who are subject to this subpart shall carefully select and monitor FFD program personnel, as defined in § 26.4(g), based on the highest standards of honesty and integrity, and shall implement measures to ensure that these standards are maintained. The measures must ensure that the honesty and integrity of these individuals are not compromised and that FFD program personnel are not subject to influence attempts attributable to personal relationships with any individuals who are subject to testing, an undetected or untreated substance abuse problem, or other factors. At a minimum, these measures must include the following considerations: (i) Licensees and other entities shall complete appropriate background investigations, credit and criminal history checks, and psychological assessments of FFD program personnel before assignment to tasks directly associated with administration of the FFD program. The background investigations, credit and criminal history checks, and psychological assessments that are conducted to grant unescorted access authorization to individuals under a nuclear power plant licensee's access authorization program are acceptable to meet the requirements of this paragraph. The credit and criminal history checks and psychological assessments must be updated nominally every 5 years; (ii) Individuals who have personal relationships with a donor may not perform any assessment or evaluation procedures, including, but not limited to, determinations of fitness. These personal relationships may include, but are not limited to, supervisors, coworkers within the same work group, and relatives of the donor; (iii) Except if a directly observed collection is required, a collector who … | |||
| 10:10:1.0.1.1.19.2.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.33 Behavioral observation. | NRC | Licensees and other entities shall ensure that the individuals who are subject to this subpart are subject to behavioral observation. Behavioral observation must be performed by individuals who are trained under § 26.29 to detect behaviors that may indicate possible use, sale, or possession of illegal drugs; use or possession of alcohol on site or while on duty; or impairment from fatigue or any cause that, if left unattended, may constitute a risk to public health and safety or the common defense and security. Individuals who are subject to this subpart shall report any FFD concerns about other individuals to the personnel designated in the FFD policy. | ||||
| 10:10:1.0.1.1.19.2.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.35 Employee assistance programs. | NRC | (a) Each licensee and other entity who is subject to this part shall maintain an EAP to strengthen the FFD program by offering confidential assessment, short-term counseling, referral services, and treatment monitoring to individuals who have problems that could adversely affect the individuals' abilities to safely and competently perform their duties. Employee assistance programs must be designed to achieve early intervention and provide for confidential assistance. (b) Licensees and other entities need not provide EAP services to a C/V's employees, including those whose work location is a licensee's or other entity's facility, or to individuals who have applied for, but have not yet been granted, authorization under subpart C of this part. (c) The EAP staff shall protect the identity and privacy of any individual (including those who have self-referred) seeking assistance from the EAP, except if the individual waives the right to privacy in writing or a determination is made that the individual's condition or actions pose or have posed an immediate hazard to himself or herself or others. (1) Licensees and other entities may not require the EAP to routinely report the names of individuals who self-refer to the EAP or the nature of the assistance the individuals sought. (2) If EAP personnel determine that an individual poses or has posed an immediate hazard to himself or herself or others, EAP personnel shall so inform FFD program management, and need not obtain a written waiver of the right to privacy from the individual. The individual conditions or actions that EAP personnel shall report to FFD program management include, but are not limited to, substantive reasons to believe that the individual— (i) Is likely to commit self-harm or harm to others; (ii) Has been impaired from using drugs or alcohol while in a work status and has a continuing substance abuse disorder that makes it likely he or she will be impaired while in a work status in the future; or (iii) Has ever engaged in any acts that would be r… | ||||
| 10:10:1.0.1.1.19.2.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.37 Protection of information. | NRC | (a) Each licensee or other entity who is subject to this subpart who collects personal information about an individual for the purpose of complying with this part, shall establish, use, and maintain a system of files and procedures that protects the individual's privacy. (b) Licensees and other entities shall obtain a signed consent that authorizes the disclosure of the personal information collected and maintained under this part before disclosing the personal information, except for disclosures to the following individuals: (1) The subject individual or his or her representative, when the individual has designated the representative in writing for specified FFD matters; (2) Assigned MROs and MRO staff; (3) NRC representatives; (4) Appropriate law enforcement officials under court order; (5) A licensee's or other entity's representatives who have a need to have access to the information to perform their assigned duties under the FFD program, including determinations of fitness, FFD program audits, or some human resources functions; (6) The presiding officer in a judicial or administrative proceeding that is initiated by the subject individual; (7) Persons deciding matters under review in § 26.39; and (8) Other persons pursuant to court order. (c) Personal information that is collected under this subpart must be disclosed to other licensees and entities, including C/Vs, or their authorized representatives, who are legitimately seeking the information for authorization decisions as required by this part and who have obtained a signed release from the subject individual. (d) Upon receipt of a written request by the subject individual or his or her designated representative, the FFD program, including but not limited to, the collection site, HHS-certified laboratory, substance abuse expert (SAE), or MRO, possessing such records shall promptly provide copies of all FFD records pertaining to the individual, including, but not limited to, records pertaining to a determination that the individual has violated… | ||||
| 10:10:1.0.1.1.19.2.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.39 Review process for fitness-for-duty policy violations. | NRC | [75 FR 73941, Nov. 30, 2010] | (a) Each licensee and other entity who is subject to this subpart shall establish procedures for the review of a determination that an individual who they employ or who has applied for authorization has violated the FFD policy. The review procedure must provide for an objective and impartial review of the facts related to the determination that the individual has violated the FFD policy. (b) The review procedure must provide notice to the individual of the grounds for the determination that the individual has violated the FFD policy, and must provide an opportunity for the individual to respond and submit additional relevant information. (c) The review procedure must ensure that the individual who conducts the review is not associated with the administration of the FFD program [ see the description of FFD program personnel in § 26.4(g)]. Individuals who conduct the review may be management personnel. (d) If the review finds in favor of the individual, the licensee or other entity shall update the relevant records to reflect the outcome of the review and delete or correct all information the review found to be inaccurate. (e) When a C/V is administering an FFD program on which licensees and other entities rely, and the C/V determines that its employee, subcontractor, or applicant has violated its FFD policy, the C/V shall ensure that the review procedure required in this section is provided to the individual. Licensees and other entities who rely on a C/V's FFD program need not provide the review procedure required in this section to a C/V's employee, subcontractor, or applicant when the C/V is administering its own FFD program and the FFD policy violation was determined under the C/V's program. | |||
| 10:10:1.0.1.1.19.2.85.11 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.41 Audits and corrective action. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 38327, Aug. 3, 2009] | (a) General. Each licensee and other entity who is subject to this subpart is responsible for the continuing effectiveness of the FFD program, including FFD program elements that are provided by C/Vs, the FFD programs of any C/Vs that are accepted by the licensee or other entity, any FFD program services that are provided to the C/V by a subcontractor, and the programs of the HHS-certified laboratories on whom the licensee or other entity and its C/Vs rely. Each licensee and other entity shall ensure that these programs are audited and that corrective actions are taken to resolve any problems identified. (b) FFD program. Each licensee and other entity who is subject to this subpart shall ensure that the entire FFD program is audited as needed, but no less frequently than nominally every 24 months. Licensees and other entities are responsible for determining the appropriate frequency, scope, and depth of additional auditing activities within the nominal 24-month period based on the review of FFD program performance, including, but not limited to, the frequency, nature, and severity of discovered problems, testing errors, personnel or procedural changes, and previous audit findings. (c) C/Vs and HHS-certified laboratories. (1) FFD services that are provided to a licensee or other entity by C/V personnel who are off site or are not under the direct daily supervision or observation of the licensee's or other entity's personnel and HHS-certified laboratories must be audited on a nominal 12-month frequency. (2) Audits of HHS-certified laboratories that are conducted for licensees and other entities who are subject to this subpart need not duplicate areas inspected in the most recent HHS certification inspection. However, the licensee and other entity shall review the HHS certification inspection records and reports to identify any areas in which the licensee or other entity uses services that the HHS certification inspection did not address. The licensee or other entity shall ensure that any such areas are aud… | |||
| 10:10:1.0.1.1.19.3.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.51 Applicability. | NRC | The requirements in this subpart apply to the licensees and other entities identified in § 26.3(a), (b), and, as applicable, (c) for the categories of individuals in § 26.4(a) through (d), and, at the licensee's or other entity's discretion, in § 26.4(g) and, if necessary, § 26.4(j). The requirements in this subpart also apply to the licensees and other entities specified in § 26.3(c), as applicable, for the categories of individuals in § 26.4(e). At the discretion of a licensee or other entity in § 26.3(c), the requirements of this subpart also may be applied to the categories of individuals identified in § 26.4(f). In addition, the requirements in this subpart apply to the entities in § 26.3(d) to the extent that a licensee or other entity relies on the C/V to meet the requirements of this subpart. Certain requirements in this subpart also apply to the individuals specified in § 26.4(h). | ||||
| 10:10:1.0.1.1.19.3.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.53 General provisions. | NRC | (a) In order to grant authorization to an individual, a licensee or other entity shall ensure that the requirements in this subpart have been met for either initial authorization, authorization update, authorization reinstatement, or authorization with potentially disqualifying FFD information, as applicable. (b) For individuals who have previously held authorization under this part but whose authorization has since been favorably terminated, the licensee or other entity shall implement the requirements for either initial authorization, authorization update, or authorization reinstatement, based on the total number of days that the individual's authorization is interrupted, to include the day after the individual's last period of authorization was terminated and the intervening days until the day on which the licensee or other entity grants authorization to the individual. If potentially disqualifying FFD information is disclosed or discovered about an individual, licensees and other entities shall implement the applicable requirements in § 26.69 in order to grant or maintain an individual's authorization. (c) The licensee or other entity shall ensure that an individual has met the applicable FFD training requirements in §§ 26.29 and 26.203(c) before granting authorization to the individual. (d) Licensees and other entities who are seeking to grant authorization to an individual who is maintaining authorization under another FFD program that is implemented by a licensee or entity who is subject to this subpart may rely on the transferring FFD program to satisfy the requirements of this subpart. The individual may maintain his or her authorization if he or she continues to be subject to either the receiving FFD program or the transferring FFD program, or a combination of elements from both programs that collectively satisfy the applicable requirements of this part. The receiving FFD program shall ensure that the program elements to which the individual is subject under the transferring FFD program remain curren… | ||||
| 10:10:1.0.1.1.19.3.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.55 Initial authorization. | NRC | (a) Before granting authorization to an individual who has never held authorization under this part or whose authorization has been interrupted for a period of 3 years or more and whose last period of authorization was terminated favorably, the licensee or other entity shall ensure that— (1) A self-disclosure has been obtained and reviewed under the applicable requirements of § 26.61; (2) A suitable inquiry has been completed under the applicable requirements of § 26.63; (3) The individual has been subject to pre-access drug and alcohol testing under the applicable requirements of § 26.65; and (4) The individual is subject to random drug and alcohol testing under the applicable requirements of § 26.67. (b) If potentially disqualifying FFD information is disclosed or discovered, the licensee or other entity may not grant authorization to the individual, except under § 26.69. | ||||
| 10:10:1.0.1.1.19.3.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.57 Authorization update. | NRC | (a) Before granting authorization to an individual whose authorization has been interrupted for more than 365 days but less than 3 years and whose last period of authorization was terminated favorably, the licensee or other entity shall ensure that— (1) A self-disclosure has been obtained and reviewed under the applicable requirements of § 26.61; (2) A suitable inquiry has been completed under the applicable requirements of § 26.63; (3) The individual has been subject to pre-access drug and alcohol testing under the applicable requirements of § 26.65; and (4) The individual is subject to random drug and alcohol testing under the applicable requirements of § 26.67. (b) If potentially disqualifying FFD information is disclosed or discovered, the licensee or other entity may not grant authorization to the individual, except under § 26.69. | ||||
| 10:10:1.0.1.1.19.3.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.59 Authorization reinstatement. | NRC | (a) In order to grant authorization to an individual whose authorization has been interrupted for a period of more than 30 days but no more than 365 days and whose last period of authorization was terminated favorably, the licensee or other entity shall ensure that— (1) A self-disclosure has been obtained and reviewed under the applicable requirements of § 26.61; (2) A suitable inquiry has been completed under the requirements of § 26.63 within 5 business days of reinstating authorization. If the suitable inquiry is not completed within 5 business days due to circumstances that are outside of the licensee's or other entity's control and the licensee or other entity is not aware of any potentially disqualifying information regarding the individual within the past 5 years, the licensee or other entity may maintain the individual's authorization for an additional 5 business days. If the suitable inquiry is not completed within 10 business days of reinstating authorization, the licensee or other entity shall administratively withdraw the individual's authorization until the suitable inquiry is completed; (3) The individual has been subject to pre-access drug and alcohol testing under the applicable requirements of § 26.65; and (4) The individual is subject to random drug and alcohol testing under the applicable requirements of § 26.67. (b) If a licensee or other entity administratively withdraws an individual's authorization under paragraph (a)(2) of this section, and until the suitable inquiry is completed, the licensee or other entity may not record the administrative action to withdraw authorization as an unfavorable termination and may not disclose it in response to a suitable inquiry conducted under the provisions of § 26.63, a background investigation conducted under the provisions of this chapter, or any other inquiry or investigation. The individual may not be required to disclose the administrative action in response to requests for self-disclosure of potentially disqualifying FFD information, except if… | ||||
| 10:10:1.0.1.1.19.3.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.61 Self-disclosure and employment history. | NRC | (a) Before granting authorization, the licensee or other entity shall ensure that a written self-disclosure and employment history has been obtained from the individual who is applying for authorization, except as follows: (1) If an individual previously held authorization under this part, and the licensee or other entity has verified that the individual's last period of authorization was terminated favorably, and the individual has been subject to a behavioral observation program that includes arrest reporting, which meets the requirements of this part, throughout the period since the individual's last authorization was terminated, the granting licensee or other entity need not obtain the self-disclosure or employment history in order to grant authorization; and (2) If the individual's last period of authorization was terminated favorably within the past 30 days, the licensee or other entity need not obtain the employment history. (b) The written self-disclosure must— (1) State whether the individual has— (i) Violated a licensee's or other entity's FFD policy; (ii) Had authorization denied or terminated unfavorably under §§ 26.35(c)(2), 26.53(i), 26.63(d), 26.65(g), 26.67(c), 26.69(f), or 26.75(b) through (e); (iii) Used, sold, or possessed illegal drugs; (iv) Abused legal drugs or alcohol; (v) Subverted or attempted to subvert a drug or alcohol testing program; (vi) Refused to take a drug or alcohol test; (vii) Been subject to a plan for substance abuse treatment (except for self-referral); or (viii) Had legal action or employment action, as defined in § 26.5, taken for alcohol or drug use; (2) Address the specific type, duration, and resolution of any matter disclosed, including, but not limited to, the reason(s) for any unfavorable termination or denial of authorization; and (3) Address the shortest of the following periods: (i) The past 5 years; (ii) Since the individual's eighteenth birthday; or (iii) Since the individual's last period of authorization was terminated, if authorization was t… | ||||
| 10:10:1.0.1.1.19.3.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.63 Suitable inquiry. | NRC | (a) In order to grant authorization, licensees and other entities shall ensure that a suitable inquiry has been conducted, on a best effort basis, to verify the individual's self-disclosed information and determine whether any potentially disqualifying FFD information is available, except if all of the following conditions are met: (1) The individual previously held authorization under this part; (2) The licensee or other entity has verified that the individual's last period of authorization was terminated favorably; and (3) The individual has been subject to a behavioral observation program that includes arrest reporting, which meets the requirements of this part, throughout the period of interruption. (b) To meet the suitable inquiry requirement, licensees and other entities may rely on the information that other licensees and entities who are subject to this subpart have gathered for previous periods of authorization. Licensees and other entities may also rely on those licensees' and entities' determinations of fitness that were conducted under § 26.189, as well as their reviews and resolutions of potentially disqualifying FFD information, for previous periods of authorization. (c) The licensee or other entity shall ensure that the suitable inquiry has been conducted, on a best effort basis, by questioning former employers, and the employer by whom the individual claims to have been employed on the day before he or she completes the employment history, if an employment history is required under § 26.61. (1) For the claimed employment period, the suitable inquiry must ascertain the reason for termination, eligibility for rehire, and other information that could reflect on the individual's fitness to be granted authorization. (2) If the claimed employment was military service, the licensee or other entity who is conducting the suitable inquiry shall request a characterization of service, reason for separation, and any disciplinary actions related to potentially disqualifying FFD information. If the indivi… | ||||
| 10:10:1.0.1.1.19.3.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.65 Pre-access drug and alcohol testing. | NRC | (a) Purpose. This section contains pre-access testing requirements for granting authorization to an individual who either has never held authorization or whose last period of authorization was terminated favorably and about whom no potentially disqualifying FFD information has been discovered or disclosed that was not previously reviewed and resolved by a licensee or other entity under the requirements of this subpart. (b) Accepting tests conducted within the past 30 days. If an individual has negative results from drug and alcohol tests that were conducted under the requirements of this part before the individual applied for authorization from the licensee or other entity, and the specimens for such testing were collected within the 30-day period preceding the day on which the licensee or other entity grants authorization to the individual, the licensee or other entity may rely on the results of those drug and alcohol tests to meet the requirements for pre-access testing in this section. (c) Initial authorization and authorization update. Before granting authorization to an individual who has never held authorization or whose authorization has been interrupted for a period of more than 365 days, the licensee or other entity shall verify that the results of pre-access drug and alcohol tests, which must be performed within the 30-day period preceding the day the licensee or other entity grants authorization to the individual, are negative. The licensee or other entity need not conduct pre-access testing if— (1) The individual previously held authorization under this part and has been subject to a drug and alcohol testing program that includes random testing and a behavioral observation program that includes arrest reporting, which both meet the requirements of this part, from the date the individual's last authorization was terminated through the date the individual is granted authorization; or (2) The licensee or other entity relies on negative results from drug and alcohol tests that were conducted und… | ||||
| 10:10:1.0.1.1.19.3.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.67 Random drug and alcohol testing of individuals who have applied for authorization. | NRC | (a) When the licensee or other entity collects specimens from an individual for any pre-access testing that may be required under §§ 26.65 or 26.69, and thereafter, the licensee or other entity shall subject the individual to random testing under § 26.31(d)(2), except if— (1) The licensee or other entity does not grant authorization to the individual; or (2) The licensee or other entity relies on drug and alcohol tests that were conducted before the individual applied for authorization to meet the applicable requirements for pre-access testing. If the licensee or other entity relies on drug and alcohol tests that were conducted before the individual applied for authorization, the licensee or other entity shall subject the individual to random testing when the individual arrives at a licensee's or other entity's facility for in-processing and thereafter. (b) If an individual is selected for one or more random tests after any applicable requirement for pre-access testing in §§ 26.65 or 26.69 has been met, the licensee or other entity may grant authorization before random testing is completed, if the individual has met all other applicable requirements for authorization. (c) If an individual has confirmed positive, adulterated, or substituted test results from any drug, validity, or alcohol test required in this section, the licensee or other entity shall, at a minimum and as appropriate— (1) Deny authorization to the individual, as required by § 26.75(b), (d), (e)(2), or (g); (2) Terminate the individual's authorization, if it has been granted, as required by § 26.75(e)(1) or (f); or (3) Grant authorization to the individual under § 26.69. | ||||
| 10:10:1.0.1.1.19.3.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.69 Authorization with potentially disqualifying fitness-for-duty information. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 38328, Aug. 3, 2009] | (a) Purpose. This section defines the management actions that licensees and other entities who are subject to this subpart shall take to grant or maintain, at the licensee's or other entity's discretion, the authorization of an individual who is in the following circumstances: (1) Potentially disqualifying FFD information within the past 5 years has been disclosed or discovered about the individual by any means, including, but not limited to, the individual's self-disclosure, the suitable inquiry, drug and alcohol testing, the administration of any FFD program under this part, a self-report of a legal action, behavioral observation, or other sources of information, including, but not limited to, any background investigation or credit and criminal history check conducted under the requirements of this chapter; and (2) The potentially disqualifying FFD information has not been reviewed and favorably resolved by a previous licensee or other entity under this section. (b) Authorization after a first confirmed positive drug or alcohol test result or a 5-year denial of authorization. The requirements in this paragraph apply to individuals whose authorization was denied or terminated unfavorably for a first violation of an FFD policy involving a confirmed positive drug or alcohol test result and individuals whose authorization was denied for 5 years under § 26.75(c), (d), (e)(2), or (f). To grant, and subsequently maintain, the individual's authorization, the licensee or other entity shall— (1) Obtain and review a self-disclosure and employment history from the individual that addresses the shorter period of either the past 5 years or since the individual's last period of authorization was terminated, and verify that the self-disclosure does not contain any previously undisclosed potentially disqualifying FFD information before granting authorization; (2) Complete a suitable inquiry with every employer by whom the individual claims to have been employed during the period addressed in the employment history obta… | |||
| 10:10:1.0.1.1.19.3.85.11 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.71 Maintaining authorization. | NRC | (a) Individuals may maintain authorization under the following conditions: (1) The individual complies with the licensee's or other entity's FFD policies and procedures, as described in § 26.27, including the responsibility to report any legal actions, as defined in § 26.5; (2) The individual remains subject to a drug and alcohol testing program that meets the requirements of § 26.31, including random testing; (3) The individual remains subject to a behavioral observation program that meets the requirements of § 26.33; and (4) The individual successfully completes required FFD training on the schedule specified in § 26.29(c). (b) If an authorized individual is not subject to an FFD program that meets the requirements of this section for more than 30 continuous days, then the licensee or other entity shall terminate the individual's authorization and the individual shall meet the requirements in this subpart, as applicable, to regain authorization. | ||||
| 10:10:1.0.1.1.19.4.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.73 Applicability. | NRC | The requirements in this subpart apply to the licensees and other entities identified in § 26.3(a), (b), and, as applicable, (c) for the categories of individuals specified in § 26.4(a) through (d) and (g). The requirements in this subpart also apply to the licensees and other entities specified in § 26.3(c), as applicable, for the categories of individuals in § 26.4(e). At the discretion of a licensee or other entity in § 26.3(c), the requirements of this subpart also may be applied to the categories of individuals identified in § 26.4(f). In addition, the requirements in this subpart apply to the entities in § 26.3(d) to the extent that a licensee or other entity relies on the C/V to meet the requirements of this subpart. The regulations in this subpart also apply to the individuals specified in § 26.4(h) and (j), as appropriate. | ||||
| 10:10:1.0.1.1.19.4.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.75 Sanctions. | NRC | (a) This section defines the minimum sanctions that licensees and other entities shall impose when an individual has violated the drug and alcohol provisions of an FFD policy. A licensee or other entity may impose more stringent sanctions, except as specified in paragraph (h) of this section. (b) Any act or attempted act to subvert the testing process, including, but not limited to, refusing to provide a specimen and providing or attempting to provide a substituted or adulterated specimen, for any test required under § 26.31(c) must result in the immediate unfavorable termination of the individual's authorization and permanent denial of authorization thereafter. (c) Any individual who is determined to have been involved in the sale, use, or possession of illegal drugs or the consumption of alcohol within a protected area of any nuclear power plant, within a facility that is licensed to possess or use formula quantities of SSNM, within a transporter's facility or vehicle, or while performing the duties that require the individual to be subject to this subpart shall immediately have his or her authorization unfavorably terminated and denied for a minimum of 5 years from the date of the unfavorable termination of authorization. (d) Any individual who resigns or withdraws his or her application for authorization before authorization is terminated or denied for a first violation of the FFD policy involving a confirmed positive drug or alcohol test result shall immediately have his or her authorization denied for a minimum of 5 years from the date of termination or denial. If an individual resigns or withdraws his or her application for authorization before his or her authorization is terminated or denied for any violation of the FFD policy, the licensee or other entity shall record the resignation or withdrawal, the nature of the violation, and the minimum sanction that would have been required under this section had the individual not resigned or withdrawn his or her application for authorization. (e) Lacking any… | ||||
| 10:10:1.0.1.1.19.4.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.77 Management actions regarding possible impairment. | NRC | (a) This section defines management actions that licensees and other entities who are subject to this subpart must take when an individual who is subject to this subpart shows indications that he or she may not be fit to safely and competently perform his or her duties. (b) If an individual appears to be impaired or the individual's fitness is questionable, except as permitted under §§ 26.27(c)(3), 26.207, and 26.209, the licensee or other entity shall take immediate action to prevent the individual from performing the duties that require him or her to be subject to this subpart. (1) If an observed behavior or physical condition creates a reasonable suspicion of possible substance abuse, the licensee or other entity shall perform drug and alcohol testing. The results must be negative before the individual returns to performing the duties that require the individual to be subject to this subpart. However, if the physical condition is the smell of alcohol with no other behavioral or physical indications of impairment, then only an alcohol test is required and the results must be negative before the individual returns to performing his or her duties. (2) If a licensee or C/V who is subject to subpart I of this part is certain that the observed behavior or physical condition is the result solely of fatigue, the licensee or C/V shall ensure that a fatigue assessment is conducted under § 26.211. If the results of the fatigue assessment confirm that the observed behavior or physical condition is the result solely of fatigue, the licensee or C/V need not perform drug and alcohol tests or implement the determination of fitness process otherwise required by § 26.189. (3) For other indications of possible impairment that do not create a reasonable suspicion of substance abuse (or fatigue, in the case of licensees and C/Vs who are subject to subpart I of this part), the licensee or other entity may permit the individual to return to performing his or her duties only after the impairing or questionable conditions are reso… | ||||
| 10:10:1.0.1.1.19.5.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.81 Purpose and applicability. | NRC | This subpart contains requirements for collecting specimens for drug testing and conducting alcohol tests by or on behalf of the licensees and other entities in § 26.3(a) through (d) for the categories of individuals specified in § 26.4(a) through (d) and (g). At the discretion of a licensee or other entity in § 26.3(c), specimen collections and alcohol tests must be conducted either under this subpart for the individuals specified in § 26.4(e) and (f) or the licensee or other entity may rely on specimen collections and alcohol tests conducted under the requirements of 49 CFR Part 40 for the individuals specified in § 26.4(e) and (f). The requirements of this subpart do not apply to specimen collections and alcohol tests that are conducted under the requirements of 49 CFR Part 40, as permitted in this paragraph and under §§ 26.4(j) and 26.31(b)(2) and Subpart K. | ||||
| 10:10:1.0.1.1.19.5.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.83 Specimens to be collected. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71456, Nov. 22, 2022] | Except as permitted under § 26.31(d)(5), licensees and other entities who are subject to this subpart shall— (a) Collect either breath or oral fluids for initial tests for alcohol. Breath must be collected for confirmatory tests for alcohol; and (b) Collect only urine specimens for both initial and confirmatory tests for drugs, unless the licensee or other entity establishes through its policy and procedures that an oral fluid specimen can be collected and tested for any of the observed specimen collection conditions under § 26.115(a)(1) through (3) and (5). For each observed collection condition under § 26.115(a)(1) through (3) and (5), the licensee or other entity shall always collect and test the same specimen type. | |||
| 10:10:1.0.1.1.19.5.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.85 Collector qualifications and responsibilities. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71456, Nov. 22, 2022] | (a) Collector qualifications. Each collector shall be knowledgeable of the requirements of this part and the FFD policy and procedures of the licensee or other entity for whom collections are performed, and shall keep current on any changes to the collection procedures for each specimen the individual is qualified to collect under this part. Each collector shall receive qualification training that meets the requirements of this paragraph and demonstrate proficiency in applying the requirements of this paragraph before serving as a collector. At a minimum, qualification training must provide instruction on the following subjects: (1) All steps necessary to complete a collection correctly and the proper completion and transmission of the Federal CCF; (2) Methods to address “problem” collections, including, but not limited to: (i) Inability to provide a specimen ( e.g., “shy bladder” for a urine specimen, “shy lung” for a breath specimen, dry mouth for an oral fluid specimen); and (ii) Attempts to tamper with a specimen; (3) Operation of the particular specimen collection or alcohol testing device(s) ( e.g., alcohol screening device (ASD), EBT, oral fluid) to be used, consistent with the most recent version of the manufacturers' instructions; (4) How to correct problems in collections; and (5) The collector's responsibility for maintaining the integrity of the specimen collection process, carefully ensuring the modesty and privacy of the donor, and avoiding any conduct or remarks that might be construed as accusatorial or otherwise offensive or inappropriate, and the specimen transfer process, if applicable. (b) Alternative collectors. A medical professional, technologist, or technician may serve as a collector without meeting the collector qualification requirements in paragraphs (a) or (b) of this section, as applicable, only if all of the following conditions are met: (1) A collector who meets the requirements of paragraph (a) of this section cannot reasonably be made available at the time the coll… | |||
| 10:10:1.0.1.1.19.5.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.87 Collection sites. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71457, Nov. 22, 2022] | (a) Each FFD program must have one or more designated collection sites that have all necessary personnel, materials, equipment, facilities, and supervision to collect specimens for drug testing and to perform alcohol testing. Each collection site must provide for the collection, security, temporary storage, and shipping or transportation of specimens to a drug testing laboratory; the testing of specimens for alcohol; the security of specimen collection and testing devices; and test results. A properly equipped mobile facility that meets the requirements of this section is an acceptable collection site. (b) Visual privacy must be provided to the donor and collector when viewing alcohol test results and during the collection of an oral fluid specimen for drug testing. The donor must be provided with individual privacy while submitting a urine specimen, except if a directly observed urine specimen collection is required. Unauthorized personnel may not be present for the specimen collection. (c) Contracts for collection site services must permit representatives of the NRC, licensee, or other entity to conduct unannounced inspections and audits and to obtain all information and documentation that is reasonably relevant to the inspections and audits. (d) Licensees and other entities shall take the following measures to prevent unauthorized access to the collection site that could compromise the integrity of the collection process or the specimens. (1) Unauthorized personnel may not be permitted in any part of the designated collection site where specimens are collected or stored; (2) A designated collection site must be secure. If a collection site is dedicated solely to specimen collection, it must be secure at all times. Methods of assuring security may include, but are not limited to, physical measures to control access, such as locked doors, alarms, or visual monitoring of the collection site when it is not occupied; and (3) If a collection site cannot be dedicated solely to collecting specimens, the portion … | |||
| 10:10:1.0.1.1.19.5.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.89 Preparing to collect specimens for testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71457, Nov. 22, 2022] | (a) When an individual has been notified of a requirement for testing and does not appear at the collection site within the time period specified by FFD program procedures, the collector shall inform FFD program management that the individual has not reported for testing. FFD program management shall ensure that the necessary steps are taken to determine whether the individual's undue tardiness or failure to appear for testing constitutes a violation of the licensee's or other entity's FFD policy. If FFD program management determines that the undue tardiness or failure to report for testing represents an attempt to subvert the testing process, the licensee or other entity shall impose on the individual the sanctions in § 26.75(b). If FFD program management determines that the undue tardiness or failure to report does not represent a subversion attempt, the licensee or other entity may not impose sanctions but shall ensure that the individual is tested at the earliest reasonable and practical opportunity after locating the individual. (b) Donors shall provide acceptable identification before testing. (1) Acceptable identification includes photo-identification issued by a licensee or other entity who is subject to this part, or by the Federal, State, or local government. Licensees and other entities may not accept faxes or photocopies of identification. (2) If the donor cannot produce acceptable identification before any testing that is required under this part other than pre-access testing, the collector shall proceed with the test and immediately inform FFD program management that the donor did not present acceptable identification. When so informed, FFD program management shall contact the individual's supervisor to verify in-person the individual's identity, or, if the supervisor is not available, take other steps to establish the individual's identity and determine whether the lack of identification was an attempt to subvert the testing process. The donor may not leave the collection site except under super… | |||
| 10:10:1.0.1.1.19.5.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.91 Acceptable devices for conducting initial and confirmatory tests for alcohol and methods of use. | NRC | (a) Acceptable alcohol screening devices. Alcohol screening devices (ASDs), including devices that test specimens of oral fluids or breath, must be approved by the National Highway Traffic Safety Administration (NHTSA) and listed in the most current version of NHTSA's Conforming Products List (CPL) for such devices. An ASD that is listed in the NHTSA CPL may be used only for initial tests for alcohol, and may not be used for confirmatory tests. (b) Acceptable evidential breath testing devices. Evidential breath testing devices listed in the NHTSA CPL for evidential devices that meet the requirements of paragraph (c) of this section must be used to conduct confirmatory alcohol tests, and may be used to conduct initial alcohol tests. Note that, among the devices listed in the CPL for EBTs, only those devices listed without an asterisk (*) may be used for confirmatory alcohol testing under this subpart. (c) EBT capabilities. An EBT that is listed in the NHTSA CPL for evidential devices that has the following capabilities may be used for conducting initial alcohol tests and must be used for confirmatory alcohol tests under this subpart: (1) Provides a printed result of each breath test; (2) Assigns a unique number to each completed test, which the collector and donor can read before each test and which is printed on each copy of the test result; (3) Prints, on each copy of the test result, the manufacturer's name for the device, its serial number, and the time of the test; (4) Distinguishes alcohol from acetone at the 0.02 alcohol concentration level; (5) Tests an air blank; and (6) Permits performance of an external calibration check. (d) Quality assurance and quality control of ASDs. (1) Licensees and other entities shall implement the most recent version of the quality assurance plan submitted to NHTSA for any ASD that is used for initial alcohol testing. (2) Licensees and other entities may not use an ASD that fails the specified quality control checks or that has passed its expiration date. (3… | ||||
| 10:10:1.0.1.1.19.5.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.93 Preparing for alcohol testing. | NRC | (a) Immediately before collecting a specimen for alcohol testing, the collector shall— (1) Ask the donor whether he or she, in the past 15 minutes, has had anything to eat or drink, belched, or put anything into his or her mouth (including, but not limited to, a cigarette, breath mint, or chewing gum), and instruct the donor that he or she should avoid these activities during the collection process; (2) If the donor states that he or she has not engaged in the activities listed in paragraph (a)(1) of this section, alcohol testing may proceed; (3) If the donor states that he or she has engaged in any of the activities listed in paragraph (a)(1) of this section, inform the donor that a 15-minute waiting period is necessary to prevent an accumulation of mouth alcohol from leading to an artificially high reading; (4) Explain that it is to the donor's benefit to avoid the activities listed in paragraph (a)(1) of this section during the collection process; (5) Explain that the initial and confirmatory tests, if a confirmatory test is necessary, will be conducted at the end of the waiting period, even if the donor has not followed the instructions; and (6) Document that the instructions were communicated to the donor. (b) With the exception of the 15-minute waiting period, if necessary, the collector shall begin for-cause alcohol and/or drug testing as soon as reasonably practical after the decision is made that for-cause testing is required. When for-cause alcohol testing is required, alcohol testing may not be delayed by collecting a specimen for drug testing. | ||||
| 10:10:1.0.1.1.19.5.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.95 Conducting an initial test for alcohol using a breath specimen. | NRC | (a) The collector shall perform the initial breath test as soon as practical after the donor indicates that he or she has not engaged in the activities listed in § 26.93(a)(1) or after the 15-minute waiting period has elapsed, if required. (b) To perform the initial test, the collector shall— (1) Select, or allow the donor to select, an individually wrapped or sealed mouthpiece from the testing materials; (2) Open the individually wrapped or sealed mouthpiece in view of the donor and insert it into the device as required by the manufacturer's instructions; (3) Instruct the donor to blow steadily and forcefully into the mouthpiece for at least 6 seconds or until the device indicates that an adequate amount of breath has been obtained; (4) Show the donor the displayed or printed test result; and (5) Ensure that the test result record can be associated with the donor and is maintained secure. (c) Unless problems in administering the breath test require an additional collection, only one breath specimen may be collected for the initial test. If an additional collection(s) is required, the collector shall rely on the test result from the first successful collection to determine the need for confirmatory testing. | ||||
| 10:10:1.0.1.1.19.5.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.97 Collecting oral fluid specimens for alcohol and drug testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71457, Nov. 22, 2022] | (a) To perform the initial specimen collection, the collector shall— (1) Check the expiration date on the device and show it to the donor (the device may not be used after its expiration date); (2) Open an individually wrapped or sealed package containing the device in the presence of the donor; (3) Offer the donor the choice of using the device or having the collector use it. If the donor chooses to use it, instruct the donor to insert the device into his or her mouth and use it in the manner described by the device's manufacturer; (4) If the donor chooses not to use the device, or in all cases when a new specimen collection is necessary because the device failed to activate, insert the device into the donor's mouth, and gather oral fluids in the manner described by the device's manufacturer (wear single-use examination or similar gloves while doing so and change them following each specimen collection); and (5) When the device is removed from the donor's mouth, follow the manufacturer's instructions regarding necessary next steps to ensure that the device has activated. (b) If the steps in paragraph (a) of this section could not be completed successfully (e.g., the device breaks, the device is dropped on the floor, the device fails to activate), the collector shall— (1) Discard the device and conduct a new specimen collection using a new device. The new device must be one that has been under the collector's control before the specimen collection; (2) Record the reason for the new specimen collection; (3) Offer the donor the choice of using the device or having the collector use it unless the donor, in the opinion of the collector, was responsible for the new specimen collection needing to be conducted. If the collector concludes that the donor was responsible, then the collector shall use the device to conduct the specimen collection; and (4) Repeat the procedures in paragraph (a) of this section. (c) If the second collection attempt in paragraph (b) of this section could not be completed, the collec… | |||
| 10:10:1.0.1.1.19.5.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.99 Determining the need for a confirmatory test for alcohol. | NRC | (a) If the initial test result is less than 0.02 percent BAC, the collector shall declare the test result as negative. (b) If the initial test result is 0.02 percent BAC or higher, the collector shall ensure that the time at which the test was concluded ( i.e. , the time at which the test result was known) is recorded and inform the donor that a confirmatory test for alcohol is required. | ||||
| 10:10:1.0.1.1.19.5.85.11 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.101 Conducting a confirmatory test for alcohol. | NRC | (a) The confirmatory test must begin as soon as possible, but no more than 30 minutes after the conclusion of the initial test. (b) To complete the confirmatory test, the collector shall— (1) In the presence of the donor, conduct an air blank on the EBT before beginning the confirmatory test and show the result to the donor; (2) Verify that the reading is 0.00. If the reading is 0.00, the test may proceed. If not, then conduct another air blank; (3) If the reading on the second air blank is 0.00, the test may proceed. If the reading is greater than 0.00, take the EBT out of service and proceed with the test using another EBT. If an EBT is taken out of service for this reason, the EBT may not be used for further testing until it is found to be within tolerance limits on an external check of calibration; (4) Open an individually wrapped or sealed mouthpiece in view of the donor and insert it into the device as required by the manufacturer's instructions; (5) Read the unique test number displayed on the EBT, and ensure that the donor reads the same number; (6) Instruct the donor to blow steadily and forcefully into the mouthpiece for at least 6 seconds or until the device indicates that an adequate amount of breath has been obtained; and (7) Show the donor the result displayed on or printed by the EBT, record the result, and document the time at which the confirmatory test result was known. (c) Unless there are problems in administering the breath test that require an additional collection, the collector shall collect only one breath specimen for the confirmatory test. If an additional collection(s) is required because of problems in administering the breath test, the collector shall rely on the breath specimen from the first successful collection to determine the confirmatory test result. Collection procedures may not require collectors to calculate an average or otherwise combine results from two or more breath specimens to determine the confirmatory test result. (d) If an EBT that meets the requirements… | ||||
| 10:10:1.0.1.1.19.5.85.12 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.103 Determining a confirmed positive test result for alcohol. | NRC | (a) A confirmed positive test result for alcohol must be declared under any of the following conditions: (1) When the result of the confirmatory test for alcohol is 0.04 percent BAC or higher; (2) When the result of the confirmatory test for alcohol is 0.03 percent BAC or higher and the donor had been in a work status for at least 1 hour at the time the initial test was concluded (including any breaks for rest, lunch, dental/doctor appointments, etc.); or (3) When the result of the confirmatory test for alcohol is 0.02 percent BAC or higher and the donor had been in a work status for at least 2 hours at the time the initial test was concluded (including any breaks for rest, lunch, dental/doctor appointments, etc.). (b) When the result of the confirmatory test for alcohol is equal to or greater than 0.01 percent BAC but less than 0.02 percent BAC and the donor has been in a work status for 3 hours or more at the time the initial test was concluded (including any breaks for rest, lunch, dental/doctor appointments, etc.), the collector shall declare the test result as negative and inform FFD program management. The licensee or other entity shall prohibit the donor from performing any duties that require the individual to be subject to this subpart and may not return the individual to performing such duties until a determination of fitness indicates that the donor is fit to safely and competently perform his or her duties. | ||||
| 10:10:1.0.1.1.19.5.85.13 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.105 Preparing for the collection of a specimen for drug testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71457, Nov. 22, 2022] | (a) The collector shall ask the donor to remove any unnecessary outer garments, such as a coat or jacket, which might conceal items or substances that the donor could use to tamper with or adulterate his or her specimen. The collector shall ensure that all personal belongings such as a purse or briefcase remain with the outer garments outside of the room or stall in which the specimen is collected. The donor may retain his or her wallet. (b) The collector shall also ask the donor to empty his or her pockets and display the items in them to enable the collector to identify items that the donor could use to adulterate or substitute his or her urine specimen. The donor shall permit the collector to make this observation. If the donor refuses to show the collector the items in his or her pockets, this is considered a refusal to test. If an item is found that appears to have been brought to the collection site with the intent to adulterate or substitute the specimen, the collector shall contact the MRO or FFD program manager to determine whether a directly observed collection is required. If the item appears to have been inadvertently brought to the collection site, the collector shall secure the item and continue with the normal collection procedure. If the collector identifies nothing that the donor could use to adulterate or substitute the specimen, the donor may place the items back into his or her pockets. (c) The collector shall instruct the donor to wash and dry his or her hands before providing a specimen. (d) After washing his or her hands, the donor shall remain in the presence of the collector and may not have access to any water fountain, faucet, soap dispenser, cleaning agent, or other materials that he or she could use to adulterate the specimen. (e) The collector may select, or allow the donor to select, an individually wrapped or sealed urine specimen collection container from the collection kit materials or an oral fluid specimen collection device. Either the collector or the donor, with both pres… | |||
| 10:10:1.0.1.1.19.5.85.14 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.107 Collecting a urine specimen. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71457, Nov. 22, 2022] | (a) The collector shall direct the donor to go into the room or stall used for urination, provide a specimen of the quantity that has been predetermined by the licensee or other entity, as defined in § 26.109(a), not flush the toilet, and return with the specimen as soon as the donor has completed the void. (1) The donor shall provide his or her urine specimen in the privacy of a room, stall, or otherwise partitioned area (private area) that allows for individual privacy, except if a directly observed collection is required, as described in § 26.115; (2) Except in the case of a directly observed collection, no one may go with the donor into the room or stall in which the donor will provide his or her specimen; and (3) The collector may set a reasonable time limit for voiding. (b)(1) The collector shall pay careful attention to the donor during the entire collection process, except as provided in § 26.109(b)(1), to observe any conduct that indicates an attempt to subvert the testing process ( e.g., tampering with a specimen; having a substitute urine specimen in plain view; attempting to bring an adulterant, urine substitute, heating element, and/or temperature measurement device into the room, stall, or private area used for urination). If any such conduct is detected, the collector shall document a description of the conduct on the Federal CCF or through another documentation method consistent with the collection procedures of the licensee or other entity, and contact FFD program management to determine whether a directly observed collection is required, as described in § 26.115. (2) If a hydration monitor is used to observe a donor during the § 26.109(b)(1) hydration process, this individual shall immediately inform the collector of any donor conduct that may indicate an attempt to subvert the testing process ( e.g., donor leaves the collection site, donor refuses to follow instructions). (c) After the donor has provided the urine specimen and submitted it to the collector, the donor shall be permitted … | |||
| 10:10:1.0.1.1.19.5.85.15 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.109 Urine specimen quantity. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71458, Nov. 22, 2022] | (a) Licensees and other entities who are subject to this subpart shall establish a predetermined quantity of urine that donors are requested to provide when submitting a specimen. At a minimum, the predetermined quantity must include 30 milliliters (mL) to ensure that a sufficient quantity of urine is available for initial and confirmatory validity and drug tests at an HHS-certified laboratory, and for retesting of an aliquot of the specimen if requested by the donor under § 26.165(b). The licensee's or other entity's predetermined quantity may include more than 30 mL, if the testing program follows split specimen procedures, tests for additional drugs, or performs initial testing at a licensee testing facility. Where collected specimens are to be split under the provisions of this subpart, the predetermined quantity must include an additional 15 mL. (b) If the quantity of urine in the first specimen provided by the donor is less than 30 mL, the collector shall take the following steps: (1) The collector shall encourage the donor to drink a reasonable amount of liquid (normally, 8 ounces of water every 30 minutes, but not to exceed a maximum of 40 ounces over 3 hours) until the donor provides a specimen of at least 30 mL. Alternatively, as specified in the licensee's or other entity's FFD program procedures, the collector may assign responsibility for monitoring a donor during the hydration process to another collector who meets the requirements in § 26.85(a) or to a hydration monitor. If another collector or hydration monitor is used, the collector: (i) Shall explain the hydration process and acceptable donor behavior to the hydration monitor; (ii) Shall record the name of the other collector or hydration monitor on the Federal CCF; and (iii) May perform other collections while the donor is in the hydration process; (2) The collector shall provide the donor with a separate collection container for each successive specimen. Once the donor provides a specimen of at least 30 mL, the collection must end. If th… | |||
| 10:10:1.0.1.1.19.5.85.16 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.111 Checking the acceptability of the urine specimen. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71458, Nov. 22, 2022] | (a) Immediately after the donor provides the urine specimen to the collector, including specimens of less than 30 mL but equal to or greater than 15 mL, the collector shall measure the temperature of the specimen. The temperature-measuring device used must accurately reflect the temperature of the specimen and not contaminate the specimen. The time from urination to temperature measurement may not exceed 4 minutes. If the temperature of a urine specimen is outside the range of 90 °F to 100 °F (32 °C to 38 °C), that is a reason to believe the donor may have altered ( e.g., adulterated or diluted) or substituted the specimen. (b) Immediately after the donor provides a urine specimen, including specimens of less than 30 mL but equal to or greater than 15 mL, the collector shall also inspect the specimen to determine its color and clarity and look for any signs of contaminants or adulteration. The collector shall note any unusual findings on the Federal CCF or through another documentation method consistent with the collection procedures of the licensee or other entity. (c) If there is reason to believe that the donor may have attempted to dilute, substitute, or adulterate the specimen based on specimen temperature or other observations made during the collection, the collector shall contact the FFD program manager, who may consult with the MRO, to determine whether the donor has attempted to subvert the testing process or whether other circumstances may explain the observations. The FFD program manager or MRO may require the donor to provide a second specimen as soon as possible under direct observation. In addition, the collector shall inform the donor that he or she may volunteer to submit a second specimen under direct observation to counter the reason to believe the donor may have altered ( e.g., adulterated or diluted) or substituted the specimen. (d) Any specimen of 15 mL or more that the collector suspects has been diluted, substituted, or adulterated, and any specimen of 15 mL or more that has been … | |||
| 10:10:1.0.1.1.19.5.85.17 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.113 Splitting the urine specimen. | NRC | (a) Licensees and other entities may, but are not required to, use split-specimen methods of collection. (b) If the urine specimen is to be split into two specimen bottles, hereinafter referred to as Bottle A and Bottle B, the collector shall take the following steps: (1) The collector shall instruct the donor to urinate into a specimen container; (2) The collector, in the presence of the donor and after determining specimen temperature as described in § 26.111(a), shall split the urine specimen. The collector shall pour 30 mL of urine into Bottle A and a minimum of 15 mL of urine into Bottle B. If the quantity of urine available for Bottle B is less than 15 mL, the collector shall pour the remaining urine into Bottle B and forward the specimens in Bottles A and B to the HHS-certified laboratory for drug and validity testing; and (3) The collector shall ask the donor to observe the splitting of the urine specimen and to maintain visual contact with both specimen bottles until the Federal CCF(s) for both specimens are completed, the specimens are sealed, and the specimens and form(s) are prepared for secure storage or shipping. (c) Licensees and other entities may use aliquots of the specimen collected for validity screening and initial validity and drug testing at the licensee testing facility, as permitted under § 26.31(d)(3)(ii), or to test for additional drugs, as permitted under § 26.31(d)(1)(i)(A), but only if sufficient urine is available for this testing after the specimen has been split into Bottle A and Bottle B. | ||||
| 10:10:1.0.1.1.19.5.85.18 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.115 Collecting a urine specimen under direct observation. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71458, Nov. 22, 2022] | (a) Procedures for collecting urine specimens must provide for the donor's privacy unless directed by this subpart or the MRO or FFD program manager determines that a directly observed collection is warranted. The following circumstances constitute the exclusive grounds for performing a directly observed collection: (1) The donor has presented, at this or a previous collection, a urine specimen that the HHS-certified laboratory reported as being substituted, adulterated, or invalid to the MRO and the MRO reported to the licensee or other entity that there is no adequate medical explanation for the result; (2) The donor has presented, at this collection, a urine specimen that falls outside the required temperature range; (3) The collector, or the hydration monitor if one is used as permitted in § 26.109(b)(1), observes conduct by the donor indicating an attempt to subvert the testing process; (4) A directly observed collection is required under § 26.69; or (5) The donor requests a retest and either Bottle B or the single specimen is not available due to circumstances outside of the donor's control, as described in § 26.165(f)(2). (b) Before collecting a urine specimen under direct observation, the collector shall obtain the agreement of the FFD program manager or MRO to obtain a urine specimen under direct observation. After obtaining agreement, the collector shall ensure that a specimen is collected under direct observation as soon as reasonably practicable. (c) The collector shall explain to the donor the reason for direct observation of the collection under paragraph (a) of this section. (d) The collector shall complete a new Federal CCF for the specimen that is obtained from the directly observed collection. The collector shall record that the collection was observed and the reason(s) for the directly observed collection on the form. (e) The collector shall ensure that the observer is the same gender as the donor. A person of the opposite gender may not act as the observer under any conditions. The ob… | |||
| 10:10:1.0.1.1.19.5.85.19 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.117 Preparing drug testing specimens for storage and shipping. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71458, Nov. 22, 2022] | (a) Once the collector is presented with the specimen from the donor, both the donor and the collector shall keep the donor's specimen(s) in view at all times before the specimen(s) are sealed and labeled. If any specimen or aliquot is transferred to another container, the collector shall ask the donor to observe the transfer and sealing of the container with a tamper-evident seal. (b) Both the collector and the donor shall be present (at the same time) during the procedures outlined in this section. (c) The collector shall place an identification label securely on each container. The label must contain the date, the donor's specimen number, and any other identifying information provided or required by the FFD program. The collector shall also apply a tamper-evident seal on each container if it is separate from the label. The specimen bottle must be securely sealed to prevent undetected tampering. (d) The donor shall initial the identification label(s) on the specimen bottle(s) for the purpose of certifying that the specimen was collected from him or her. The collector shall also ask the donor to read and sign a statement on the Federal CCF certifying that the specimen(s) identified as having been collected from the donor is, in fact, the specimen(s) that he or she provided. (e) The collector shall complete the Federal CCF(s) and shall certify proper completion of the collection. (f) The specimens and Federal CCFs must be packaged for transfer to the HHS-certified laboratory or to the licensee testing facility. If the specimens are not immediately prepared for transfer, they must be appropriately safeguarded during temporary storage. (g) While any part of the chain of custody procedures is being performed, the specimens and custody documents must be under the control of the involved collector, except as provided in § 26.109(b)(1)(ii) for the Federal CCF. The collector may not leave the collection site during the interval between presentation of the specimen by the donor and securing of the specimens with … | |||
| 10:10:1.0.1.1.19.5.85.20 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.119 Determining “shy” bladder. | NRC | (a) When a donor has not provided a specimen of at least 30 mL within the 3 hours permitted for urine collection, FFD program personnel shall direct the donor to obtain, within 5 business days, an evaluation from a licensed physician who is acceptable to the MRO and has expertise in the medical issues raised by the donor's failure to provide a sufficient specimen. The MRO may perform this evaluation if the MRO has the appropriate expertise. (b) If another physician will perform the evaluation, the MRO shall provide the other physician with the following information and instructions: (1) The donor was required to take a drug test, but was unable to provide a sufficient quantity of urine to complete the test; (2) The potential consequences of refusing to take the required drug test; and (3) The physician must agree to follow the requirements of paragraphs (c) through (f) of this section. (c) The physician who conducts this evaluation shall make one of the following determinations: (1) A medical condition has, or with a high degree of probability could have, precluded the donor from providing a sufficient amount of urine; or (2) There is an inadequate basis for determining that a medical condition has, or with a high degree of probability could have, precluded the donor from providing a sufficient quantity of urine. (d) For purposes of this section, a medical condition includes an ascertainable physiological condition (e.g., a urinary system dysfunction) or a medically documented pre-existing psychological disorder, but does not include unsupported assertions of “situational anxiety” or dehydration. (e) The physician who conducts this evaluation shall provide a written statement of his or her determination and the basis for it to the MRO. This statement may not include detailed information on the donor's medical condition beyond what is necessary to explain the determination. (f) If the physician who conducts this evaluation determines that the donor's medical condition is a serious and permanent or long-t… | ||||
| 10:10:1.0.1.1.19.6.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.121 Purpose. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 90 FR 55628, Dec. 3, 2025] | This subpart contains requirements for facilities that are operated by licensees and other entities who are subject to this part to perform initial tests of urine specimens for validity, drugs, and drug metabolites. This subpart shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this subpart and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this subpart accordingly. | |||
| 10:10:1.0.1.1.19.6.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.123 Testing facility capabilities. | NRC | Each licensee testing facility shall have the capability, at the same premises, to perform either validity screening tests or initial validity tests or both, and initial drug tests for each drug and drug metabolite for which testing is conducted. | ||||
| 10:10:1.0.1.1.19.6.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.125 Licensee testing facility personnel. | NRC | (a) Each licensee testing facility shall have one or more individuals who are responsible for day-to-day operations and supervision of the testing technicians. The designated individual(s) shall have at least a bachelor's degree in the chemical or biological sciences, medical technology, or equivalent. He or she shall also have training and experience in the theory and practice of the procedures used in the licensee testing facility, and a thorough understanding of quality control practices and procedures, the review, interpretation, and reporting of test results, and proper remedial actions to be taken in response to detection of abnormal test or quality control results. (b) Other technicians or non-technical staff shall have the necessary training and skills for their assigned tasks. Technicians who perform urine specimen testing shall have documented proficiency in operating the testing instruments and devices used at the licensee testing facility. (c) Licensee testing facility personnel files must include each individual's resume of training and experience; certification or license, if any; references; job descriptions; records of performance evaluations and advancement; incident reports, if any; results of tests that establish employee competency for the position he or she holds, including, but not limited to, certification that personnel are proficient in conducting testing in accordance with manufacturer's most recent instructions for the instruments and devices used and tests for color blindness; and appropriate data to support determinations of honesty and integrity required by this part. | ||||
| 10:10:1.0.1.1.19.6.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.127 Procedures. | NRC | (a) Licensee testing facilities shall develop, implement, and maintain clear and well-documented procedures for accession, shipment, and testing of urine specimens. (b) Written chain of custody procedures must describe the methods to be used to maintain control and accountability of specimens from receipt through completion of testing and reporting of results, during storage and shipping to the HHS-certified laboratory, and continuing until final disposition of the specimens. (c) Licensee testing facilities shall develop, implement, and maintain written standard operating procedures for each assay performed for drug and specimen validity testing. If a licensee testing facility performs validity screening tests, the licensee testing facility shall develop, implement, and maintain written standard operating procedures for each test. The procedures must include, but are not limited to, detailed descriptions of— (1) The principles of each test; (2) Preparation of reagents, standards, and controls; (3) Calibration procedures; (4) Derivation of results; (5) Linearity of the methods; (6) Sensitivity of the methods; (7) Cutoff values; (8) Mechanisms for reporting results; (9) Controls; (10) Criteria for unacceptable specimens and results; (11) Reagents and expiration dates; and (12) References. (d) Licensee testing facilities shall develop, implement, and maintain written procedures for instrument and test setup and normal operation, including the following: (1) A schedule for checking critical operating characteristics for all instruments and validity screening tests; (2) Tolerance limits for acceptable function checks; and (3) Instructions for major troubleshooting and repair. (e) Licensee testing facilities shall develop, implement, and maintain written procedures for remedial actions to be taken when systems, and instrumented and non-instrumented tests are out of acceptable limits or errors are detected. Each facility shall maintain documentation that these procedures are followed and that all nece… | ||||
| 10:10:1.0.1.1.19.6.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.129 Assuring specimen security, chain of custody, and preservation. | NRC | [78 FR 17176, Mar. 31, 2008, as amended at 87 FR 71459, Nov. 22, 2022] | (a) Each licensee testing facility must be secure at all times. Each licensee or other entity shall have sufficient security measures in place to control access to the licensee testing facility and to ensure that no unauthorized personnel handle specimens or gain access to the licensee testing facility's processes or areas where records are stored. Access to these secured areas must be limited to specifically authorized individuals whose authorization is documented. All authorized visitors and maintenance and service personnel shall be escorted at all times while in the licensee testing facility. (b) When specimens are received, licensee testing facility personnel shall inspect each package for evidence of possible tampering and shall compare information on the specimen containers within each package to the information on the accompanying Federal CCFs. Licensee testing facility personnel shall attempt to resolve any discrepancies identified in the information on specimen bottles or on the accompanying Federal CCFs. When resolving any discrepancies, licensee testing facility personnel shall obtain a memorandum for the record from the specimen collector involved in the discrepancy to document correction of the discrepancy. This memorandum must accompany the specimen(s) and Federal CCFs to the HHS-certified laboratory if the specimen(s) must be transferred. (1) Indications of tampering with specimens in transit from the collection site, or at a licensee testing facility, must be reported to senior licensee or other entity management as soon as practical and no later than 8 hours after the indications are identified. In response to a report, licensee or other entity management personnel shall initiate an investigation to determine whether tampering has occurred. (i) If the investigation determines that tampering has occurred, licensee or other entity management shall ensure that corrective actions are taken. (ii) If there is reason to believe that the integrity or identity of a specimen is in question (as a resul… | |||
| 10:10:1.0.1.1.19.6.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.131 Cutoff levels for validity screening and initial validity tests. | NRC | (a) Each validity test result from the licensee testing facility must be based on performing either a validity screening test or an initial validity test, or both, on one or more aliquots of a urine specimen. The licensee testing facility shall forward any specimen that yields a questionable validity screening or initial validity test result to the HHS-certified laboratory for further testing. Licensee testing facilities need not perform validity screening tests before conducting initial validity tests of a specimen. (b) At a minimum, the licensee testing facility shall test each urine specimen for creatinine, pH, and one or more oxidizing adulterants. Licensees and other entities may not specify more stringent cutoff levels for validity screening and initial validity tests than those specified in this section. If tests or observations indicate one or more of the following from either a validity screening test or an initial validity test, the licensee testing facility shall forward the specimen to the HHS-certified laboratory for additional testing: (1) Creatinine is less than 20 milligrams (mg) per deciliter (dL); (2) The pH of the specimen is either less than 4.5 or equal to or greater than 9, using either a colorimetric pH test with a dynamic range of 2 to 12 or pH meter that is capable of measuring pH to one decimal place (for initial validity tests), or colorimetric pH tests, dipsticks, and pH paper (for pH validity screening tests) that have a narrow dynamic range; (3) Nitrite or other oxidant concentration is equal to or greater than 200 micrograms (mcg) per mL or equal to or greater than 200 mcg/mL nitrite-equivalents using either a nitrite colorimetric test or a general oxidant colorimetric test; (4) The possible presence of an oxidizing adulterant (e.g., chromium (VI), pyridine (pyridinium chlorochromate)) is determined using either a general oxidant colorimetric test (with a cutoff equal to or greater than 50 mcg/mL chromium (VI)-equivalents) or a chromium (VI) colorimetric test (chromium (VI) con… | ||||
| 10:10:1.0.1.1.19.6.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.133 Cutoff levels for drugs and drug metabolites. | NRC | [87 FR 71459, Nov. 22, 2022] | Subject to the provisions of § 26.31(d)(3)(iii), licensees and other entities may specify more stringent cutoff levels for drugs and drug metabolites than those in Table 1 to § 26.133 and, in such cases, may report initial test results for only the more stringent cutoff levels. Otherwise, the following cutoff levels must be used for initial testing of urine specimens to determine whether they are negative or positive for the indicated drugs and drug metabolites: Table 1 to § 26.133—Urine, Initial Test Cutoff Levels for Drugs and Drug Metabolites 1 Morphine is the target analyte for codeine/morphine testing. 2 Either a single initial test kit or multiple initial test kits may be used provided the single test kit detects each target analyte independently at the specified cutoff. 3 Methamphetamine (MAMP) is the target analyte for amphetamine (AMP)/MAMP testing. 4 Methylenedioxymethamphetamine. 5 Methylenedioxyamphetamine. | |||
| 10:10:1.0.1.1.19.6.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.135 Split specimens. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 79 FR 66602, Nov. 10, 2014] | (a) If the FFD program follows split-specimen procedures, as described in § 26.113, the licensee testing facility shall analyze aliquots of the specimen for the licensee's or other entity's purposes as described in this part. Except as provided in paragraph (b) in this section, the licensee testing facility shall store Bottles A and B of the specimen in a secure manner until the facility has finished testing. If the initial validity and drug test results are negative and the specimen in Bottle A will not be forwarded to the HHS-certified laboratory, the licensee testing facility may discard both Bottle A and Bottle B. If any test results are positive or indicate that the specimen is of questionable validity, the licensee testing facility shall forward Bottle A to the HHS-certified laboratory for testing and shall retain Bottle B in secure storage, under the requirements of § 26.159(i), or may forward it to the HHS-certified laboratory for storage. (b) If the MRO confirms any positive, adulterated, or substituted result for a specimen in Bottle A, based on the results of confirmatory testing at an HHS-certified laboratory, and the licensee testing facility has elected to retain Bottle B of the specimen, and the donor requests testing of the specimen in Bottle B, as permitted under § 26.165(b), the MRO shall ensure that Bottle B is forwarded to an HHS-certified laboratory other than the laboratory that tested the specimen in Bottle A, under the procedures specified in § 26.165(b). (c) If the MRO confirms that the specimen in Bottle A is positive, adulterated, substituted, or invalid and the donor does not request that Bottle B be tested, the licensee or other entity shall ensure that Bottle B is maintained in long-term frozen storage (−20 °C (−4 °F) or less) for a minimum of 1 year. If a licensee testing facility elects to retain the specimen in Bottle B, rather than forwarding it to the HHS-certified laboratory with Bottle A, the licensee testing facility shall ensure proper storage conditions in the event of a … | |||
| 10:10:1.0.1.1.19.6.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.137 Quality assurance and quality control. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 38328, Aug. 3, 2009; 87 FR 71459, Nov. 22, 2022] | (a) Quality assurance program. Each licensee testing facility shall have a quality assurance program that encompasses all aspects of the testing process including, but not limited to, specimen acquisition, chain of custody, security and reporting of results, validity screening (if validity screening tests are performed), initial validity and drug testing, and validation of analytical procedures. Quality assurance procedures must be designed, implemented, and reviewed to monitor the conduct of each step of the process of validity testing and testing for drugs and drug metabolites. (b) Performance testing and quality control requirements for validity screening tests. (1) Licensee testing facilities may rely on validity screening tests to determine the need for initial tests of specimen validity either at the licensee testing facility or HHS-certified laboratory. Licensees and other entities shall ensure that the HHS-certified laboratory is capable of conducting confirmatory testing for any adulterant for which the licensee testing facility conducts validity screening tests. Licensee testing facilities shall use only validity screening tests that meet the following criteria: (i) Either the test, by lot number, has been placed on the Substance Abuse and Mental Health Services Administration (SAMHSA) list of point-of-collection tests that are approved for use in the Federal Workplace Drug Testing Program; or (ii) Before using the test, the licensee or other entity has ensured that the validity screening test, by lot number, effectively identifies specimens of questionable validity by meeting the following performance testing and quality control requirements: (A) The creatinine validity screening test must use a 20 mg/dL cutoff concentration; (B) A pH specimen validity screening test must be able to determine if pH is less than 4.5 and if pH is equal to or greater than 9; and (C) An oxidant validity screening test must be able to determine if an oxidant concentration is equal to or greater than a 200 mcg/mL n… | |||
| 10:10:1.0.1.1.19.6.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.139 Reporting initial validity and drug test results. | NRC | (a) The licensee testing facility shall report as negative all specimens that are valid on the basis of validity screening or initial validity tests, or both, and are negative on the initial tests for drugs and drug metabolites. Except as permitted under § 26.75(h), positive test results from initial drug tests at the licensee testing facility may not be reported to licensee or other entity management. In addition, the licensee testing facility may not report results from validity screening or initial validity testing indicating that a specimen is of questionable validity or positive initial drug test results from specimens that are of questionable validity. (b) Except as provided in §§ 26.37 and 26.75(h), access to the results of initial tests must be limited to the licensee testing facility's staff, the MRO and MRO staff, the FFD program manager, and, when appropriate, EAP staff and the SAE. (c) The licensee testing facility shall provide qualified personnel, when required, to testify in an administrative or disciplinary proceeding against an individual when that proceeding is based on urinalysis results reported by the licensee testing facility. (d) The licensee testing facility shall prepare the information required for the annual report to the NRC, as required in § 26.717. (e) The data in the annual report to the NRC must be presented for either the cutoff levels specified in this part, or for more stringent cutoff levels, if the FFD program uses more stringent cutoff levels for drugs and drug metabolites. If the FFD program tests for drugs and drug metabolites that are not specified in § 26.31(d)(1), the summary must also include the number of positive test results and the cutoff levels used for those drugs and drug metabolites. (f) The designated FFD program official shall use the available information from the licensee testing facility's validity and drug test results, the results of quality control testing performed at the licensee testing facility, and the results from testing the quality control s… | ||||
| 10:10:1.0.1.1.19.7.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.151 Purpose. | NRC | [87 FR 71459, Nov. 22, 2022] | This subpart contains requirements for the HHS-certified laboratories that licensees and other entities use to perform testing under this part. | |||
| 10:10:1.0.1.1.19.7.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.153 Using certified laboratories for testing specimens. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 74 FR 38328, Aug. 3, 2009; 87 FR 71459, Nov. 22, 2022] | (a) Licensees and other entities who are subject to this part shall use only HHS-certified laboratories as defined in § 26.5. (b) HHS-certified laboratories shall have the capability, at the same premises, to perform both initial and confirmatory tests for specimen validity and for each drug and drug metabolite for which the HHS-certified laboratory provides services to the licensee or other entity. (c) An HHS-certified laboratory may not subcontract and shall perform all work with its own personnel and equipment unless otherwise authorized by the licensee or other entity. (d) Licensees and other entities shall use only HHS-certified laboratories that agree to follow the same rigorous specimen testing, quality control, and chain of custody procedures when testing for more stringent cutoff levels as may be specified by licensees and other entities for the classes of drugs identified in this part, and for any other substances included in the licensees' or other entities' panels. (e) Before awarding a contract to an HHS-certified laboratory, the licensee or other entity shall ensure that qualified personnel conduct a pre-award inspection and evaluation of the procedural aspects of the laboratory's drug testing operations. However, if an HHS-certified laboratory loses its certification, in whole or in part, a licensee or other entity may immediately begin using another HHS-certified laboratory that is being used by another licensee or entity who is subject to this part, as permitted by § 26.41(g)(5). (f) All contracts between licensees or other entities who are subject to this part and HHS-certified laboratories must require the laboratory to implement all applicable requirements of this part. At a minimum, licensees' and other entities' contracts with HHS-certified laboratories must include the following requirements: (1) Laboratory facilities shall comply with the applicable provisions of any State licensor requirements; (2) The laboratory shall make available qualified personnel to testify in an administrat… | |||
| 10:10:1.0.1.1.19.7.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.155 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.19.7.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.157 Procedures. | NRC | [87 FR 71459, Nov. 22, 2022] | (a) HHS-certified laboratories shall develop, implement, and maintain procedures specific to this part that document the accession, receipt, shipment, and testing of specimens. (b) [Reserved] | |||
| 10:10:1.0.1.1.19.7.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.159 Assuring specimen security, chain of custody, and preservation. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 79 FR 66602, Nov. 10, 2014; 87 FR 71460, Nov. 22, 2022] | (a) The HHS-certified laboratories performing services for licensees and other entities under this part shall be secure at all times. Each laboratory shall have in place sufficient security measures to control access to the premises and to ensure that no unauthorized personnel handle specimens or gain access to the laboratory processes or areas where records are stored. Access to these secured areas must be limited to specially authorized individuals whose authorization is documented. All authorized visitors, and maintenance and service personnel, shall be escorted at all times in the laboratory, except personnel who are authorized to conduct inspections and audits on behalf of licensees, other entities, the NRC, or the HHS Secretary, and emergency personnel (including but not limited to firefighters and medical rescue teams). (b) When a shipment of specimens is received, laboratory personnel shall inspect each package for evidence of possible tampering and shall compare information on specimen bottles within each package to the information on the accompanying Federal CCFs. (1) Any direct evidence of tampering or discrepancies in the information on the specimen bottles and the Federal CCFs attached to the shipment must be reported to the licensee or other entity within 24 hours of the discovery and must be noted on the Federal CCFs for each specimen contained in the package. When notified, the licensee or other entity shall ensure that an investigation is initiated to determine whether tampering has occurred. (i) If the investigation determines that tampering has occurred, the licensee or other entity shall ensure that corrective actions are taken. (ii) If the licensee or other entity has reason to question the integrity and identity of the specimens, the laboratory shall reject the specimens for testing. The licensee or other entity shall ensure that another collection occurs as soon as reasonably practical, except if a split specimen collection was performed, either the Bottle A or Bottle B seal remains int… | |||
| 10:10:1.0.1.1.19.7.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.161 Cutoff levels for validity testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71460, Nov. 22, 2022] | (a) Validity test results. Each validity test result for a specimen that the HHS-certified laboratory reports to the MRO as adulterated, substituted, dilute, or invalid must be based on performing an initial validity test on one aliquot and a confirmatory validity test on a second aliquot. Licensees and other entities shall ensure that the HHS-certified laboratory is capable of conducting, and conducts, confirmatory testing for at least one oxidizing adulterant and any other adulterants specified by the licensee's or other entity's testing program. If initial validity test results indicate that the specimen is valid under the criteria in paragraphs (c) through (f) of this section, the HHS-certified laboratory need not perform confirmatory validity testing of the specimen. (b) Initial validity testing of urine. The HHS-certified laboratory shall perform initial validity testing of each specimen as follows: (1) Determine the creatinine concentration; (2) Determine the specific gravity of every specimen for which the creatinine concentration is less than 20 mg/dL; (3) Determine the pH; (4) Perform one or more initial validity tests for oxidizing adulterants; and (5) Perform additional validity tests, the choice of which depends on the observed indicators or characteristics below, when the following conditions are observed: (i) Abnormal physical characteristics; (ii) Reactions or responses characteristic of an adulterant obtained during initial or confirmatory drug tests (e.g., non-recovery of internal standards, unusual response); or (iii) Possible unidentified interfering substance or adulterant. (c) Results indicating an adulterated specimen. The laboratory shall report a specimen as adulterated when the specimen yields any one or more of the following validity testing results: (1) The pH is less than 3, or equal to or greater than 11, using either a pH meter or a colorimetric pH test for the initial test on the first aliquot and a pH meter for the confirmatory test on the second aliquot; (2) The… | |||
| 10:10:1.0.1.1.19.7.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.163 Cutoff levels for drugs and drug metabolites. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71460, Nov. 22, 2022] | (a) Initial drug testing. (1) HHS-certified laboratories shall apply the following cutoff levels for initial testing of specimens to determine whether they are negative or positive for the indicated drugs and drug metabolites, except as specified in paragraph (a)(2) of this section or the licensee or other entity has established more stringent cutoff levels: Table 1 to Paragraph ( a )(1)—Urine, Initial Test Cutoff Levels for Drugs and Drug Metabolites 1 Morphine is the target analyte for codeine/morphine testing. 2 Either a single initial test kit or multiple initial test kits may be used provided the single test kit detects each target analyte independently at the specified cutoff. 3 Methamphetamine (MAMP) is the target analyte for amphetamine (AMP)/MAMP testing. 4 Methylenedioxymethamphetamine. 5 Methylenedioxyamphetamine. Table 2 to Paragraph ( a )(1)—Oral Fluid, Initial Test Cutoff Levels for Drugs and Drug Metabolites 1 For grouped analytes ( i.e., two or more analytes in the same drug class with the same initial test cutoff): • Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The cross reactivity of the immunoassay to the other analyte(s) within the group must be 80 percent or greater; if not, separate immunoassays must be used for the analytes within the group. • Alternative technology: Either one analyte or all analytes from the group must be used for calibration, depending on the technology. At least one analyte within the group must have a concentration equal to or greater than the initial test cutoff or, alternatively, the sum of the analytes present. 2 An immunoassay must be calibrated with the target analyte, delta-9-tetrahydrocannabinol (THC). 3 Alternate technology (THC and 6-AM): The confirmatory tests cutoff must be used for an alternate technology initial test that is specific for the target analyte ( i.e., 2 ng/mL for THC, 2 ng/mL for 6-AM). 4 Amphetamine (AMP) and methamphetamine (MAMP). 5 Methylenedioxymetha… | |||
| 10:10:1.0.1.1.19.7.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.165 Testing split specimens and retesting single specimens. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71461, Nov. 22, 2022] | (a) Testing split specimens. (1) If a specimen has been split into Bottle A and Bottle B at the collection site, and the specimen was not initially tested at a licensee testing facility, then the HHS-certified laboratory shall perform initial and confirmatory validity and drug testing, if required, of the specimen in Bottle A. (2) If a specimen was initially tested at a licensee testing facility and positive or questionable validity test results were obtained, then the HHS-certified laboratory shall perform initial and confirmatory testing, if required, of the specimen in Bottle A. (3) At the licensee's or other entity's discretion, Bottle B must either be forwarded to the HHS-certified laboratory or maintained in secure storage at the licensee testing facility, as required by § 26.135(a) and (c), as applicable. If the specimen in Bottle A is free of any evidence of drugs or drug metabolites, and is a valid specimen, then the licensee testing facility or HHS-certified laboratory may discard the specimens in Bottles A and B. (b) Donor request to MRO for a retest of a single specimen or testing Bottle B of a split specimen. (1) For a confirmed positive, adulterated, or substituted result reported on a single specimen of 30 mL or more, or a specimen in Bottle A of a split specimen which the donor submitted to the licensee or other entity, a donor may request (through the MRO) that an aliquot from the single specimen or the split (Bottle B) specimen be tested by a second HHS-certified laboratory to verify the result reported by the first laboratory. For an invalid test result, a donor may not request that an aliquot from the single specimen or the split specimen in Bottle B be tested by a second HHS-certified laboratory. (2) The MRO shall inform the donor that he or she may, within 3 business days of notification by the MRO of the confirmed positive, adulterated, or substituted test result, request the retesting of an aliquot of the single specimen or the testing of the Bottle B split specimen. The MRO shall … | |||
| 10:10:1.0.1.1.19.7.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.167 Quality assurance and quality control. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71462, Nov. 22, 2022] | (a) Quality assurance program. Each HHS-certified laboratory shall have a quality assurance program that encompasses all aspects of the testing process, including, but not limited to, specimen accessioning, chain of custody, security and reporting of results, initial and confirmatory testing, certification of calibrators and controls, and validation of analytical procedures. The performance characteristics (e.g., accuracy, precision, LOD, limit of quantitation (LOQ), specificity) of each test must be validated and documented for each test. Validation of procedures must document that carryover does not affect the donor's specimen results. Periodic re-verification of analytical procedures is required. Quality assurance procedures must be designed, implemented, and reviewed to monitor the conduct of each step of the testing process. (b) Calibrators and controls required. Each analytical run of specimens for which an initial or confirmatory validity test, or an initial or confirmatory drug test, is being performed must include the appropriate calibrators and controls. (c) Quality control requirements for performing initial and confirmatory validity tests on urine. (1) Requirements for performing creatinine tests: (i) The creatinine concentration must be measured to one decimal place on both the initial and the confirmatory creatinine tests; (ii) The initial creatinine test must have a calibrator at 2 mg/dL; (iii) The initial creatinine test must have a control in the range of 1 to 1.5 mg/dL, a control in the range of 3 to 20 mg/dL, and a control in the range of 21 to 25 mg/dL; and (iv) The confirmatory creatinine test (performed on those specimens with a creatinine concentration less than 2 mg/dL on the initial test) must have a calibrator at 2 mg/dL, a control in the range of 1.0 to 1.5 mg/dL, and a control in the range of 3 to 4 mg/dL. (2) Requirements for performing specific gravity tests: (i) The refractometer must report and display the specific gravity to four decimal places, and must be interface… | |||
| 10:10:1.0.1.1.19.7.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.168 Blind performance testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 81 FR 86909, Dec. 2, 2016; 87 FR 71462, Nov. 22, 2022] | (a) Each licensee and other entity shall submit blind performance test samples to the HHS-certified laboratory. (1) During the initial 90-day period of any contract with an HHS-certified laboratory (not including rewritten or renewed contracts), each licensee or other entity shall submit blind performance test samples to each HHS-certified laboratory with whom it contracts in the amount of at least 20 percent of the total number of specimens submitted (up to a maximum of 100 blind performance test samples) or 30 blind performance test samples, whichever is greater. (2) Following the initial 90-day period, the number of blind performance test samples submitted per quarter must be a minimum of one percent of all specimens (up to a maximum of 100) or ten blind performance test samples, whichever is greater. (3) Both during the initial 90-day period and quarterly thereafter, licensees and other entities should attempt to submit blind performance test samples at a frequency that corresponds to the submission frequency for other specimens. (b) Approximately 60 percent of the blind performance test samples submitted to the laboratory must be positive for one or more drugs or drug metabolites per sample and submitted so that all of the drugs for which the FFD program is testing are included at least once each calendar quarter, except as follows: (1) Licensees and other entities shall submit blind performance test samples that are positive for marijuana metabolite at least two times each quarter; and (2) In at least two quarters each year, licensees and other entities shall submit an additional blind performance test sample that is positive for cocaine instead of the required sample that is positive for PCP. (c) The positive blind performance test samples must be positive for only those drugs for which the FFD program is testing and formulated at concentrations established in paragraph (g)(2) of this section. (d) To challenge the HHS-certified laboratory's ability to limit false negatives, approximately 10 percent… | |||
| 10:10:1.0.1.1.19.7.85.11 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.169 Reporting Results. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71462, Nov. 22, 2022] | (a) The HHS-certified laboratory shall report test results to the licensee's or other entity's MRO within 5 business days after receiving the specimen from the licensee or other entity. Before reporting any test result to the MRO, the laboratory's Certifying Scientist shall certify the result as correct. The report must identify the substances for which testing was performed; the results of the validity and drug tests; the cutoff levels for each; any indications of tampering, adulteration, or substitution that may be present; the specimen identification number assigned by the licensee or other entity; and the specimen identification number assigned by the laboratory. (b) If licensees or other entities specify cutoff levels for drugs or drug metabolites that are more stringent than those specified in this part, the laboratory need only conduct the more stringent tests and shall report the results of the initial and confirmatory tests only for the more stringent cutoff levels. (c) The HHS-certified laboratory shall report as negative all specimens that are negative on the initial or confirmatory drug and validity tests. Specimens that test as positive, adulterated, substituted, dilute, or invalid on the confirmatory analysis must be reported to the MRO as positive for a specific drug(s) or drug metabolite(s), or as meeting the criteria for an adulterated, substituted, dilute, or invalid specimen. (1) The laboratory shall report all positive, adulterated, substituted, dilute, and invalid test results for each specimen to the MRO. For example, a specimen may be both adulterated and positive for one or more specific drugs. (2) For a specimen that has a positive test result, the laboratory shall provide numerical values if the MRO requests such information. The MRO's request for positive confirmatory test results may be either a general request covering all such results or a specific case-by-case request. The laboratory shall routinely provide quantitative values for confirmatory test results for morphine or codein… | |||
| 10:10:1.0.1.1.19.8.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.181 Purpose. | NRC | This subpart contains requirements for determining whether a donor has violated the FFD policy and for making a determination of fitness. | ||||
| 10:10:1.0.1.1.19.8.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.183 Medical review officer. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 83 FR 58464, Nov. 20, 2018; 87 FR 71462, Nov. 22, 2022] | (a) Qualifications. The MRO shall be knowledgeable of this part and of the FFD policies of the licensees and other entities for whom the MRO provides services. The MRO shall be a physician holding either a Doctor of Medicine or Doctor of Osteopathy degree who is licensed to practice medicine by any State or Territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico. The MRO shall have passed an examination administered by a nationally-recognized MRO certification board or subspecialty board for medical practitioners in the field of medical review of Federally mandated drug tests. (b) Relationships. The MRO may be an employee of the licensee or other entity or a contractor. However, the MRO may not be an employee or agent of, or have any financial interest in, an HHS-certified laboratory or a contracted operator of a licensee testing facility for whom the MRO reviews drug test results. Additionally, the MRO may not derive any financial benefit by having the licensee or other entity use a specific drug testing laboratory or licensee testing facility operating contractor and may not have any agreement with such parties that may be construed as a potential conflict of interest. Examples of relationships between laboratories and MROs that create conflicts of interest, or the appearance of such conflicts, include, but are not limited to— (1) The laboratory employs an MRO who reviews test results produced by the laboratory; (2) The laboratory has a contract or retainer with the MRO for the review of test results produced by the laboratory; (3) The laboratory designates which MRO the licensee or other entity is to use, gives the licensee or other entity a slate of MROs from which to choose, or recommends certain MROs; (4) The laboratory gives the licensee or other entity a discount or other incentive to use a particular MRO; (5) The laboratory has its place of business co-located with that of an MRO or MRO staff who review test results produced by the laboratory; or (6) The la… | |||
| 10:10:1.0.1.1.19.8.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.185 Determining a fitness-for-duty policy violation. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71462, Nov. 22, 2022] | (a) MRO review required. A positive, adulterated, substituted, dilute, or invalid drug test result does not automatically identify an individual as having used drugs in violation of the NRC's regulations, or the licensee's or other entity's FFD policy, or as having attempted to subvert the testing process. An individual who has a detailed knowledge of possible alternate medical explanations is essential to the review of the results. The MRO shall review all positive, adulterated, substituted, and invalid test results from the HHS-certified laboratory to determine whether the donor has violated the FFD policy before reporting the results to the licensee's or other entity's designated representative. (b) Reporting of initial test results prohibited. Neither the MRO nor MRO staff may report positive, adulterated, substituted, dilute, or invalid initial test results that are received from the HHS-certified laboratory to the licensee or other entity. (c) Discussion with the donor. Before determining that a positive, adulterated, substituted, dilute, or invalid test result or other occurrence is an FFD policy violation and reporting it to the licensee or other entity, the MRO shall give the donor an opportunity to discuss the test result or other occurrence with the MRO, except as described in paragraph (d) of this section. After this discussion, if the MRO determines that a positive, adulterated, substituted, dilute, or invalid test result or other occurrence is an FFD policy violation, the MRO shall immediately notify the licensee's or other entity's designated representative. (d) Donor unavailability. The MRO may determine that a positive, adulterated, substituted, dilute, or invalid test result or other occurrence is an FFD policy violation without having discussed the test result or other occurrence directly with the donor in the following three circumstances: (1) The MRO has made and documented contact with the donor and the donor expressly declined the opportunity to discuss the test result or other … | |||
| 10:10:1.0.1.1.19.8.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.187 Substance abuse expert. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 83 FR 58464, Nov. 20, 2018] | (a) Implementation. Any SAEs on whom licensees and other entities rely to make determinations of fitness under this part shall meet the requirements of this section. An MRO who meets the requirements of this section may serve as both an MRO and as an SAE. (b) Credentials. An SAE shall have at least one of the following credentials: (1) A licensed physician; (2) A licensed or certified social worker; (3) A licensed or certified psychologist; (4) A licensed or certified employee assistance professional; or (5) An alcohol and drug abuse counselor certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol and Other Drug Abuse. (c) Basic knowledge. An SAE shall be knowledgeable in the following areas: (1) Demonstrated knowledge of and clinical experience in the diagnosis and treatment of alcohol and controlled-substance abuse disorders; (2) Knowledge of the SAE function as it relates to the public's interests in the duties performed by the individuals who are subject to this subpart; and (3) Knowledge of this part and any changes thereto. (d) Qualification training. SAEs shall receive qualification training on the following subjects: (1) Background, rationale, and scope of this part; (2) Key drug testing requirements of this part, including specimen collection, laboratory testing, MRO review, and problems in drug testing; (3) Key alcohol testing requirements of this part, including specimen collection, the testing process, and problems in alcohol tests; (4) SAE qualifications and prohibitions; (5) The role of the SAE in making determinations of fitness and the return-to-duty process, including the initial evaluation, referrals for education and/or treatment, the followup evaluation, continuing treatment recommendations, and the followup testing plan; (6) Procedures for SAE consultation and communication with licensees or other entities, MROs, and treatment providers; (7) Reporting … | |||
| 10:10:1.0.1.1.19.8.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.189 Determination of fitness. | NRC | (a) A determination of fitness is the process entered when there are indications that an individual specified in § 26.4(a) through (e), and at the licensee's or other entity's discretion as specified in § 26.4(f) and (g), may be in violation of the licensee's or other entity's FFD policy or is otherwise unable to safely and competently perform his or her duties. A determination of fitness must be made by a licensed or certified professional who is appropriately qualified and has the necessary clinical expertise, as verified by the licensee or other entity, to evaluate the specific fitness issues presented by the individual. A professional called on by the licensee or other entity may not perform a determination of fitness regarding fitness issues that are outside of his or her specific areas of expertise. The types of professionals and the fitness issues for which they are qualified to make determinations of fitness include, but are not limited to, the following: (1) An SAE who meets the requirements of § 26.187 may determine the fitness of an individual who may have engaged in substance abuse and shall determine an individual's fitness to be granted authorization following an unfavorable termination or denial of authorization under this part, but may not be qualified to assess the fitness of an individual who may have experienced mental illness, significant emotional stress, or other mental or physical conditions that may cause impairment but are unrelated to substance abuse, unless the SAE has additional qualifications for addressing those fitness issues; (2) A clinical psychologist may determine the fitness of an individual who may have experienced mental illness, significant emotional stress, or cognitive or psychological impairment from causes unrelated to substance abuse, but may not be qualified to assess the fitness of an individual who may have a substance abuse disorder, unless the psychologist is also an SAE; (3) A psychiatrist may determine the fitness of an individual who is taking psychoactive me… | ||||
| 10:10:1.0.1.1.19.9.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.201 Applicability. | NRC | The requirements in this subpart apply to the licensees and other entities identified in § 26.3(a), and, if applicable, (c) and (d). The requirements in §§ 26.203 and 26.211 apply to the individuals identified in § 26.4 (a) through (c). In addition, the requirements in § 26.205 through § 26.209 apply to the individuals identified in § 26.4(a). | ||||
| 10:10:1.0.1.1.19.9.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.203 General provisions. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 76 FR 43548, July 21, 2011] | (a) Policy. Licensees shall establish a policy for the management of fatigue for all individuals who are subject to the licensee's FFD program and incorporate it into the written policy required in § 26.27(b). (b) Procedures. In addition to the procedures required in § 26.27(c), licensees shall develop, implement, and maintain procedures that— (1) Describe the process to be followed when any individual identified in § 26.4(a) through (c) makes a self-declaration that he or she is not fit to safely and competently perform his or her duties for any part of a working tour as a result of fatigue. The procedure must— (i) Describe the individual's and licensee's rights and responsibilities related to self-declaration; (ii) Describe requirements for establishing controls and conditions under which an individual may be permitted or required to perform work after that individual declares that he or she is not fit due to fatigue; and (iii) Describe the process to be followed if the individual disagrees with the results of a fatigue assessment that is required under § 26.211(a)(2); (2) Describe the process for implementing the controls required under § 26.205 for the individuals who are performing the duties listed in § 26.4(a); (3) Describe the process to be followed in conducting fatigue assessments under § 26.211; and (4) Describe the disciplinary actions that the licensee may impose on an individual following a fatigue assessment, and the conditions and considerations for taking those disciplinary actions. (c) Training and examinations. Licensees shall add the following KAs to the content of the training that is required in § 26.29(a) and the comprehensive examination required in § 26.29(b): (1) Knowledge of the contributors to worker fatigue, circadian variations in alertness and performance, indications and risk factors for common sleep disorders, shiftwork strategies for obtaining adequate rest, and the effective use of fatigue countermeasures; and (2) Ability to identify symptoms of worker fatigue a… | |||
| 10:10:1.0.1.1.19.9.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.205 Work hours. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 76 FR 43548, July 21, 2011] | (a) Individuals subject to work hour controls. Any individual who performs duties identified in § 26.4(a)(1) through (a)(5) shall be subject to the requirements of this section. (b) Calculating work hours. For the purposes of this section, a licensee shall calculate the work hours of individuals who are subject to this section as the amount of time the individuals perform duties for the licensee. Except as permitted by paragraphs (b)(1) through (b)(5) of this section, the calculated work hours must include all time performing duties for the licensee, including all within-shift break times and rest periods during which there are no reasonable opportunities or accommodations appropriate for restorative sleep. (1) Shift turnover. Licensees may exclude shift turnover from the calculation of an individual's work hours. Shift turnover includes only those activities that are necessary to safely transfer information and responsibilities between two or more individuals between shifts. Shift turnover activities may include, but are not limited to, discussions of the status of plant equipment, and the status of ongoing activities, such as extended tests of safety systems and components. Licensees may not exclude work hours worked during turnovers between individuals within a shift period due to rotations or relief within a shift. Activities that licensees may not exclude from work hours calculations also include, but are not limited to, shift holdovers to cover for late arrivals of incoming shift members; early arrivals of individuals for meetings, training, or pre-shift briefings for special evolutions; and holdovers for interviews needed for event investigations. (2) Within-shift break and rest periods. Licensees may exclude from the calculation of an individual's work hours only that portion of a break or rest period during which there is a reasonable opportunity and accommodations for restorative sleep (e.g., a nap). (3) Beginning or resuming duties subject to work hour controls. If an individual begins or resum… | |||
| 10:10:1.0.1.1.19.9.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.207 Waivers and exceptions. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 76 FR 43549, July 21, 2011] | (a) Waivers. Licensees may grant a waiver of one or more of the work hour controls in § 26.205(d)(1) through (d)(5)(i) and (d)(7), as follows: (1) To grant a waiver, the licensee shall meet both of the following requirements: (i) An operations shift manager determines that the waiver is necessary to mitigate or prevent a condition adverse to safety, or a security shift manager determines that the waiver is necessary to maintain site security, or a site senior-level manager with requisite signature authority makes either determination; and (ii) A supervisor assesses the individual face to face and determines that there is reasonable assurance that the individual will be able to safely and competently perform his or her duties during the additional work period for which the waiver will be granted. The supervisor performing the assessment shall be trained as required by §§ 26.29 and 26.203(c) and shall be qualified to direct the work to be performed by the individual. If there is no supervisor on site who is qualified to direct the work, the assessment may be performed by a supervisor who is qualified to provide oversight of the work to be performed by the individual. At a minimum, the assessment must address the potential for acute and cumulative fatigue considering the individual's work history for at least the past 14 days, the potential for circadian degradations in alertness and performance considering the time of day for which the waiver will be granted, the potential for fatigue-related degradations in alertness and performance to affect risk-significant functions, and whether any controls and conditions must be established under which the individual will be permitted to perform work. (2) To the extent practicable, licensees shall rely on the granting of waivers only to address circumstances that could not have been reasonably controlled; (3) Licensees shall ensure that the timing of the face-to-face supervisory assessment that is required by paragraph (a)(1)(ii) of this section supports a valid assess… | |||
| 10:10:1.0.1.1.19.9.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.209 Self-declarations. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 76 FR 43549, July 21, 2011] | (a) If an individual is performing, or being assessed for, work under a waiver of one or more of the requirements contained in § 26.205(d)(1) through (d)(5)(i) and (d)(7) and declares that, due to fatigue, he or she is unable to safely and competently perform his or her duties, the licensee shall immediately stop the individual from performing any duties listed in § 26.4(a), except if the individual is required to continue performing those duties under other requirements of this chapter. If the subject individual must continue performing the duties listed in § 26.4(a) until relieved, the licensee shall immediately take action to relieve the individual. (b) Following a self-declaration, as described in paragraph (a) of this section, the licensee— (1) May reassign the individual to duties other than those listed in § 26.4(a), but only if the results of a fatigue assessment, conducted under the requirements of § 26.211, indicate that the individual is fit to safely and competently perform those other duties; and (2) Shall permit or require the individual to take a break of at least 10 hours before the individual returns to performing any duties listed in § 26.4(a). | |||
| 10:10:1.0.1.1.19.9.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.211 Fatigue assessments. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 76 FR 43549, July 21, 2011] | (a) Licensees shall ensure that fatigue assessments are conducted under the following conditions: (1) For cause. In addition to any other test or determination of fitness that may be required under §§ 26.31(c) and 26.77, a fatigue assessment must be conducted in response to an observed condition of impaired individual alertness creating a reasonable suspicion that an individual is not fit to safely and competently perform his or her duties, except if the condition is observed during an individual's break period. If the observed condition is impaired alertness with no other behaviors or physical conditions creating a reasonable suspicion of possible substance abuse, then the licensee need only conduct a fatigue assessment. If the licensee has reason to believe that the observed condition is not due to fatigue, the licensee need not conduct a fatigue assessment; (2) Self-declaration. A fatigue assessment must be conducted in response to an individual's self-declaration to his or her supervisor that he or she is not fit to safely and competently perform his or her duties for any part of a working tour because of fatigue, except if, following the self-declaration, the licensee permits or requires the individual to take a rest break of at least 10 hours before the individual returns to duty; (3) Post-event. A fatigue assessment must be conducted in response to events requiring post-event drug and alcohol testing as specified in § 26.31(c). Licensees may not delay necessary medical treatment in order to conduct a fatigue assessment; and (4) Followup. If a fatigue assessment was conducted for cause or in response to a self-declaration, and the licensee returns the individual to duty following a break of less than 10 hours in duration, the licensee shall reassess the individual for fatigue as well as the need to implement controls and conditions before permitting the individual to resume performing any duties. (b) Only supervisors and FFD program personnel who are trained under §§ 26.29 and 26.203(c) may conduct a f… | |||
| 10:10:1.0.1.1.19.11.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.401 General. | NRC | (a) At the licensee's or other entity's discretion, a licensee or other entity in § 26.3(c) may establish, implement, and maintain an FFD program that meets the requirements of this subpart to apply to the individuals specified in § 26.4(f). If a licensee or other entity in § 26.3(c) does not elect to implement an FFD program that meets the requirements of this subpart, the individuals specified in § 26.4(f) shall be subject to an FFD program that meets the requirements of subparts A through H, N, and O of this part. (b) Entities who intend to implement an FFD program under this subpart shall submit a description of the FFD program and its implementation as part of the license, permit, or limited work authorization application. (c) Nothing in this subpart prohibits the licensees and other entities in § 26.3(c) from subjecting the individuals in § 26.4(f) to an FFD program that meets all of the requirements of this part or FFD program elements that meet all of the applicable requirements of this part. | ||||
| 10:10:1.0.1.1.19.11.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.403 Written policy and procedures. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 75 FR 73941, Nov. 30, 2010] | (a) Licensees and other entities who implement an FFD program under this subpart shall ensure that a clear, concise, written FFD policy statement is provided to individuals who are subject to the program. The policy statement must be written in sufficient detail to provide affected individuals with information on what is expected of them and what consequences may result from a lack of adherence to the policy. (b) Licensees and other entities shall develop, implement, and maintain written procedures that address the following topics: (1) The methods and techniques to be used in testing for drugs and alcohol, including procedures for protecting the privacy of an individual who provides a specimen, procedures for protecting the integrity of the specimen, and procedures used to ensure that the test results are valid and attributable to the correct individual; (2) The immediate and followup actions that will be taken, and the procedures to be used, in those cases in which individuals who are subject to the FFD program are determined to have— (i) Been involved in the use, sale, or possession of illegal drugs; (ii) Consumed alcohol to excess before or while constructing or directing the construction of safety- or security-related SSCs, as determined by a test that accurately measures BAC; (iii) Attempted to subvert the testing process by adulterating or diluting specimens (in vivo or in vitro), substituting specimens, or by any other means; (iv) Refused to provide a specimen for analysis; or (v) Had legal action taken relating to drug or alcohol use. (3) The process to be followed if an individual's behavior or condition raises a concern regarding the possible use, sale, or possession of illegal drugs on or off site; the possible use or possession of alcohol while constructing or directing the construction of safety- or security-related SSCs; or impairment from any cause which in any way could adversely affect the individual's ability to safely and competently perform his or her duties. | |||
| 10:10:1.0.1.1.19.11.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.405 Drug and alcohol testing. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 75 FR 73941, Nov. 30, 2010; 87 FR 71463, Nov. 22, 2022] | (a) To provide means to deter and detect substance abuse, licensees and other entities who implement an FFD program under this subpart shall perform drug and alcohol testing that complies with the requirements of this section. (b) If the licensee or other entity elects to impose random testing for drugs and alcohol on the individuals identified in § 26.4(f), random testing must— (1) Be administered in a manner that provides reasonable assurance that individuals are unable to predict the time periods during which specimens will be collected; (2) Require individuals who are selected for random testing to report to the collection site as soon as reasonably practicable after notification, within the time period specified in the FFD program policy; (3) Ensure that all individuals in the population that is subject to random testing on a given day have an equal probability of being selected and tested; and (4) Provide that an individual completing a test is immediately eligible for another random test. (c) Individuals identified in § 26.4(f) shall be subject to drug and alcohol testing under the following conditions: (1) Pre-assignment. Before assignment to construct or direct the construction of safety- or security-related SSCs; (2) For-cause. In response to an individual's observed behavior or physical condition indicating possible substance abuse or after receiving credible information that an individual is engaging in substance abuse, as defined in § 26.5; (3) Post-accident. As soon as practical after an event involving a human error that was committed by an individual specified in § 26.4(f), where the human error may have caused or contributed to the accident. The licensee or other entity shall test the individual(s) who committed the error(s), and need not test individuals who were affected by the event but whose actions likely did not cause or contribute to the event. The individual(s) who committed the human error(s) shall be tested if the event resulted in— (i) A significant illness or personal injury… | |||
| 10:10:1.0.1.1.19.11.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.406 Fitness monitoring. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 75 FR 73941, Nov. 30, 2010] | (a) The requirements in this section apply only if a licensee or other entity does not elect to subject the individuals specified in § 26.4(f) to random testing for drugs and alcohol under § 26.405(b). (b) Licensees and other entities shall implement a fitness monitoring program to deter substance abuse and detect indications of possible use, sale, or possession of illegal drugs; use or possession of alcohol while constructing or directing the construction of safety- or security-related SSCs; or impairment from any cause that if left unattended may result in a risk to public health and safety or the common defense and security. (c) Licensees and other entities shall establish procedures that monitors shall follow in response to the indications and actions specified in paragraph (b) of this section and train the monitors to implement the program. (d) Licensees and other entities shall ensure that the fitness of individuals specified in § 26.4(f) is monitored effectively while the individuals are constructing or directing the construction of safety- and security-related SSCs, commensurate with the potential risk to public health and safety and the common defense and security imposed by the construction activity. To achieve this objective, licensees and other entities shall consider the number and placement of monitors required, the necessary ratio of monitors to individuals specified in § 26.4(f), and the frequency with which the individuals specified in § 26.4(f) shall be monitored while constructing or directing the construction of each safety- or security-related SSC. | |||
| 10:10:1.0.1.1.19.11.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.407 Behavioral observation. | NRC | [75 FR 73941, Nov. 30, 2010] | While the individuals specified in § 26.4(f) are constructing or directing the construction of safety- or security-related SSCs, licensees and other entities shall ensure that these individuals are subject to behavioral observation, except if the licensee or other entity has implemented a fitness monitoring program under § 26.406. | |||
| 10:10:1.0.1.1.19.11.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.409 Sanctions. | NRC | [75 FR 73941, Nov. 30, 2010] | Licensees and other entities who implement an FFD program under this subpart shall establish sanctions for FFD policy violations that, at a minimum, prohibit the individuals specified in § 26.4(f) from being assigned to construct or direct the construction of safety- or security-related SSCs unless or until the licensee or other entity determines that the individual's condition or behavior does not pose a potential risk to public health and safety or the common defense and security. | |||
| 10:10:1.0.1.1.19.11.85.7 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.411 Protection of information. | NRC | (a) Licensees and other entities who collect personal information about an individual for the purpose of complying with this subpart shall establish and maintain a system of files and procedures to protect the personal information. FFD programs must maintain and use such records with the highest regard for individual privacy. (b) Licensees and other entities shall obtain a signed consent that authorizes the disclosure of the personal information collected and maintained under this subpart before disclosing the personal information, except for disclosures to the individuals and entities specified in § 26.37(b)(1) through (b)(6), (b)(8), and persons deciding matters under review in § 26.413. | ||||
| 10:10:1.0.1.1.19.11.85.8 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.413 Review process. | NRC | Licensees and other entities who implement an FFD program under this subpart shall establish and implement procedures for the review of a determination that an individual in § 26.4(f) has violated the FFD policy. The procedure must provide for an objective and impartial review of the facts related to the determination that the individual has violated the FFD policy. | ||||
| 10:10:1.0.1.1.19.11.85.9 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.415 Audits. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71463, Nov. 22, 2022] | (a) Licensees and other entities who implement an FFD program under this subpart shall ensure that audits are performed to assure the continuing effectiveness of the FFD program, including FFD program elements that are provided by C/Vs, and the FFD programs of C/Vs that are accepted by the licensee or other entity. (b) Each licensee and other entity shall ensure that these programs are audited at a frequency that assures their continuing effectiveness and that corrective actions are taken to resolve any problems identified. Licensees and entities may conduct joint audits, or accept audits of C/Vs conducted by others, so long as the audit addresses the relevant C/Vs' services. (c) Licensees and other entities need not audit HHS-certified laboratories or the specimen collection and alcohol testing services that meet the requirements of 49 CFR Part 40, “Procedures for Department of Transportation Workplace Drug and Alcohol Testing Programs”, on which licensees and other entities may rely to meet the drug and alcohol testing requirements of this subpart. | |||
| 10:10:1.0.1.1.19.11.85.10 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.417 Recordkeeping and reporting. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 88 FR 15880, Mar. 14, 2023] | (a) Licensees and other entities who implement FFD programs under this subpart shall ensure that records pertaining to the administration of the program, which may be stored and archived electronically, are maintained so that they are available for NRC inspection purposes and for any legal proceedings resulting from the administration of the program. (b) Licensees and other entities shall make the following reports: (1) Reports to the NRC Operations Center by telephone within 24 hours after the licensee or other entity discovers any intentional act that casts doubt on the integrity of the FFD program and any programmatic failure, degradation, or discovered vulnerability of the FFD program that may permit undetected drug or alcohol use or abuse by individuals who are subject to this subpart. These events must be reported under this subpart, rather than under the provisions of 10 CFR 73.1200; and (2) Annual program performance reports for the FFD program. | |||
| 10:10:1.0.1.1.19.11.85.11 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.419 Suitability and fitness evaluations. | NRC | Licensees and other entities who implement FFD programs under this subpart shall develop, implement, and maintain procedures for evaluating whether to assign individuals to construct safety- and security-related SSCs. These procedures must provide reasonable assurance that the individuals are fit to safely and competently perform their duties, and are trustworthy and reliable, as demonstrated by the avoidance of substance abuse. | ||||
| 10:10:1.0.1.1.19.13.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.709 Applicability. | NRC | The requirements of this subpart apply to the FFD programs of licensees and other entities specified in § 26.3, except for FFD programs that are implemented under subpart K of this part. | ||||
| 10:10:1.0.1.1.19.13.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.711 General provisions. | NRC | (a) Each licensee and other entity shall maintain records and submit certain reports to the NRC. Records that are required by the regulations in this part must be retained for the period specified by the appropriate regulation. If a retention period is not otherwise specified, these records must be retained until the Commission terminates the facility's license, certificate, or other regulatory approval. (b) All records may be stored and archived electronically, provided that the method used to create the electronic records meets the following criteria: (1) Provides an accurate representation of the original records; (2) Prevents the alteration of any archived information and/or data once it has been committed to storage; and (3) Permits easy retrieval and re-creation of the original records. (c) The licensees and other entities specified in § 26.3(a) and, as applicable, (c) and (d), shall inform each individual of his or her right to review information about the individual that is collected and maintained under this part to assure its accuracy. Licensees and other entities shall provide the individual with an opportunity to correct any inaccurate or incomplete information that is documented by licensees and other entities about the individual. (d) Licensees and other entities shall ensure that only correct and complete information about individuals is retained and shared with other licensees and entities. If, for any reason, the shared information used for determining an individual's eligibility for authorization under this part changes or new information is developed about the individual, licensees and other entities shall correct or augment the shared information contained in the records. If the changed or developed information has implications for adversely affecting an individual's eligibility for authorization, a licensee and other entity specified in § 26.3(a) and, as applicable, (c) and (d), who has discovered the incorrect information, or develops new information, shall inform the reviewing officia… | ||||
| 10:10:1.0.1.1.19.13.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.713 Recordkeeping requirements for licensees and other entities. | NRC | (a) Each licensee and other entity who is subject to this subpart shall retain the following records for at least 5 years after the licensee or other entity terminates or denies an individual's authorization or until the completion of all related legal proceedings, whichever is later: (1) Records of self-disclosures, employment histories, and suitable inquiries that are required under §§ 26.55, 26.57, 26.59, and 26.69 that result in the granting of authorization; (2) Records pertaining to the determination of a violation of the FFD policy and related management actions; (3) Documentation of the granting and termination of authorization; and (4) Records of any determinations of fitness conducted under § 26.189, including any recommendations for treatment and followup testing plans. (b) Each licensee and other entity who is subject to this subpart shall retain the following records for at least 3 years or until the completion of all related legal proceedings, whichever is later: (1) Records of FFD training and examinations conducted under § 26.29; and (2) Records of audits, audit findings, and corrective actions taken under § 26.41. (c) Licensees and other entities shall ensure the retention and availability of records pertaining to any 5-year denial of authorization under § 26.75(c), (d), or (e)(2) and any permanent denial of authorization under § 26.75(b) and (g) for at least 40 years or until, on application, the NRC determines that the records are no longer needed. (d) Licensees and other entities shall retain any superseded versions of the written FFD policy and procedures required under §§ 26.27, 26.39, and 26.203(b) for at least 5 years or until completion of all legal proceedings related to an FFD violation that may have occurred under the policy and procedures, whichever is later. (e) Licensees and other entities shall retain written agreements for the provision of services under this part for the life of the agreement or until completion of all legal proceedings related to an FFD policy violatio… | ||||
| 10:10:1.0.1.1.19.13.85.4 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.715 Recordkeeping requirements for collection sites, licensee testing facilities, and laboratories certified by the Department of Health and Human Services. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 87 FR 71463, Nov. 22, 2022] | (a) Collection sites providing services to licensees and other entities who are subject to this subpart, licensee testing facilities, and HHS-certified laboratories shall maintain and make available documentation of all aspects of the testing process for at least 2 years or until the completion of all legal proceedings related to a determination of an FFD violation, whichever is later. This 2-year period may be extended on written notification by the NRC or by any licensee or other entity for whom services are being provided. (b) Documentation that must be retained includes, but is not limited to, the following: (1) Personnel files, including training records, for all individuals who have been authorized to have access to specimens, but are no longer under contract to or employed by the collection site or licensee testing facility; (2) Chain of custody documents (other than forms recording specimens with negative test results and no FFD violations or anomalies, which may be destroyed after appropriate summary information has been recorded for program administration purposes); (3) Quality assurance and quality control records; (4) Superseded procedures; (5) All test data (including calibration curves and any calculations used in determining test results); (6) Test reports; (7) Records pertaining to performance testing; (8) Records pertaining to the investigation of testing errors or unsatisfactory performance discovered in quality control or blind performance testing, in the testing of actual specimens, or through the processing of appeals and MRO reviews, as well as any other errors or matters that could adversely reflect on the integrity of the testing process, investigation findings, and corrective actions taken, where applicable; (9) Performance records on certification inspections; (10) Records of preventative maintenance on licensee testing facility instruments; (11) Records that summarize any test results that the MRO determined to be scientifically insufficient for further action; (12) Either … | |||
| 10:10:1.0.1.1.19.13.85.5 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.717 Fitness-for-duty program performance data. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 79 FR 66603, Nov. 10, 2014; 87 FR 71463, Nov. 22, 2022] | (a) Licensees and other entities shall collect and compile FFD program performance data for each FFD program that is subject to this subpart. (b) The FFD program performance data must include the following information: (1) The random testing rate; (2) Drugs for which testing is conducted and cutoff levels, including results of tests using lower cutoff levels, tests for drugs not included in the HHS panel, and any special analyses of dilute specimens permitted under § 26.163(a)(2); (3) Populations tested ( i.e., licensee or other entity employees, C/Vs); (4) Number of tests administered and results of those tests sorted by population tested ( i.e., licensee or other entity employees, C/Vs); (5) Conditions under which the tests were performed, as defined in § 26.31(c); (6) Substances identified; (7) Number of subversion attempts by type; (8) Summary of management actions; and (9) The information required under § 26.203(e)(1) and (e)(2). (c) Licensees and other entities who have a licensee-approved FFD program shall analyze the data at least annually and take appropriate actions to correct any identified program weaknesses. Records of the data, analyses, and corrective actions taken must be retained for at least 3 years or until the completion of any related legal proceedings, whichever is later. (d) Any licensee or other entity who terminates an individual's authorization or takes administrative action on the basis of the results of a positive initial drug test for marijuana or cocaine shall also report these test results in the annual summary by processing stage ( i.e. , initial testing at the licensee testing facility, testing at the HHS-certified laboratory, and MRO determinations). The report must also include the number of terminations and administrative actions taken against individuals for the reporting period. (e) Licensees and other entities shall submit the FFD program performance data (for January through December) to the NRC annually, before March 1 of the following year. (f) Licensees a… | |||
| 10:10:1.0.1.1.19.13.85.6 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.719 Reporting requirements. | NRC | [73 FR 17176, Mar. 31, 2008, as amended at 75 FR 73942, Nov. 30, 2010; 88 FR 15880, Mar. 14, 2023] | (a) Required reports. Each licensee and entity who is subject to this subpart shall inform the NRC of significant violations of the FFD policy, significant FFD program failures, and errors in drug and alcohol testing. These events must be reported under this section, rather than under the provisions of 10 CFR 73.1200. (b) Significant FFD policy violations or programmatic failures. The following significant FFD policy violations and programmatic failures must be reported to the NRC Operations Center by telephone within 24 hours after the licensee or other entity discovers the violation: (1) The use, sale, distribution, possession, or presence of illegal drugs, or the consumption or presence of alcohol within a protected area; (2) Any acts by any person licensed under 10 CFR part 55 to operate a power reactor, as well as any acts by SSNM transporters, FFD program personnel, or any supervisory personnel who are authorized under this part, if such acts— (i) Involve the use, sale, or possession of a controlled substance; (ii) Result in a determination that the individual has violated the licensee's or other entity's FFD policy (including subversion as defined in § 26.5); or (iii) Involve the consumption of alcohol within a protected area or while performing the duties that require the individual to be subject to the FFD program; (3) Any intentional act that casts doubt on the integrity of the FFD program; and (4) Any programmatic failure, degradation, or discovered vulnerability of the FFD program that may permit undetected drug or alcohol use or abuse by individuals within a protected area, or by individuals who are assigned to perform duties that require them to be subject to the FFD program. (c) Drug and alcohol testing errors. (1) Within 30 days of completing an investigation of any testing errors or unsatisfactory performance discovered in performance testing at either a licensee testing facility or an HHS-certified laboratory, in the testing of quality control or actual specimens, or through the p… | |||
| 10:10:1.0.1.1.19.14.85.1 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.821 Inspections. | NRC | (a) Each licensee and other entity who is subject to this part shall permit duly authorized NRC representatives to inspect, copy, or take away copies of its records and to inspect its premises, activities, and personnel as may be necessary to accomplish the purposes of this part. (b) Written agreements between licensees or other entities and their C/Vs must clearly show that— (1) The licensee or other entity is responsible to the NRC for maintaining an effective FFD program under this part; and (2) Duly authorized NRC representatives may inspect, copy, or take away copies of any licensee's, other entity's, or C/V's documents, records, and reports related to implementation of the licensee's or other entity's FFD program under the scope of the contracted activities. | ||||
| 10:10:1.0.1.1.19.14.85.2 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.823 Violations. | NRC | (a) An injunction or other court order may be obtained to prohibit a violation of any provision of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974; or (3) Any regulation or order issued under these Acts. (b) A court order may be obtained for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act of 1954, for violations of— (1) Section 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Act; (2) Section 206 of the Energy Reorganization Act of 1974; (3) Any rule, regulation, or order issued under these sections; (4) Any term, condition, or limitation of any license issued under these sections; or (5) Any provisions for which a license may be revoked under section 186 of the Atomic Energy Act of 1954. | ||||
| 10:10:1.0.1.1.19.14.85.3 | 10 | Energy | 26 | PART 26—FITNESS FOR DUTY PROGRAMS | § 26.825 Criminal penalties. | NRC | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For the purposes of section 223, all of the regulations in Part 26 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in Part 26 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 26.1, 26.3, 26.5, 26.7, 26.8, 26.9, 26.11, 26.51, 26.81, 26.121, 26.151, 26.181, 26.201, 26.823, and 26.825. | ||||
| 10:10:1.0.1.1.20.0.85.1 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.1 Scope. | NRC | [63 FR 1895, Jan. 13, 1998] | This part prescribes rules applicable to all persons in the United States governing domestic licensing of byproduct material under the Atomic Energy Act of 1954, as amended (68 Stat. 919), and under title II of the Energy Reorganization Act of 1974 (88 Stat. 1242), and exemptions from the domestic licensing requirements permitted by Section 81 of the Act. This part also gives notice to all persons who knowingly provide to any licensee, applicant, certificate of registration holder, contractor, or subcontractor, components, equipment, materials, or other goods or services, that relate to a licensee's, applicant's or certificate of registration holder's activities subject to this part, that they may be individually subject to NRC enforcement action for violation of § 30.10. | |||
| 10:10:1.0.1.1.20.0.85.2 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.2 Resolution of conflict. | NRC | [30 FR 8185, June 26, 1965] | The requirements of this part are in addition to, and not in substitution for, other requirements of this chapter. In any conflict between the requirements in this part and a specific requirement in another part of the regulations in this chapter, the specific requirement governs. | |||
| 10:10:1.0.1.1.20.0.85.3 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.3 Activities requiring license. | NRC | [72 FR 55924, Oct. 1, 2007] | (a) Except as provided in paragraphs (b)(2), (b)(3), (c)(2), and (c)(3) of this section and for persons exempt as provided in this part and part 150 of this chapter, no person shall manufacture, produce, transfer, receive, acquire, own, possess, or use byproduct material except as authorized in a specific or general license issued in accordance with the regulations in this chapter. (b)(1) The requirements, including provisions that are specific to licensees, in this part and parts 19, 20, 21, and 71 of this chapter, as well as the additional requirements for specific broad scope, industrial radiography, irradiator, or well logging uses in 10 CFR parts 33, 34, 36, or 39, respectively, shall apply to Government agencies or Federally recognized Indian Tribes on November 30, 2007, when conducting activities under the authority provided by paragraphs (b)(2) and (b)(3) of this section. (2) A specifically licensed Government agency or Federally recognized Indian Tribe that possesses and uses accelerator-produced radioactive material or discrete sources of radium-226 for which a license amendment is required to authorize the activities in paragraph (a) of this section, may continue to use these materials for uses permitted under this part until the date of the NRC's final licensing determination, provided that the licensee submits an amendment application on or before June 2, 2008. (3) A Government agency or Federally recognized Indian Tribe that possesses and uses accelerator-produced radioactive material or discrete sources of radium-226 for which a specific license is required in paragraph (a) of this section, may continue to use such material for uses permitted under this part until the date of the NRC's final licensing determination provided that the agency or Indian Tribe submits an application for a license authorizing activities involving these materials on or before December 1, 2008. (c)(1) The requirements, including provisions that are specific to licensees in this part and parts 19, 20, 21, and 71 of this… | |||
| 10:10:1.0.1.1.20.0.85.4 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.4 Definitions. | NRC | [30 FR 8185, June 26, 1965] | Accelerator-produced radioactive material means any material made radioactive by a particle accelerator. Act means the Atomic Energy Act of 1954 (68 Stat. 919), including any amendments thereto; Agreement State means any state with which the Atomic Energy Commission or the Nuclear Regulatory Commission has entered into an effective agreement under subsection 274b. of the Act. Non-agreement State means any other State; Alert means events may occur, are in progress, or have occurred that could lead to a release of radioactive material but that the release is not expected to require a response by offsite response organizations to protect persons offsite. Byproduct material means— (1) Any radioactive material (except special nuclear material) yielded in, or made radioactive by, exposure to the radiation incident to the process of producing or using special nuclear material; (2)(i) Any discrete source of radium-226 that is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; or (ii) Any material that— (A) Has been made radioactive by use of a particle accelerator; and (B) Is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; and (3) Any discrete source of naturally occurring radioactive material, other than source material, that— (i) The Commission, in consultation with the Administrator of the Environmental Protection Agency, the Secretary of Energy, the Secretary of Homeland Security, and the head of any other appropriate Federal agency, determines would pose a threat similar to the threat posed by a discrete source of radium-226 to the public health and safety or the common defense and security; and (ii) Before, on, or after August 8, 2005, is extracted or converted after extraction for use in a commercial, medical, or research activity. Commencement of construction means taking any action defined as “construc… | |||
| 10:10:1.0.1.1.20.0.85.5 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.5 Interpretations. | NRC | [30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 90 FR 55628, Dec. 3, 2025] | Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part and parts 31 through 36 and 39 by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.20.0.85.6 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.6 Communications. | NRC | (a) Unless otherwise specified or covered under the regional licensing program as provided in paragraph (b) of this section, any communication or report concerning the regulations in parts 30 through 37 and 39 of this chapter and any application filed under these regulations may be submitted to the Commission as follows: (1) By mail addressed: ATTN: Document Control Desk, Director, Office of Nuclear Material Safety and Safeguards U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. (2) By hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland. (3) Where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. (b) The Commission has delegated to the four Regional Administrators licensing authority for selected parts of its decentralized licensing program for nuclear materials as described in paragraph (b)(1) of this section. Any communication, report, or application covered under this licensing program must be submitted to the appropriate Regional Administrator. The Administrators' jurisdictions and mailing addresses are listed in paragraph (b)(2) of this section. (1) The delegated licensing program includes authority to issue, renew, amend, cancel, modify, suspend, or revoke licenses for nuclear materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 to all persons for … | ||||
| 10:10:1.0.1.1.20.0.85.7 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.7 Employee protection. | NRC | [58 FR 52408, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 FR 6764, Feb. 22, 1996; 68 FR 58803, Oct. 10, 2003; 72 FR 63973, Nov. 14, 2007; 73 FR 30458, May 28, 2008; 79 FR 66603, Nov. 10, 2014; 83 FR 58465, Nov. 20, 2018] | (a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act. (1) The protected activities include but are not limited to: (i) Providing the Commission or his or her employer information about alleged violations of either of the statutes named in paragraph (a) introductory text of this section or possible violations of requirements imposed under either of those statutes; (ii) Refusing to engage in any practice made unlawful under either of the statutes named in paragraph (a) introductory text or under these requirements if the employee has identified the alleged illegality to the employer; (iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements; (iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the statutes named in paragraph (a) introductory text. (v) Assisting or participating in, or is about to assist or participate in, these activities. (2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation. (3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as a… | |||
| 10:10:1.0.1.1.20.0.85.8 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.8 Information collection requirements: OMB approval. | NRC | [49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994; 62 FR 52186, Oct. 6, 1997; 62 FR 63639, Dec. 2, 1997; 63 FR 29541, June 1, 1998; 67 FR 67099, Nov. 4, 2002; 73 FR 78604, Dec. 23, 2008; 77 FR 43689, July 25, 2012] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0017. (b) The approved information collection requirements contained in this part appear in §§ 30.9, 30.11, 30.15, 30.19, 30.20, 30.32, 30.34, 30.35, 30.36, 30.37, 30.38, 30.41, 30.50, 30.51, 30.55, and appendices A, C, D, and E to this part. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In §§ 30.32 and 30.37, NRC Form 313 is approved under control number 3150-0120. (2) In § 30.36, NRC Form 314 is approved under control number 3150-0028. (3) In § 30.34, DOC/NRC Forms AP-1, AP-A, and associated forms are approved under control number 0694-0135. | |||
| 10:10:1.0.1.1.20.0.85.9 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.9 Completeness and accuracy of information. | NRC | [52 FR 49371, Dec. 31, 1987] | (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. | |||
| 10:10:1.0.1.1.20.0.85.10 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.10 Deliberate misconduct. | NRC | [63 FR 1896, Jan. 13, 1998] | (a) Any licensee, certificate of registration holder, applicant for a license or certificate of registration, employee of a licensee, certificate of registration holder or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or certificate of registration holder or applicant for a license or certificate of registration, who knowingly provides to any licensee, applicant, certificate holder, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's, certificate holder's or applicant's activities in this part, may not: (1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee, certificate of registration holder, or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Commission; or (2) Deliberately submit to the NRC, a licensee, certificate of registration holder, an applicant, or a licensee's, certificate holder's or applicant's, contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC. (b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B. (c) For the purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows: (1) Would cause a licensee, certificate of registration holder or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license issued by the Commission; or (2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, certificate of registration holder, applicant, contractor, or subcontractor. | |||
| 10:10:1.0.1.1.20.0.86.11 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.11 Specific exemptions. | NRC | [37 FR 5746, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 FR 8784, Mar. 3, 1975; 43 FR 6921, Feb. 21, 1978; 45 FR 65530, Oct. 3, 1980; 46 FR 13979, Feb. 25, 1981; 47 FR 57480, Dec. 27, 1982; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 66 FR 51838, Oct. 11, 2001; 66 FR 55790, Nov. 2, 2001] | (a) The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part and parts 31 through 36 and 39 of this chapter as it determines are authorized by law and will not endanger life or property or the common defense and security and are otherwise in the public interest. (b) Any licensee's activities are exempt from the requirements of this part to the extent that its activities are licensed under the requirements of part 72 of this chapter. (c) The Department of Energy is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 60 or 63 of this chapter. (d) Except as specifically provided in part 61 of this chapter, any licensee is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 61 of this chapter. | |||
| 10:10:1.0.1.1.20.0.86.12 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.12 Persons using byproduct material under certain Department of Energy and Nuclear Regulatory Commission contracts. | NRC | [40 FR 8784, Mar. 3, 1975, as amended at 43 FR 6921, Feb. 17, 1978] | Except to the extent that Department facilities or activities of the types subject to licensing pursuant to section 202 of the Energy Reorganization Act of 1974 are involved, any prime contractor of the Department is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such contractor, under his prime contract with the Department manufactures, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material for: (a) The performance of work for the Department at a United States Government-owned or controlled site, including the transportation of byproduct material to or from such site and the performance of contract services during temporary interruptions of such transportation; (b) Research in, or development, manufacture, storage, testing or transportation of, atomic weapons or components thereof; or (c) The use or operation of nuclear reactors or other nuclear devices in a United States Government-owned vehicle or vessel. In addition to the foregoing exemptions and subject to the requirement for licensing of Department facilities and activities pursuant to section 202 of the Energy Reorganization Act of 1974, any prime contractor or subcontractor of the Department or the Commission is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such prime contractor or subcontractor manufacturers, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material under his prime contract or subcontract when the Commission determines that the exemption of the prime contractor or subcontractor is authorized by law; and that, under the terms of the contract or subcontract, there is adequate assurance that the work thereunder can be accomplished without undue risk to the public health and safety. | |||
| 10:10:1.0.1.1.20.0.86.13 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.13 Carriers. | NRC | [78 FR 17006, Mar. 19, 2013] | Common and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and parts 31 through 37 and 39 of this chapter and the requirements for a license set forth in section 81 of the Act to the extent that they transport or store byproduct material in the regular course of carriage for another or storage incident thereto. | |||
| 10:10:1.0.1.1.20.0.86.14 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.14 Exempt concentrations. | NRC | [30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 72 FR 58486, Oct. 16, 2007] | (a) Except as provided in paragraphs (c) and (d) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns or acquires products or materials containing byproduct material in concentrations not in excess of those listed in § 30.70. (b) This section shall not be deemed to authorize the import of byproduct material or products containing byproduct material. (c) A manufacturer, processor, or producer of a product or material is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31 through 36 and 39 of this chapter to the extent that this person transfers byproduct material contained in a product or material in concentrations not in excess of those specified in § 30.70 and introduced into the product or material by a licensee holding a specific license issued by the Commission expressly authorizing such introduction. This exemption does not apply to the transfer of byproduct material contained in any food, beverage, cosmetic, drug, or other commodity or product designed for ingestion or inhalation by, or application to, a human being. (d) No person may introduce byproduct material into a product or material knowing or having reason to believe that it will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued under § 32.11 of this chapter. | |||
| 10:10:1.0.1.1.20.0.86.15 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.15 Certain items containing byproduct material. | NRC | [31 FR 5316, Apr. 2, 1966] | (a) Except for persons who apply byproduct material to, or persons who incorporate byproduct material into, the following products, or persons who initially transfer for sale or distribution the following products containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires the following products: (1) Timepieces or hands or dials containing not more than the following specified quantities of byproduct material and not exceeding the following specified levels of radiation: (i) 25 millicuries of tritium per timepiece, (ii) 5 millicuries of tritium per hand, (iii) 15 millicuries of tritium per dial (bezels when used shall be considered as part of the dial), (iv) 100 microcuries of promethium 147 per watch or 200 microcuries of promethium 147 per any other timepiece, (v) 20 microcuries of promethium 147 per watch hand or 40 microcuries of promethium 147 per other timepiece hand, (vi) 60 microcuries of promethium 147 per watch dial or 120 microcuries of promethium 147 per other timepiece dial (bezels when used shall be considered as part of the dial), (vii) The levels of radiation from hands and dials containing promethium 147 will not exceed, when measured through 50 milligrams per square centimeter of absorber: (A) For wrist watches, 0.1 millirad per hour at 10 centimeters from any surface, (B) For pocket watches, 0.1 millirad per hour at 1 centimeter from any surface, (C) For any other timepiece, 0.2 millirad per hour at 10 centimeters from any surface. (viii) 0.037 megabecquerel (1 microcurie) of radium-226 per timepiece in intact timepieces manufactured prior to November 30, 2007. (2)(i) Static elimination devices which contain, as a sealed source or sources, byproduct material consisting of a total of not more than 18.5 MBq (500 µCi) of polonium-210 per device. (ii) Ion gener… | |||
| 10:10:1.0.1.1.20.0.86.16 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.18 Exempt quantities. | NRC | [35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 72 FR 55925, Oct. 1, 2007; 72 FR 58486, Oct. 16, 2007] | (a) Except as provided in paragraphs (c) through (e) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34, 36, and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material in individual quantities, each of which does not exceed the applicable quantity set forth in § 30.71, Schedule B. (b) Any person, who possesses byproduct material received or acquired before September 25, 1971, under the general license then provided in § 31.4 of this chapter or similar general license of a State, is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34, 36 and 39 of this chapter to the extent that this person possesses, uses, transfers, or owns byproduct material. (c) This section does not authorize for purposes of commercial distribution the production, packaging, repackaging, or transfer of byproduct material or the incorporation of byproduct material into products intended for commercial distribution. (d) No person may, for purposes of commercial distribution, transfer byproduct material in the individual quantities set forth in § 30.71 Schedule B, knowing or having reason to believe that such quantities of byproduct material will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued under § 32.18 of this chapter, which license states that the byproduct material may be transferred by the licensee to persons exempt under this section or the equivalent regulations of an Agreement State. (e) No person may, for purposes of producing an increased radiation level, combine quantities of byproduct material covered by this exemption so that the aggregate quantity exceeds the limits set forth in § 30.71, Schedule B, except for byproduct material combined within a device placed in use before May 3, 1999… | |||
| 10:10:1.0.1.1.20.0.86.17 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.19 Self-luminous products containing tritium, krypton-85, or promethium-147. | NRC | [34 FR 9026, June 6, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution self-luminous products containing tritium, krypton-85, or promethium-147, and except as provided in paragraph (c) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires tritium, krypton-85, or promethium-147 in self-luminous products manufactured, processed, produced, or initially transferred in accordance with a specific license issued pursuant to § 32.22 of this chapter, which license authorizes the initial transfer of the product for use under this section. (b) Any person who desires to manufacture, process, or produce, or initially transfer for sale or distribution self-luminous products containing tritium, krypton-85, or promethium-147 for use under paragraph (a) of this section, should apply for a license under § 32.22 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. (c) The exemption in paragraph (a) of this section does not apply to tritium, krypton-85, or promethium-147 used in products primarily for frivolous purposes or in toys or adornments. | |||
| 10:10:1.0.1.1.20.0.86.18 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.20 Gas and aerosol detectors containing byproduct material. | NRC | [77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution gas and aerosol detectors containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 19, 20, 21, and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material in gas and aerosol detectors designed to protect health, safety, or property, and manufactured, processed, produced, or initially transferred in accordance with a specific license issued under § 32.26 of this chapter, which license authorizes the initial transfer of the product for use under this section. This exemption also covers gas and aerosol detectors manufactured or distributed before November 30, 2007, in accordance with a specific license issued by a State under comparable provisions to § 32.26 of this chapter authorizing distribution to persons exempt from regulatory requirements. (b) Any person who desires to manufacture, process, or produce gas and aerosol detectors containing byproduct material, or to initially transfer such products for use under paragraph (a) of this section, should apply for a license under § 32.26 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. | |||
| 10:10:1.0.1.1.20.0.86.19 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.21 Radioactive drug: Capsules containing carbon-14 urea for “in vivo” diagnostic use for humans. | NRC | [62 FR 63640, Dec. 2, 1997] | (a) Except as provided in paragraphs (b) and (c) of this section, any person is exempt from the requirements for a license set forth in Section 81 of the Act and from the regulations in this part and part 35 of this chapter provided that such person receives, possesses, uses, transfers, owns, or acquires capsules containing 37 kBq (1 µCi) carbon-14 urea (allowing for nominal variation that may occur during the manufacturing process) each, for “in vivo” diagnostic use for humans. (b) Any person who desires to use the capsules for research involving human subjects shall apply for and receive a specific license pursuant to part 35 of this chapter. (c) Any person who desires to manufacture, prepare, process, produce, package, repackage, or transfer for commercial distribution such capsules shall apply for and receive a specific license pursuant to § 32.21 of this chapter. (d) Nothing in this section relieves persons from complying with applicable FDA, other Federal, and State requirements governing receipt, administration, and use of drugs. | |||
| 10:10:1.0.1.1.20.0.86.20 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.22 Certain industrial devices. | NRC | [77 FR 43689, July 25, 2012] | (a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution industrial devices containing byproduct material designed and manufactured for the purpose of detecting, measuring, gauging or controlling thickness, density, level, interface location, radiation, leakage, or qualitative or quantitative chemical composition, or for producing an ionized atmosphere, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 19, 20, 21, 30 through 36, and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material, in these certain detecting, measuring, gauging, or controlling devices and certain devices for producing an ionized atmosphere, and manufactured, processed, produced, or initially transferred in accordance with a specific license issued under § 32.30 of this chapter, which license authorizes the initial transfer of the device for use under this section. This exemption does not cover sources not incorporated into a device, such as calibration and reference sources. (b) Any person who desires to manufacture, process, produce, or initially transfer for sale or distribution industrial devices containing byproduct material for use under paragraph (a) of this section, should apply for a license under § 32.30 of this chapter and for a certificate of registration in accordance with § 32.210 of this chapter. | |||
| 10:10:1.0.1.1.20.0.87.21 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.31 Types of licenses. | NRC | [65 FR 79187, Dec. 18, 2000] | Licenses for byproduct material are of two types: General and specific. (a) The Commission issues a specific license to a named person who has filed an application for the license under the provisions of this part and parts 32 through 36, and 39. (b) A general license is provided by regulation, grants authority to a person for certain activities involving byproduct material, and is effective without the filing of an application with the Commission or the issuance of a licensing document to a particular person. However, registration with the Commission may be required by the particular general license. | |||
| 10:10:1.0.1.1.20.0.87.22 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.32 Application for specific licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 36 FR 145, Jan. 6, 1971; 37 FR 5747, Mar. 21, 1972; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 49 FR 27924, July 9, 1984; 52 FR 27786, July 24, 1987; 53 FR 24044, June 27, 1988; 54 FR 14060, Apr. 7, 1989; 68 FR 58004, Oct. 10, 2003; 72 FR 55925, Oct. 1, 2007; 73 FR 63570, Oct. 24, 2008; 77 FR 43689, July 25, 2012; 79 FR 58671, Sept. 30, 2014; 88 FR 80949, Nov. 21, 2023] | (a) A person may file an application on NRC Form 313, “Application for Material License,” in accordance with the instructions in § 30.6 of this chapter. Information contained in previous applications, statements or reports filed with the Commission or the Atomic Energy Commission may be incorporated by reference, provided that the reference is clear and specific. (b) The Commission may at any time after the filing of the original application, and before the expiration of the license, require further statements in order to enable the Commission to determine whether the application should be granted or denied or whether a license should be modified or revoked. (c) Each application shall be signed by the applicant or licensee or a person duly authorized to act for and on his behalf. (d) An application for license filed pursuant to the regulations in this part and parts 32 through 35 of this chapter will be considered also as an application for licenses authorizing other activities for which licenses are required by the Act, provided that the application specifies the additional activities for which licenses are requested and complies with regulations of the Commission as to applications for such licenses. (e) Each application for a byproduct material license, other than a license exempted from part 170 of this chapter, shall be accompanied by the fee prescribed in § 170.31 of this chapter. No fee will be required to accompany an application for renewal or amendment of a license, except as provided in § 170.31 of this chapter. (f) An application for a license to receive and possess byproduct material for the conduct of any activity which the Commission has determined pursuant to subpart A of part 51 of this chapter will significantly affect the quality of the environment shall be filed at least 9 months prior to commencement of construction of the plant or facility in which the activity will be conducted and shall be accompanied by any Environmental Report required pursuant to subpart A of part 51 of this chapte… | |||
| 10:10:1.0.1.1.20.0.87.23 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.33 General requirements for issuance of specific licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 36 FR 12731, July 7, 1971; 37 FR 5747, Mar. 21, 1972; 39 FR 26279, July 18, 1974; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 73 FR 5717, Jan. 31, 2008; 76 FR 56962, Sept. 15, 2011; 78 FR 17006, Mar. 19, 2013] | (a) An application for a specific license will be approved if: (1) The application is for a purpose authorized by the Act; (2) The applicant's proposed equipment and facilities are adequate to protect health and minimize danger to life or property; (3) The applicant is qualified by training and experience to use the material for the purpose requested in such manner as to protect health and minimize danger to life or property; (4) The applicant satisfies any special requirements contained in parts 32 through 37 and 39 of this chapter; and (5) In the case of an application for a license to receive and possess byproduct material for the conduct of any activity which the NRC determines will significantly affect the quality of the environment, the Director, Office of Nuclear Material Safety and Safeguards or his/her designee, before commencement of construction of the plant or facility in which the activity will be conducted, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical, and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to such conclusion shall be grounds for denial of a license to receive and possess byproduct material in such plant or facility. Commencement of construction as defined in § 30.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security. (b) Upon a determination that an application meets the requirements of the Act, and the regulations of the Commission, the Commission will issue a specific license authorizing the possession and use of byproduct material (Form NRC 374, “Byproduct Material License”). | |||
| 10:10:1.0.1.1.20.0.87.24 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.34 Terms and conditions of licenses. | NRC | [30 FR 8185, June 26, 1965, as amended at 38 FR 33969, Dec. 10, 1973; 43 FR 6922, Feb. 17, 1978; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 1987; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 53 FR 23383, June 22, 1988; 54 FR 14061, Apr. 7, 1989; 58 FR 7736, Feb. 9, 1993; 59 FR 61780, Dec. 2, 1994; 65 FR 79187, Dec. 18, 2000; 70 FR 2009, Jan. 12, 2005; 72 FR 55926, Oct. 1, 2007; 73 FR 63570, Oct. 24, 2008; 73 FR 78604, Dec. 23, 2008; 74 FR 7785, Feb. 20, 2009; 76 FR 35564, June 17, 2011; 77 FR 39905, July 6, 2012; 79 FR 58671, Sept. 30, 2014; 83 FR 33101, July 16, 2018] | (a) Each license issued pursuant to the regulations in this part and the regulations in parts 31 through 36 and 39 of this chapter shall be subject to all the provisions of the Act, now or hereafter in effect, and to all valid rules, regulations and orders of the Commission. (b)(1) No license issued or granted pursuant to the regulations in this part and parts 31 through 36, and 39 nor any right under a license shall be transferred, assigned or in any manner disposed of, either voluntarily or involuntarily, directly or indirectly, through transfer of control of any license to any person, unless the Commission shall, after securing full information, find that the transfer is in accordance with the provisions of the Act and shall give its consent in writing. (2) An application for transfer of license must include: (i) The identity, technical and financial qualifications of the proposed transferee; and (ii) Financial assurance for decommissioning information required by § 30.35. (c) Each person licensed by the Commission pursuant to the regulations in this part and parts 31 through 36 and 39 shall confine his possession and use of the byproduct material to the locations and purposes authorized in the license. Except as otherwise provided in the license, a license issued pursuant to the regulations in this part and parts 31 through 36 and 39 of this chapter shall carry with it the right to receive, acquire, own, and possess byproduct material. Preparation for shipment and transport of byproduct material shall be in accordance with the provisions of part 71 of this chapter. (d) Each license issued pursuant to the regulations in this part and parts 31 through 36 and 39 shall be deemed to contain the provisions set forth in section 183b.-d., inclusive, of the Act, whether or not these provisions are expressly set forth in the license. (e) The Commission may incorporate, in any license issued pursuant to the regulations in this part and parts 31 through 36 and 39, at the time of issuance, or thereafter by appropri… | |||
| 10:10:1.0.1.1.20.0.87.25 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.35 Financial assurance and recordkeeping for decommissioning. | NRC | [53 FR 24044, June 27, 1988, as amended at 56 FR 23471, May 21, 1991; 58 FR 39633, July 26, 1993; 58 FR 67659, Dec. 22, 1993; 58 FR 68730, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 38238, July 26, 1995; 61 FR 24673, May 16, 1996; 62 FR 39090, July 21, 1997; 63 FR 29541, June 1, 1998; 68 FR 57335, Oct. 3, 2003; 76 FR 35564, June 17, 2011] | (a)(1) Each applicant for a specific license authorizing the possession and use of unsealed byproduct material of half-life greater than 120 days and in quantities exceeding 10 5 times the applicable quantities set forth in appendix B to part 30 shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must also be submitted when a combination of isotopes is involved if R divided by 10 5 is greater than 1 (unity rule), where R is defined here as the sum of the ratios of the quantity of each isotope to the applicable value in appendix B to part 30. (2) Each holder of, or applicant for, any specific license authorizing the possession and use of sealed sources or plated foils of half-life greater than 120 days and in quantities exceeding 10 12 times the applicable quantities set forth in appendix B to part 30 (or when a combination of isotopes is involved if R, as defined in § 30.35(a)(1), divided by 10 12 is greater than 1), shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must be submitted to NRC by December 2, 2005. (b) Each applicant for a specific license authorizing possession and use of byproduct material of half-life greater than 120 days and in quantities specified in paragraph (d) of this section shall either— (1) Submit a decommissioning funding plan as described in paragraph (e) of this section; or (2) Submit a certification that financial assurance for decommissioning has been provided in the amount prescribed by paragraph (d) of this section using one of the methods described in paragraph (f) of this section. For an applicant, this certification may state that the appropriate assurance will be obtained after the application has been approved and the license issued but before the receipt of licensed material. If the applicant defers execution of the financial instrument until after the license has been issued, a signed original of the financial instrum… | |||
| 10:10:1.0.1.1.20.0.87.26 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.36 Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas. | NRC | [59 FR 36034, July 15, 1994, as amended at 60 FR 38238, July 26, 1995; 61 FR 1114, Jan. 16, 1996; 61 FR 24673, May 16, 1996; 61 FR 29637, June 12, 1996; 62 FR 39090, July 21, 1997; 73 FR 42673, July 23, 2008; 81 FR 86909, Dec. 2, 2016] | (a) Each specific license expires at the end of the day on the expiration date stated in the license, unless the licensee has filed an application for renewal under § 30.37 not less than 30 days before the expiration date stated in the existing license. If an application for renewal has been filed at least 30 days before the expiration date stated in the existing license, the existing license expires at the end of the day on which the Commission makes a final determination to deny the renewal application or, if the determination states an expiration date, the expiration date stated in the determination. (b) Each specific license revoked by the Commission expires at the end of the day on the date of the Commission's final determination to revoke the license, or on the expiration date stated in the determination, or as otherwise provided by Commission Order. (c) Each specific license continues in effect, beyond the expiration date if necessary, with respect to possession of byproduct material until the Commission notifies the licensee in writing that the license is terminated. During this time, the licensee shall— (1) Limit actions involving byproduct material to those related to decommissioning; and (2) Continue to control entry to restricted areas until they are suitable for release in accordance with NRC requirements. (d) Within 60 days of the occurrence of any of the following, consistent with the administrative directions in § 30.6, each licensee shall provide notification to the NRC in writing of such occurrence, and either begin decommissioning its site, or any separate building or outdoor area that contains residual radioactivity so that the building or outdoor area is suitable for release in accordance with NRC requirements, or submit within 12 months of notification a decommissioning plan, if required by paragraph (g)(1) of this section, and begin decommissioning upon approval of that plan if— (1) The license has expired pursuant to paragraph (a) or (b) of this section; or (2) The licensee has deci… | |||
| 10:10:1.0.1.1.20.0.87.27 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.37 Application for renewal of licenses. | NRC | [75 FR 73942, Nov. 30, 2010] | Application for renewal of a specific license must be filed on NRC Form 313 and in accordance with § 30.32. | |||
| 10:10:1.0.1.1.20.0.87.28 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.38 Application for amendment of licenses and registration certificates. | NRC | [77 FR 43690, July 25, 2012] | Applications for amendment of a license must be filed in accordance with § 30.32 and must specify the respects in which the licensee desires its license to be amended and the grounds for the amendment. Applications for amendment of sealed source and device registration certificates must be filed in accordance with § 32.210 of this chapter and any other applicable provisions and must specify the respects in which the certificate holder desires its certificate to be amended and the grounds for the amendment. | |||
| 10:10:1.0.1.1.20.0.87.29 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.39 Commission action on applications to renew or amend. | NRC | [77 FR 43690, July 25, 2012] | In considering an application to renew or amend a license or to amend a sealed source or device registration certificate, the Commission will apply the applicable criteria set forth in § 30.33 and parts 32 through 36 and 39 of this chapter. | |||
| 10:10:1.0.1.1.20.0.87.30 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.41 Transfer of byproduct material. | NRC | [38 FR 33969, Dec. 10, 1973, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6922, Feb. 17, 1978] | (a) No licensee shall transfer byproduct material except as authorized pursuant to this section. (b) Except as otherwise provided in his license and subject to the provisions of paragraphs (c) and (d) of this section, any licensee may transfer byproduct material: (1) To the Department; (2) To the agency in any Agreement State which regulates radioactive material pursuant to an agreement under section 274 of the Act; (3) To any person exempt from the licensing requirements of the Act and regulations in this part, to the extent permitted under such exemption; (4) To any person in an Agreement State, subject to the jurisdiction of that State, who has been exempted from the licensing requirements and regulations of that State, to the extent permitted under such exemption; (5) To any person authorized to receive such byproduct material under terms of a specific license or a general license or their equivalents issued by the Atomic Energy Commission, the Commission, or an Agreement State; (6) To a person abroad pursuant to an export license issued under part 110 of this chapter; or (7) As otherwise authorized by the Commission in writing. (c) Before transferring byproduct material to a specific licensee of the Commission or an Agreement State or to a general licensee who is required to register with the Commission or with an Agreement State prior to receipt of the byproduct material, the licensee transferring the material shall verify that the transferee's license authorizes the receipt of the type, form, and quantity of byproduct material to be transferred. (d) The following methods for the verification required by paragraph (c) of this section are acceptable: (1) The transferor may have in his possession, and read, a current copy of the transferee's specific license or registration certificate; (2) The transferor may have in his possession a written certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of byproduct material to … | |||
| 10:10:1.0.1.1.20.0.88.31 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.50 Reporting requirements. | NRC | [56 FR 40767, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 68 FR 58804, Oct. 10, 2003; 85 FR 65661, Oct. 16, 2020] | (a) Immediate report. Each licensee shall notify the NRC as soon as possible but not later than 4 hours after the discovery of an event that prevents immediate protective actions necessary to avoid exposures to radiation or radioactive materials that could exceed regulatory limits or releases of licensed material that could exceed regulatory limits (events may include fires, explosions, toxic gas releases, etc.). (b) Twenty-four hour report. Each licensee shall notify the NRC within 24 hours after the discovery of any of the following events involving licensed material: (1) An unplanned contamination event that: (i) Requires access to the contaminated area, by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the area; (ii) Involves a quantity of material greater than five times the lowest annual limit on intake specified in appendix B of §§ 20.1001-20.2401 of 10 CFR part 20 for the material; and (iii) Has access to the area restricted for a reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination. (2) An event in which equipment is disabled or fails to function as designed when: (i) The equipment is required by regulation or license condition to prevent releases exceeding regulatory limits, to prevent exposures to radiation and radioactive materials exceeding regulatory limits, or to mitigate the consequences of an accident; (ii) The equipment is required to be available and operable when it is disabled or fails to function; and (iii) No redundant equipment is available and operable to perform the required safety function. (3) An event that requires unplanned medical treatment at a medical facility of an individual with spreadable radioactive contamination on the individual's clothing or body. (4) An unplanned fire or explosion damaging any licensed material or any device, container, or equipment containing licensed material when: (i) The quantity of material … | |||
| 10:10:1.0.1.1.20.0.88.32 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.51 Records. | NRC | [41 FR 18301, May 5, 1976, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 58 FR 7736, Feb. 9, 1993; 61 FR 24673, May 16, 1996] | (a) Each person who receives byproduct material pursuant to a license issued pursuant to the regulations in this part and parts 31 through 36 of this chapter shall keep records showing the receipt, transfer, and disposal of the byproduct material as follows: (1) The licensee shall retain each record of receipt of byproduct material as long as the material is possessed and for three years following transfer or disposal of the material. (2) The licensee who transferred the material shall retain each record of transfer for three years after each transfer unless a specific requirement in another part of the regulations in this chapter dictates otherwise. (3) The licensee who disposed of the material shall retain each record of disposal of byproduct material until the Commission terminates each license that authorizes disposal of the material. (b) The licensee shall retain each record that is required by the regulations in this part and parts 31 through 36 of this chapter or by license condition for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the record must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement. (c)(1) Records which must be maintained pursuant to this part and parts 31 through 36 of this chapter may be the original or a reproduced copy or microform if such reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against t… | |||
| 10:10:1.0.1.1.20.0.88.33 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.52 Inspections. | NRC | [30 FR 8185, June 26, 1965] | (a) Each licensee shall afford to the Commission at all reasonable times opportunity to inspect byproduct material and the premises and facilities wherein byproduct material is used or stored. (b) Each licensee shall make available to the Commission for inspection, upon reasonable notice, records kept by him pursuant to the regulations in this chapter. | |||
| 10:10:1.0.1.1.20.0.88.34 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.53 Tests. | NRC | [30 FR 8185, June 26, 1965, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993] | Each licensee shall perform, or permit the Commission to perform, such tests as the Commission deems appropriate or necessary for the administration of the regulations in this part and parts 31 through 36 and 39 of this chapter, including tests of: (a) Byproduct material; (b) Facilities wherein byproduct material is utilized or stored; (c) Radiation detection and monitoring instruments; and (d) Other equipment and devices used in connection with the utilization or storage of byproduct material. | |||
| 10:10:1.0.1.1.20.0.88.35 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.55 Tritium reports. | NRC | [37 FR 9208, May 6, 1972, as amended at 38 FR 1271, Jan. 11, 1973; 38 FR 2330, Jan. 24, 1973; 41 FR 16446, Apr. 19, 1976; 43 FR 6922, Feb. 17, 1978; 46 FR 55085, Nov. 6, 1981; 49 FR 24707, June 15, 1984; 52 FR 31611, Aug. 21, 1987; 68 FR 58804, Oct. 10, 2003; 73 FR 5718, Jan. 31, 2008] | (a)-(b) [Reserved] (c) Except as specified in paragraph (d) of this section, each licensee who is authorized to possess tritium shall report promptly to the appropriate NRC Regional Office listed in appendix D of part 20 of this chapter by telephone and telegraph, mailgram, or facsimile any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 10 curies of such material at any one time or more than 100 curies of such material in any one calendar year. The initial report shall be followed within a period of fifteen (15) days by a written report submitted to the appropriate NRC Regional Office which sets forth the details of the incident and its consequences. Copies of such written report shall be sent to the Director, Office of Nuclear Material Safety and Safeguards , using an appropriate method listed in § 30.6(a). Subsequent to the submission of the written report required by this paragraph, the licensee shall promptly inform the Office of Nuclear Material Safety and Safeguards by means of a written report of any substantive additional information, which becomes available to the licensee, concerning an attempted or apparent theft or unlawful diversion of tritium. (d) The reports described in this section are not required for tritium possessed pursuant to a general license provided in part 31 of this chapter or for tritium contained in spent fuel. | |||
| 10:10:1.0.1.1.20.0.89.36 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.61 Modification and revocation of licenses and registration certificates. | NRC | [77 FR 43690, July 25, 2012] | (a) The terms and conditions of each license and registration certificate issued under the regulations in this part and parts 31 through 36 and 39 of this chapter shall be subject to amendment, revision, or modification by reason of amendments to the Act, or by reason of rules, regulations, and orders issued in accordance with the terms of the Act. (b) Any license or registration certificate may be revoked, suspended, or modified, in whole or in part, for any material false statement in the application or in any statement of fact required under section 182 of the Act, or because of conditions revealed by such application or statement of fact or any report, record, or inspection or other means that would warrant the Commission to refuse to grant a license or registration certificate on an original application, or for violation of, or failure to observe any of the terms and provisions of the Act or of any rule, regulation, or order of the Commission. (c) Except in cases of willfulness or those in which the public health, interest, or safety requires otherwise, no license or registration certificate shall be modified, suspended, or revoked unless, before the institution of proceedings therefor, facts or conduct that may warrant such action shall have been called to the attention of the licensee or certificate holder in writing and the licensee or certificate holder shall have been given an opportunity to demonstrate or achieve compliance with all lawful requirements. | |||
| 10:10:1.0.1.1.20.0.89.37 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.62 Right to cause the withholding or recall of byproduct material. | NRC | [30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975] | The Commission may cause the withholding or recall of byproduct material from any licensee who is not equipped to observe or fails to observe such safety standards to protect health as may be established by the Commission, or who uses such materials in violation of law or regulation of the Commission, or in a manner other than as disclosed in the application therefor or approved by the Commission. | |||
| 10:10:1.0.1.1.20.0.89.38 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.63 Violations. | NRC | [57 FR 55072, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | |||
| 10:10:1.0.1.1.20.0.89.39 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.64 Criminal penalties. | NRC | [57 FR 55072, Nov. 24, 1992, as amended at 73 FR 42673, July 23, 2008] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 30 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 30 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 30.1, 30.2, 30.4, 30.5, 30.6, 30.8, 30.11, 30.12, 30.13, 30.15, 30.31, 30.32, 30.33, 30.37, 30.38, 30.39, 30.61, 30.62, 30.63, 30.64, 30.70, 30.71, and 30.72. | |||
| 10:10:1.0.1.1.20.0.90.40 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.70 Schedule A—Exempt concentrations. | NRC | [30 FR 8185, June 26, 1965, as amended at 35 FR 3982, Mar. 3, 1970; 38 FR 29314, Oct. 24, 1973; 59 FR 5520, Feb. 7, 1994] | [See footnotes at end of this table] Footnotes to Schedule A: 1 Values are given only for those materials normally used as gases. 2 µCi/gm for solids. Note 1: Many radioisotopes disintegrate into isotopes which are also radioactive. In expressing the concentrations in Schedule A, the activity stated is that of the parent isotope and takes into account the daughters. Note 2: For purposes of § 30.14 where there is involved a combination of isotopes, the limit for the combination should be derived as follows: Determine for each isotope in the product the ratio between the concentration present in the product and the exempt concentration established in Schedule A for the specific isotope when not in combination. The sum of such ratios may not exceed “1” ( i.e. , unity). Example: | |||
| 10:10:1.0.1.1.20.0.90.41 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.71 Schedule B. | NRC | [35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 59 FR 5519, Feb. 7, 1994; 72 FR 55926, Oct. 1, 2007] | ||||
| 10:10:1.0.1.1.20.0.90.42 | 10 | Energy | 30 | PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL | § 30.72 Schedule C—Quantities of radioactive materials requiring consideration of the need for an emergency plan for responding to a release. | NRC | [54 FR 14061, Apr. 7, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 72 FR 55926, Oct. 1, 2007] | 1 For combinations of radioactive materials, consideration of the need for an emergency plan is required if the sum of the ratios of the quantity of each radioactive material authorized to the quantity listed for that material in Schedule C exceeds one. 2 Waste packaged in Type B containers does not require an emergency plan. | |||
| 10:10:1.0.1.1.21.0.91.1 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.1 Purpose and scope. | NRC | [65 FR 79187, Dec. 18, 2000] | This part establishes general licenses for the possession and use of byproduct material and a general license for ownership of byproduct material. Specific provisions of 10 CFR Part 30 are applicable to general licenses established by this part. These provisions are specified in § 31.2 or in the particular general license. | |||
| 10:10:1.0.1.1.21.0.91.2 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.2 Terms and conditions. | NRC | [65 FR 79187, Dec. 18, 2000] | The general licenses provided in this part are subject to the general provisions of Part 30 of this chapter (§§ 30.1 through 30.10), the provisions of §§ 30.14(d), 30.34(a) to (e), 30.41, 30.50 to 30.53, 30.61 to 30.63, and Parts 19, 20, and 21, of this chapter 1 unless indicated otherwise in the specific provision of the general license. 1 Attention is directed particularly to the provisions of Part 20 of this chapter concerning labeling of containers. | |||
| 10:10:1.0.1.1.21.0.91.3 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.3 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.21.0.91.4 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.4 Information collection requirements: OMB approval. | NRC | [62 FR 52186, Oct. 6, 1997, as amended at 67 FR 67099, Nov. 4, 2002; 72 FR 55926, Oct. 1, 2007] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0016. (b) The approved information collection requirements contained in this part appear in §§ 31.5, 31.8, 31.11, and 31.12. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In § 31.11. NRC Form 483 is approved under control number 3150-0038. (2) [Reserved] | |||
| 10:10:1.0.1.1.21.0.91.5 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.5 Certain detecting, measuring, gauging, or controlling devices and certain devices for producing light or an ionized atmosphere. | NRC | [39 FR 43532, Dec. 16, 1974, as amended at 40 FR 8785, Mar. 3, 1975; 40 FR 14085, Mar. 28, 1975; 42 FR 25721, May 19, 1977; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 1978; 53 FR 19246, May 27, 1988; 56 FR 23471, May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, Dec. 22, 1993; 64 FR 42275, Aug. 4, 1999; 65 FR 79188, Dec. 18, 2000; 68 FR 58804, Oct. 10, 2003; 72 FR 55926, Oct. 1, 2007; 72 FR 58486, Oct. 16, 2007; 73 FR 5718, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | 2 Persons possessing byproduct material in devices under a general license in § 31.5 before January 15, 1975, may continue to possess, use, or transfer that material in accordance with the labeling requirements of § 31.5 in effect on January 14, 1975. (a) A general license is hereby issued to commercial and industrial firms and research, educational and medical institutions, individuals in the conduct of their business, and Federal, State or local government agencies to acquire, receive, possess, use or transfer, in accordance with the provisions of paragraphs (b), (c) and (d) of this section, byproduct material contained in devices designed and manufactured for the purpose of detecting, measuring, gauging or controlling thickness, density, level, interface location, radiation, leakage, or qualitative or quantitative chemical composition, or for producing light or an ionized atmosphere. (b)(1) The general license in paragraph (a) of this section applies only to byproduct material contained in devices which have been manufactured or initially transferred and labeled in accordance with the specifications contained in— (i) A specific license issued under § 32.51 of this chapter; or (ii) An equivalent specific license issued by an Agreement State; or (iii) An equivalent specific license issued by a State with provisions comparable to § 32.51 of this chapter. (2) The devices must have been received from one of the specific licensees described in paragraph (b)(1) of this section or through a transfer made under paragraph (c)(9) of this section. (c) Any person who acquires, receives, possesses, uses or transfers byproduct material in a device pursuant to the general license in paragraph (a) of this section: (1) Shall assure that all labels affixed to the device at the time of receipt and bearing a statement that removal of the label is prohibited are maintained thereon and shall comply with all instructions and precautions provided by such labels; (2) Shall assure that the device is tested for leakage of radio… | |||
| 10:10:1.0.1.1.21.0.91.6 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.6 General license to install devices generally licensed in § 31.5. | NRC | [30 FR 8189, June 26, 1965, as amended at 30 FR 10947, Aug. 24, 1965; 39 FR 43533, Dec. 16, 1974; 46 FR 44151, Sept. 3, 1981] | Any person who holds a specific license issued by an Agreement State authorizing the holder to manufacture, install, or service a device described in § 31.5 within such Agreement State is hereby granted a general license to install and service such device in any non-Agreement State and a general license to install and service such device in offshore waters, as defined in § 150.3(f) of this chapter: Provided, That: (a) [Reserved] (b) The device has been manufactured, labeled, installed, and serviced in accordance with applicable provisions of the specific license issued to such person by the Agreement State. (c) Such person assures that any labels required to be affixed to the device under regulations of the Agreement State which licensed manufacture of the device bear a statement that removal of the label is prohibited. | |||
| 10:10:1.0.1.1.21.0.91.7 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.7 Luminous safety devices for use in aircraft. | NRC | [30 FR 8189, June 26, 1965, as amended at 33 FR 6463, Apr. 27, 1968; 38 FR 22220, Aug. 17, 1973; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 1978; 56 FR 23471, May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, Dec. 22, 1993] | (a) A general license is hereby issued to own, receive, acquire, possess, and use tritium or promethium-147 contained in luminous safety devices for use in aircraft, provided each device contains not more than 10 curies of tritium or 300 millicuries of promethium-147 and that each device has been manufactured, assembled or initially transferred in accordance with a license issued under the provisions of § 32.53 of this chapter or manufactured or assembled in accordance with a specific license issued by an Agreement State which authorizes manufacture or assembly of the device for distribution to persons generally licensed by the Agreement State. (b) Persons who own, receive, acquire, possess or use luminous safety devices pursuant to the general license in this section are exempt from the requirements of parts 19, 20, and 21, of this chapter, except that they shall comply with the provisions of §§ 20.2201, and 20.2202 of this chapter. (c) This general license does not authorize the manufacture, assembly, repair or import of luminous safety devices containing tritium or promethium-147. (d) This general license does not authorize the export of luminous safety devices containing tritium or promethium-147. (e) This general license does not authorize the ownership, receipt, acquisition, possession or use of promethium-147 contained in instrument dials. | |||
| 10:10:1.0.1.1.21.0.91.8 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.8 Americium-241 and radium-226 in the form of calibration or reference sources. | NRC | [72 FR 55927, Oct. 1, 2007] | (a) A general license is issued to those persons listed in this section to own, receive, acquire, possess, use, and transfer, in accordance with the provisions of paragraphs (b) and (c) of this section, americium-241 or radium-226 in the form of calibration or reference sources: (1) Any person in a non-Agreement State who holds a specific license issued under this chapter which authorizes receipt, possession, use, and transfer of byproduct material, source material, or special nuclear material; and (2) Any Government agency, as defined in § 30.4 of this chapter, which holds a specific license issued under this chapter which authorizes it to receive, possess, use, and transfer byproduct material, source material, or special nuclear material. (b) The general license in paragraph (a) of this section applies only to calibration or reference sources which have been manufactured or initially transferred in accordance with the specifications contained in a specific license issued under § 32.57 of this chapter or in accordance with the specifications contained in a specific license issued to the manufacturer by an Agreement State which authorizes manufacture of the sources for distribution to persons generally licensed by the Agreement State, or in accordance with a specific license issued by a State with comparable provisions to § 32.57. (c) The general license in paragraph (a) of this section is subject to the provisions of §§ 30.14(d), 30.34 (a) to (e), and 30.50 to 30.63 of this chapter, and to the provisions of parts 19, 20, and 21, of this chapter. In addition, persons who own, receive, acquire, possess, use, and transfer one or more calibration or reference sources under this general license: (1) Shall not possess at any one time, at any one location of storage or use, more than 0.185 megabecquerel (5 microcuries) of americium-241 or 0.185 megabecquerel (5 microcuries) of radium-226 in such sources; (2) Shall not receive, possess, use, or transfer a source unless the source, or the storage container, bears a… | |||
| 10:10:1.0.1.1.21.0.91.9 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.9 General license to own byproduct material. | NRC | [30 FR 8189, June 26, 1965] | A general license is hereby issued to own byproduct material without regard to quantity. Notwithstanding any other provision of this chapter, a general licensee under this paragraph is not authorized to manufacture, produce, transfer, receive, possess, use, import or export byproduct material, except as authorized in a specific license. | |||
| 10:10:1.0.1.1.21.0.91.10 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.10 General license for strontium 90 in ice detection devices. | NRC | [30 FR 9905, Aug. 10, 1965, as amended at 38 FR 22220, Aug. 17, 1973; 40 FR 8785, Mar. 3, 1975; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 1978; 56 FR 23471, May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, Dec. 22, 1993] | (a) A general license is hereby issued to own, receive, acquire, possess, use, and transfer strontium 90 contained in ice detection devices, provided each device contains not more than fifty microcuries of strontium 90 and each device has been manufactured or initially transferred in accordance with the specifications contained in a license issued pursuant to § 32.61 of this chapter or in accordance with the specifications contained in a specific license issued to the manufacturer by an Agreement State which authorizes manufacture of the ice detection devices for distribution to persons generally licensed by the Agreement State. (b) Persons who own, receive, acquire, possess, use, or transfer strontium 90 contained in ice detection devices pursuant to the general license in paragraph (a) of this section: (1) Shall, upon occurrence of visually observable damage, such as a bend or crack or discoloration from overheating, to the device, discontinue use of the device until it has been inspected, tested for leakage and repaired by a person holding a specific license pursuant to part 30 or 32 of this chapter or from an Agreement State to manufacture or service such devices; or shall dispose of the device pursuant to the provisions of § 20.2001. (2) Shall assure that all labels affixed to the device at the time of receipt, and which bear a statement which prohibits removal of the labels, are maintained thereon; (3) Are exempt from the requirements of parts 19, 20, and 21, of this chapter except that such persons shall comply with the provisions of §§ 20.2001, 20.2201, and 20.2202 of this chapter. (c) The general license does not authorize the manufacture, assembly, disassembly, repair, or import of strontium 90 in ice detection devices. | |||
| 10:10:1.0.1.1.21.0.91.11 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.11 General license for use of byproduct material for certain in vitro clinical or laboratory testing. | NRC | [33 FR 16553, Nov. 14, 1968] | (a) A general license is hereby issued to any physician, veterinarian in the practice of veterinary medicine, clinical laboratory or hospital to receive, acquire, possess, transfer, or use, for any of the following stated tests, in accordance with the provisions of paragraphs (b), (c), (d), (e), and (f) of this section, the following byproduct materials in prepackaged units: (1) Iodine-125, in units not exceeding 10 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings or animals. (2) Iodine-131, in units not exceeding 10 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings or animals. (3) Carbon-14, in units not exceeding 10 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings or animals. (4) Hydrogen-3 (tritium), in units not exceeding 50 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings or animals. (5) Iron-59, in units not exceeding 20 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings, or animals. (6) Selenium-75, in units not exceeding 10 microcuries each for use in in vitro clinical or laboratory tests not involving internal or external administration of byproduct material, or the radiation therefrom, to human beings or animals. (7) Mock Iodine-125 reference or calibration sources, in units not exceeding 0.05 microcurie of iodine-129 and 0.005 microcurie of americium-241 each for use in in vitro clinical or laboratory tests not involving internal or external… | |||
| 10:10:1.0.1.1.21.0.91.12 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.12 General license for certain items and self-luminous products containing radium-226. | NRC | [72 FR 55927, Oct. 1, 2007] | (a) A general license is hereby issued to any person to acquire, receive, possess, use, or transfer, in accordance with the provisions of paragraphs (b), (c), and (d) of this section, radium-226 contained in the following products manufactured prior to November 30, 2007. (1) Antiquities originally intended for use by the general public. For the purposes of this paragraph, antiquities mean products originally intended for use by the general public and distributed in the late 19th and early 20th centuries, such as radium emanator jars, revigators, radium water jars, radon generators, refrigerator cards, radium bath salts, and healing pads. (2) Intact timepieces containing greater than 0.037 megabecquerel (1 microcurie), nonintact timepieces, and timepiece hands and dials no longer installed in timepieces. (3) Luminous items installed in air, marine, or land vehicles. (4) All other luminous products, provided that no more than 100 items are used or stored at the same location at any one time. (5) Small radium sources containing no more than 0.037 megabecquerel (1 microcurie) of radium-226. For the purposes of this paragraph, “small radium sources” means discrete survey instrument check sources, sources contained in radiation measuring instruments, sources used in educational demonstrations (such as cloud chambers and spinthariscopes), electron tubes, lightning rods, ionization sources, static eliminators, or as designated by the NRC. (b) Persons who acquire, receive, possess, use, or transfer byproduct material under the general license issued in paragraph (a) of this section are exempt from the provisions of 10 CFR parts 19, 20, and 21, and § 30.50 and 30.51 of this chapter, to the extent that the receipt, possession, use, or transfer of byproduct material is within the terms of the general license; provided, however, that this exemption shall not be deemed to apply to any such person specifically licensed under this chapter. (c) Any person who acquires, receives, possesses, uses, or transfers byproduct mate… | |||
| 10:10:1.0.1.1.21.0.91.13 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | §§ 31.13-31.20 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.21.0.91.14 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.21 Maintenance of records. | NRC | [53 FR 19246, May 27, 1988. Redesignated at 72 FR 55927, Oct. 1, 2007, as amended at 90 FR 55628, Dec. 3, 2025] | Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as letters, stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.21.0.91.15 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.22 Violations. | NRC | [57 FR 55072, Nov. 24, 1992. Redesignated at 72 FR 55927, Oct. 1, 2007] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | |||
| 10:10:1.0.1.1.21.0.91.16 | 10 | Energy | 31 | PART 31—GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL | § 31.23 Criminal penalties. | NRC | [57 FR 55073, Nov. 24, 1992. Redesignated at 72 FR 55927, Oct. 1, 2007, and amended at 77 FR 43690, July 25, 2012] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 31 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 31 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 31.1, 31.2, 31.4, 31.9, 31.22, and 31.23. | |||
| 10:10:1.0.1.1.22.0.91.1 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.1 Purpose and scope. | NRC | [30 FR 8192, June 26, 1965, as amended at 52 FR 27786, July 24, 1987; 63 FR 1896, Jan. 13, 1998; 72 FR 55928, Oct. 1, 2007; 77 FR 43690, July 25, 2012; 78 FR 17006, Mar. 19, 2013; 80 FR 74979, Dec. 1, 2015] | (a)(1) This part prescribes requirements for the issuance of specific licenses to persons who manufacture or initially transfer items containing byproduct material for sale or distribution to: (i) Persons exempted from the licensing requirements of part 30 of this chapter, or equivalent regulations of an Agreement State, or (ii) Persons generally licensed under part 31 of this chapter or equivalent regulations of an Agreement State. (iii) Persons licensed under part 35 of this chapter. (2) This part prescribes requirements for the issuance of specific licenses to persons who introduce byproduct material into a product or material owned by or in the possession of a licensee or another, and regulations governing holders of such licenses. (3) This part prescribes certain requirements governing holders of licenses to manufacture or distribute items containing byproduct material. (4) This part describes procedures and prescribes requirements for the issuance of certificates of registration (covering radiation safety information about a product) to manufacturers or initial transferors of sealed sources or devices containing sealed sources. (b) The provisions and requirements of this part are in addition to, and not in substitution for, other requirements of this chapter. In particular, the provisions of part 30 of this chapter apply to applications, licenses and certificates of registration subject to this part, and the provisions of part 37 of this chapter apply to applications and licenses subject to this part. (c)(1) The requirements in this part, including provisions that are specific to licensees, shall apply to Government agencies and Federally recognized Indian Tribes with respect to accelerator-produced radioactive material or discrete sources of radium-226 on November 30, 2007 except that the agency or Tribe may continue to manufacture or initially transfer items containing accelerator-produced radioactive material or discrete sources of radium-226 for sale or distribution to persons exempted from the … | |||
| 10:10:1.0.1.1.22.0.91.2 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.2 Definitions. | NRC | [34 FR 6653, Apr. 18, 1969, as amended at 39 FR 22129, June 20, 1974; 71 FR 65708, Nov. 8, 2006; 77 FR 43690, July 25, 2012] | As used in this part: Committed dose for the purposes of this part means the radiation dose that will accumulate over time as a result of retention in the body of radioactive material. Committed dose is a generic term for internal dose and must be calculated by summing the projected dose over the 50 years after intake for all irradiated organs or tissues multiplying the doses to individual organs and tissues by applicable tissue weighting factors. Dose commitment means the total radiation dose to a part of the body that will result from retention in the body of radioactive material. For purposes of estimating the dose commitment, it is assumed that from the time of intake the period of exposure to retained material will not exceed 50 years. Lot Tolerance Percent Defective means, expressed in percent defective, the poorest quality in an individual inspection lot that should be accepted. Nationally tracked source is a sealed source containing a quantity equal to or greater than Category 1 or Category 2 levels of any radioactive material listed in Appendix E to part 20 of this Chapter. In this context a sealed source is defined as radioactive material that is sealed in a capsule or closely bonded, in a solid form and which is not exempt from regulatory control. It does not mean material encapsulated solely for disposal, or nuclear material contained in any fuel assembly, subassembly, fuel rod, or fuel pellet. Category 1 nationally tracked sources are those containing radioactive material at a quantity equal to or greater than the Category 1 threshold. Category 2 nationally tracked sources are those containing radioactive material at a quantity equal to or greater than the Category 2 threshold but less than the Category 1 threshold. Sealed Source and Device Registry means the national registry that contains all the registration certificates, generated by both the NRC and the Agreement States, that summarize the radiation safety information for the sealed sources and devices and describe the licensing and us… | |||
| 10:10:1.0.1.1.22.0.91.3 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.3 Maintenance of records. | NRC | [53 FR 19246, May 27, 1988, as amended at 90 FR 55629, Dec. 3, 2025] | Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy of a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly. | |||
| 10:10:1.0.1.1.22.0.91.4 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.8 Information collection requirements: OMB approval. | NRC | [49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994; 62 FR 52186, Oct. 6, 1997; 62 FR 63640, Dec. 2, 1997; 71 FR 65708, Nov. 8, 2006; 72 FR 58486, Oct. 16, 2007; 77 FR 43691, July 25, 2012] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0001. (b) The approved information collection requirements contained in this part appear in §§ 32.11, 32.12, 32.14, 32.15, 32.16, 32.18, 32.19, 32.20, 32.21, 32.21a, 32.22, 32.23, 32.25, 32.26, 32.27, 32.29, 32.30, 32.31, 32.32, 32.51, 32.51a, 32.52, 32.53, 32.54, 32.55, 32.56, 32.57, 32.58, 32.61, 32.62, 32.71, 32.72, 32.74, 32.201, 32.210, and 32.211. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In § 32.11, NRC Form 313 is approved under control number 3150-0120. (2) [Reserved] | |||
| 10:10:1.0.1.1.22.1.91.1 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.11 Introduction of byproduct material in exempt concentrations into products or materials, and transfer of ownership or possession: Requirements for license. | NRC | [30 FR 8192, June 26, 1965, as amended at 49 FR 19625, May 9, 1984; 72 FR 58487, Oct. 16, 2007] | An application for a specific license on Form NRC-313 authorizing the introduction of byproduct material into a product or material owned by or in the possession of the licensee or another and the transfer of ownership or possession of the product or material containing the byproduct material will be approved if the applicant: (a) Satisfies the general requirements specified in § 30.33 of this chapter; provided, however, that the requirements of § 30.33(a)(2) and (3) do not apply to an application for a license to introduce byproduct material into a product or material owned by or in the possession of the licensee or another and the transfer of ownership or possession of the product or material containing the byproduct material, if the possession and use of the byproduct material to be introduced is authorized by a license issued by an Agreement State; (b) Provides a description of the product or material into which the byproduct material will be introduced, intended use of the byproduct material and the product or material into which it is introduced, method of introduction, initial concentration of the byproduct material in the product or material, control methods to assure that no more than the specified concentration is introduced into the product or material, estimated time interval between introduction and transfer of the product or material, and estimated concentration of the radioisotopes in the product or material at the time of transfer; and (c) Provides reasonable assurance that the concentrations of byproduct material at the time of transfer will not exceed the concentrations in § 30.70 of this chapter, that reconcentration of the byproduct material in concentrations exceeding those in § 30.70 is not likely, that use of lower concentrations is not feasible, and that the product or material is not likely to be incorporated in any food, beverage, cosmetic, drug or other commodity or product designed for ingestion or inhalation by, or application to, a human being. | |||
| 10:10:1.0.1.1.22.1.91.2 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.12 Same: Records and material transfer reports. | NRC | [72 FR 58487, Oct. 16, 2007, as amended at 73 FR 5719, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | (a) Each person licensed under § 32.11 shall maintain records of transfer of byproduct material and file a report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Document Control Desk/Exempt Distribution. (1) The report must clearly identify the specific licensee submitting the report and include the license number of the specific licensee. (2) The report must indicate that the byproduct material is transferred for use under § 30.14 of this chapter or equivalent regulations of an Agreement State. (b) The report must identify the: (1) Type and quantity of each product or material into which byproduct material has been introduced during the reporting period; (2) Name and address of the person who owned or possessed the product or material, into which byproduct material has been introduced, at the time of introduction; (3) The type and quantity of radionuclide introduced into each product or material; and (4) The initial concentrations of the radionuclide in the product or material at time of transfer of the byproduct material by the licensee. (c)(1) The licensee shall file the report, covering the preceding calendar year, on or before January 31 of each year. In its first report after December 17, 2007, the licensee shall separately include data for transfers in prior years not previously reported to the Commission or to an Agreement State. (2) Licensees who permanently discontinue activities authorized by the license issued under § 32.11 shall file a report for the current calendar year within 30 days after ceasing distribution. (d) If no transfers of byproduct material have been made under § 32.11 during the reporting period, the report must so indicate. (e) The licensee shall maintain the record of a transfer for one year after the transfer is included in a report to the Commission. | |||
| 10:10:1.0.1.1.22.1.91.3 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.13 Same: Prohibition of introduction. | NRC | [72 FR 58487, Oct. 16, 2007] | No person may introduce byproduct material into a product or material knowing or having reason to believe that it will be transferred to persons exempt under § 30.14 of this chapter or equivalent regulations of an Agreement State, except in accordance with a license issued under § 32.11. | |||
| 10:10:1.0.1.1.22.1.91.4 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.14 Certain items containing byproduct material; requirements for license to apply or initially transfer. | NRC | [31 FR 5316, Apr. 2, 1966, as amended at 34 FR 6652, Apr. 18, 1969; 43 FR 6922, Feb. 17, 1978; 63 FR 32971, June 17, 1998; 72 FR 58487, Oct. 16, 2007; 77 FR 43691, July 25, 2012] | An application for a specific license to apply byproduct material to, or to incorporate byproduct material into, the products specified in § 30.15 of this chapter or to initially transfer for sale or distribution such products containing byproduct material for use pursuant to § 30.15 of this chapter will be approved if: (a) The applicant satisfies the general requirements specified in § 30.33 of this chapter; (b) The applicant submits sufficient information regarding the product pertinent to evaluation of the potential radiation exposure, including: (1) Chemical and physical form and maximum quantity of byproduct material in each product; (2) Details of construction and design of each product; (3) The method of containment or binding of the byproduct material in the product; (4) Except for electron tubes and ionization chamber smoke detectors and timepieces containing promethium-147 or tritium in the form of gaseous tritium light sources, procedures for and results of prototype testing to demonstrate that the byproduct material will not become detached from the product and that the byproduct material will not be released to the environment under the most severe conditions likely to be encountered in normal use of the product; (5) In the case of ionizing radiation measuring instruments and timepieces containing tritium in the form of paint, quality control procedures to be followed in the fabrication of production lots of the product and the quality control standards the product will be required to meet; (6) The proposed method of labeling or marking each unit, except timepieces or hands or dials containing tritium or promethium-147, and its container with the identification of the manufacturer or initial transferor of the product and the byproduct material in the product; (7) For products for which limits on levels of radiation are specified in § 30.15 of this chapter, the radiation level and the method of measurement; (8) Any additional information, including experimental studies and tests, required by… | |||
| 10:10:1.0.1.1.22.1.91.5 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.15 Same: Quality assurance, prohibition of transfer, and labeling. | NRC | [31 FR 5317, Apr. 2, 1966, as amended at 34 FR 6652, Apr. 18, 1969; 39 FR 22129, June 20, 1974; 43 FR 6922, Feb. 17, 1978; 72 FR 58487, Oct. 16, 2007; 73 FR 42673, July 23, 2008; 77 FR 43691, July 25, 2012; 86 FR 43402, Aug. 9, 2021] | (a) Each person licensed under § 32.14 for products for which quality control procedures are required shall: (1) Maintain quality assurance systems in the manufacture of the part or product, or the installation of the part into the product, in a manner sufficient to provide reasonable assurance that the safety-related components of the distributed products are capable of performing their intended functions; (2) Subject inspection lots to acceptance sampling procedures, by procedures specified in the license issued under § 32.14, to provide at least 95 percent confidence that the Lot Tolerance Percent Defective of 5.0 percent will not be exceeded; and (3) Visually inspect each unit in inspection lots. Any unit which has an observable physical defect that could adversely affect containment of the byproduct material must be considered a defective unit. (b) No person licensed under § 32.14 shall transfer to other persons for use under § 30.15 of this chapter or equivalent regulations of an Agreement State: (1) Any part or product tested and found defective under the criteria and procedures specified in the license issued under § 32.14, unless the defective part or product has been repaired or reworked, retested, and found by an independent inspector to meet the applicable acceptance criteria; or (2) Any part or product contained within any lot that has been sampled and rejected as a result of the procedures in paragraph (a)(2) of this section, unless: (i) A procedure for defining sub-lot size, independence, and additional testing procedures is contained in the license issued under § 32.14; and (ii) Each individual sub-lot is sampled, tested, and accepted in accordance with the procedures specified in paragraphs (a)(2) and (b)(2)(i) of this section and any other criteria that may be required as a condition of the license issued under § 32.14. (c) [Reserved] (d) Each person licensed under § 32.14 for products for which quality control procedures are required shall: (1) Label or mark each unit, except timepie… | |||
| 10:10:1.0.1.1.22.1.91.6 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.16 Certain items containing byproduct material: Records and reports of transfer. | NRC | [72 FR 58487, Oct. 16, 2007, as amended at 73 FR 5719, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | (a) Each person licensed under § 32.14 shall maintain records of all transfers of byproduct material and file a report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Document Control Desk/Exempt Distribution. (1) The report must clearly identify the specific licensee submitting the report and include the license number of the specific licensee. (2) The report must indicate that the products are transferred for use under § 30.15 of this chapter, giving the specific paragraph designation, or equivalent regulations of an Agreement State. (b) The report must include the following information on products transferred to other persons for use under § 30.15 or equivalent regulations of an Agreement State: (1) A description or identification of the type of each product and the model number(s), if applicable; (2) For each radionuclide in each type of product and each model number, if applicable, the total quantity of the radionuclide; and (3) The number of units of each type of product transferred during the reporting period by model number, if applicable. (c)(1) The licensee shall file the report, covering the preceding calendar year, on or before January 31 of each year. In its first report after December 17, 2007, the licensee shall separately include data for transfers in prior years not previously reported to the Commission. (2) Licensees who permanently discontinue activities authorized by the license issued under § 32.14 shall file a report for the current calendar year within 30 days after ceasing distribution. (d) If no transfers of byproduct material have been made under § 32.14 during the reporting period, the report must so indicate. (e) The licensee shall maintain the record of a transfer for one year after the transfer is included in a report to the Commission. | |||
| 10:10:1.0.1.1.22.1.91.7 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.18 Manufacture, distribution and transfer of exempt quantities of byproduct material: Requirements for license. | NRC | [35 FR 6428, Apr. 22, 1970, as amended at 43 FR 6922, Feb. 17, 1978] | An application for a specific license to manufacture, process, produce, package, repackage, or transfer quantities of byproduct material for commercial distribution to persons exempt pursuant to § 30.18 of this chapter or the equivalent regulations of an Agreement State will be approved if: (a) The applicant satisfies the general requirements specified in § 30.33 of this chapter: Provided, however, That the requirements of § 30.33(a) (2) and (3) of this chapter do not apply to an application for a license to transfer byproduct material manufactured, processed, produced, packaged, or repackaged pursuant to a license issued by an Agreement State; (b) The byproduct material is not contained in any food, beverage, cosmetic, drug, or other commodity designed for ingestion or inhalation by, or application to, a human being; (c) The byproduct material is in the form of processed chemical elements, compounds, or mixtures, tissue samples, bioassay samples, counting standards, plated or encapsulated sources, or similar substances, identified as radioactive and to be used for its radioactive properties, but is not incorporated into any manufactured or assembled commodity, product, or device intended for commercial distribution; and (d) The applicant submits copies of prototype labels and brochures and the Commission approves such labels and brochures. | |||
| 10:10:1.0.1.1.22.1.91.8 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.19 Same: Conditions of licenses. | NRC | [35 FR 6428, Apr. 22, 1970] | Each license issued under § 32.18 is subject to the following conditions: (a) No more than 10 exempt quantities set forth in § 30.71, Schedule B of this chapter shall be sold or transferred in any single transaction. For purposes of this requirement, an individual exempt quantity may be composed of fractional parts of one or more of the exempt quantities in § 30.71, Schedule B of this chapter, provided that the sum of such fractions shall not exceed unity. (b) Each quantity of byproduct material set forth in § 30.71, Schedule B of this chapter shall be separately and individually packaged. No more than 10 such packaged exempt quantities shall be contained in any outer package for transfer to persons exempt pursuant to § 30.18 of this chapter. The outer package shall be such that the dose rate at the external surface of the package does not exceed 0.5 millirem per hour. (c) The immediate container of each quantity or separately packaged fractional quantity of byproduct material shall bear a durable, legible label which (1) identifies the radioisotope and the quantity of radioactivity, and (2) bears the words “Radioactive Material.” (d) In addition to the labeling information required by paragraph (c) of this section, the label affixed to the immediate container, or an accompanying brochure, shall also (1) state that the contents are exempt from NRC or Agreement State licensing requirements; (2) bear the words “Radioactive Material—Not for Human Use—Introduction Into Foods, Beverages, Cosmetics, Drugs, or Medicinals, or Into Products Manufactured for Commercial Distribution is Prohibited—Exempt Quantities Should Not be Combined”; and (3) set forth appropriate additional radiation safety precautions and instructions relating to the handling, use, storage, and disposal of the radioactive material. | |||
| 10:10:1.0.1.1.22.1.91.9 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.20 Same: Records and material transfer reports. | NRC | [72 FR 58488, Oct. 16, 2007, as amended at 73 FR 5719, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | (a) Each person licensed under § 32.18 shall maintain records of transfer of material identifying, by name and address, each person to whom byproduct material is transferred for use under § 30.18 of this chapter or the equivalent regulations of an Agreement State and stating the kinds, quantities, and physical form of byproduct material transferred. (b) The licensee shall file a summary report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Document Control Desk/Exempt Distribution. (1) The report must clearly identify the specific licensee submitting the report and include the license number of the specific licensee. (2) The report must indicate that the materials are transferred for use under § 30.18 or equivalent regulations of an Agreement State. (c) For each radionuclide in each physical form, the report shall indicate the total quantity of each radionuclide and the physical form, transferred under the specific license. (d)(1) The licensee shall file the report, covering the preceding calendar year, on or before January 31 of each year. In its first report after December 17, 2007, the licensee shall separately include the total quantity of each radionuclide transferred for transfers in prior years not previously reported to the Commission. (2) Licensees who permanently discontinue activities authorized by the license issued under § 32.18 shall file a report for the current calendar year within 30 days after ceasing distribution. (e) If no transfers of byproduct material have been made under § 32.18 during the reporting period, the report must so indicate. (f) The licensee shall maintain the record of a transfer for one year after the transfer is included in a summary report to the Commission. | |||
| 10:10:1.0.1.1.22.1.91.10 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.21 Radioactive drug: Manufacture, preparation, or transfer for commercial distribution of capsules containing carbon-14 urea each for “in vivo” diagnostic use for humans to persons exempt from licensing; Requirements for a license. | NRC | [62 FR 63640, Dec. 2, 1997, as amended at 66 FR 64738, Dec. 14, 2001] | (a) An application for a specific license to manufacture, prepare, process, produce, package, repackage, or transfer for commercial distribution capsules containing 37 kBq (1 µCi) carbon-14 urea (allowing for nominal variation that may occur during the manufacturing process) each for “in vivo” diagnostic use, to persons exempt from licensing under § 30.21 of this chapter or the equivalent regulations of an Agreement State will be approved if: (1) The applicant satisfies the general requirements specified in § 30.33 of this chapter, provided that the requirements of § 30.33(a) (2) and (3) of this chapter do not apply to an application for a license to transfer byproduct material manufactured, prepared, processed, produced, packaged, or repackaged pursuant to a license issued by an Agreement State; (2) The applicant meets the requirements under § 32.72(a)(2) of this part; (3) The applicant provides evidence that each capsule contains 37 kBq (1 µCi) carbon-14 urea (allowing for nominal variation that may occur during the manufacturing process); (4) The carbon-14 urea is not contained in any food, beverage, cosmetic, drug (except as described in this section) or other commodity designed for ingestion or inhalation by, or topical application to, a human being; (5) The carbon-14 urea is in the form of a capsule, identified as radioactive, and to be used for its radioactive properties, but is not incorporated into any manufactured or assembled commodity, product, or device intended for commercial distribution; and (6) The applicant submits copies of prototype labels and brochures and the NRC approves these labels and brochures. (b) Nothing in this section relieves the licensee from complying with applicable FDA, other Federal, and State requirements governing drugs. | |||
| 10:10:1.0.1.1.22.1.91.11 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.21a Same: Conditions of license. | NRC | [62 FR 63640, Dec. 2, 1997] | Each license issued under § 32.21 of this part is subject to the following conditions: (a) The immediate container of the capsule(s) must bear a durable, legible label which: (1) Identifies the radioisotope, the physical and chemical form, the quantity of radioactivity of each capsule at a specific date; and (2) Bears the words “Radioactive Material.” (b) In addition to the labeling information required by paragraph (a) of this section, the label affixed to the immediate container, or an accompanying brochure also must: (1) State that the contents are exempt from NRC or Agreement State licensing requirements; and (2) Bears the words “Radioactive Material. For “In Vivo” Diagnostic Use Only. This Material Is Not To Be Used for Research Involving Human Subjects and Must Not Be Introduced into Foods, Beverages, Cosmetics, or Other Drugs or Medicinals, or into Products Manufactured for Commercial Distribution. This Material May Be Disposed of in Ordinary Trash.” | |||
| 10:10:1.0.1.1.22.1.91.12 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.22 Self-luminous products containing tritium, krypton-85 or promethium-147: Requirements for license to manufacture, process, produce, or initially transfer. | NRC | [34 FR 9026, June 6, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 77 FR 43691, July 25, 2012] | (a) An application for a specific license to manufacture, process, or produce self-luminous products containing tritium, krypton-85, or promethium-147, or to initially transfer such products for use pursuant to § 30.19 of this chapter or equivalent regulations of an Agreement State, will be approved if: (1) The applicant satisfies the general requirements specified in § 30.33 of this chapter: Provided, however, That the requirements of § 30.33(a) (2) and (3) do not apply to an application for a license to transfer tritium, krypton-85, or promethium-147 in self-luminous products manufactured, processed, or produced pursuant to a license issued by an Agreement State. (2) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control procedures, labeling or marking, and conditions of handling, storage, use, and disposal of the self-luminous product to demonstrate that the product will meet the safety criteria set forth in § 32.23. The information should include: (i) A description of the product and its intended use or uses. (ii) The type and quantity of byproduct material in each unit. (iii) Chemical and physical form of the byproduct material in the product and changes in chemical and physical form that may occur during the useful life of the product. (iv) Solubility in water and body fluids of the forms of the byproduct material identified in paragraphs (a)(2) (iii) and (xii) of this section. (v) Details of construction and design of the product as related to containment and shielding of the byproduct material and other safety features under normal and severe conditions of handling, storage, use, and disposal of the product. (vi) Maximum external radiation levels at 5 and 25 centimeters from any external surface of the product, averaged over an area not to exceed 10 square centimeters, and the method of measurement. (vii) Degree of access of human beings to the product during normal handling and use. (viii) Total quantity of byproduct material expec… | |||
| 10:10:1.0.1.1.22.1.91.13 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.23 Same: Safety criteria. | NRC | [34 FR 9027, June 6, 1969] | An applicant for a license under § 32.22 shall demonstrate that the product is designed and will be manufactured so that: (a) In normal use and disposal of a single exempt unit, it is unlikely that the external radiation dose in any one year, or the dose commitment resulting from the intake of radioactive material in any one year, to a suitable sample of the group of individuals expected to be most highly exposed to radiation or radioactive material from the product will exceed the dose to the appropriate organ as specified in Column I of the table in § 32.24 of this part. (b) In normal handling and storage of the quantities of exempt units likely to accumulate in one location during marketing, distribution, installation, and servicing of the product, it is unlikely that the external radiation dose in any one year, or the dose commitment resulting from the intake of radioactive material in any one year, to a suitable sample of the group of individuals expected to be most highly exposed to radiation or radioactive material from the product will exceed the dose to the appropriate organ as specified in Column II of the table in § 32.24. (c) It is unlikely that there will be a significant reduction in the effectiveness of the containment, shielding, or other safety features of the product from wear and abuse likely to occur in normal handling and use of the product during its useful life. (d) 1 In use and disposal of a single exempt unit, or in handling and storage of the quantities of exempt units likely to accumulate in one location during marketing, distribution, installation, and servicing of the product, the probability is low that the containment, shielding, or other safety features of the product would fail under such circumstances that a person would receive an external radiation dose or dose commitment in excess of the dose to the appropriate organ as specified in Column III of the table in § 32.24, and the probability is negligible that a person would receive an external radiation dose or dose com… | |||
| 10:10:1.0.1.1.22.1.91.14 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.24 Same: Table of organ doses. | NRC | [34 FR 9329, June 13, 1969] | ||||
| 10:10:1.0.1.1.22.1.91.15 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.25 Conditions of licenses issued under § 32.22: Quality control, labeling, and reports of transfer. | NRC | [34 FR 9027, June 6, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 48 FR 12334, Mar. 24, 1983; 68 FR 58804, Oct. 10, 2003; 72 FR 58488, Oct. 16, 2007; 73 FR 5719, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | Each person licensed under § 32.22 shall: (a) Carry out adequate control procedures in the manufacture of the product to assure that each production lot meets the quality control standards approved by the Commission; (b) Label or mark each unit so that the manufacturer, processor, producer, or initial transferor of the product and the byproduct material in the product can be identified; and (c) Maintain records of all transfers and file a report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Document Control Desk/Exempt Distribution. (1) The report must clearly identify the specific licensee submitting the report and include the license number of the specific licensee. (2) The report must indicate that the products are transferred for use under § 30.19 of this chapter or equivalent regulations of an Agreement State. (3) The report must include the following information on products transferred to other persons for use under § 30.19 or equivalent regulations of an Agreement State: (i) A description or identification of the type of each product and the model number(s); (ii) For each radionuclide in each type of product and each model number, the total quantity of the radionuclide; (iii) The number of units of each type of product transferred during the reporting period by model number. (4)(i) The licensee shall file the report, covering the preceding calendar year, on or before January 31 of each year. In its first report after December 17, 2007, the licensee shall separately include data for transfers in prior years not previously reported to the Commission. (ii) Licensees who permanently discontinue activities authorized by the license issued under § 32.22 shall file a report for the current calendar year within 30 days after ceasing distribution. (5) If no transfers of byproduct material have been made under § 32.22 during the reporting period, the report must so indicate. (6) The … | |||
| 10:10:1.0.1.1.22.1.91.16 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.26 Gas and aerosol detectors containing byproduct material: Requirements for license to manufacture, process, produce, or initially transfer. | NRC | [34 FR 6653, Apr. 18, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 45 FR 38342, June 9, 1980; 77 FR 43691, July 25, 2012] | An application for a specific license to manufacture, process, or produce gas and aerosol detectors containing byproduct material and designed to protect health, safety, or property, or to initially transfer such products for use under § 30.20 of this chapter or equivalent regulations of an Agreement State, will be approved if: (a) The applicant satisfies the general requirements specified in § 30.33 of this chapter: Provided, however, That the requirements of § 30.33(a) (2) and (3) do not apply to an application for a license to transfer byproduct material in gas and aerosol detectors manufactured, processed or produced pursuant to a license issued by an Agreement State. (b) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control procedures, labeling or marking, and conditions of handling, storage, use, and disposal of the gas and aerosol detector to demonstrate that the product will meet the safety criteria set forth in § 32.27. The information should include: (1) A description of the product and its intended use or uses; (2) The type and quantity of byproduct material in each unit; (3) Chemical and physical form of the byproduct material in the product and changes in chemical and physical form that may occur during the useful life of the product; (4) Solubility in water and body fluids of the forms of the byproduct material identified in paragraphs (b) (3) and (12) of this section; (5) Details of construction and design of the product as related to containment and shielding of the byproduct material and other safety features under normal and severe conditions of handling, storage, use, and disposal of the product; (6) Maximum external radiation levels at 5 and 25 centimeters from any external surface of the product, averaged over an area not to exceed 10 square centimeters, and the method of measurement; (7) Degree of access of human beings to the product during normal handling and use; (8) Total quantity of byproduct material expected to… | |||
| 10:10:1.0.1.1.22.1.91.17 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.27 Same: Safety criteria. | NRC | [34 FR 6654, Apr. 18, 1969] | An applicant for a license under § 32.26 shall demonstrate that the product is designed and will be manufactured so that: (a) In normal use and disposal of a single exempt unit, and in normal handling and storage of the quantities of exempt units likely to accumulate in one location during marketing, distribution, installation, and servicing of the product, it is unlikely that the external radiation dose in any one year, or the dose commitment resulting from the intake of radioactive material in any one year, to a suitable sample of the group of individuals expected to be most highly exposed to radiation or radioactive material from the product will exceed the dose to the appropriate organ as specified in Column I of the table in § 32.28. (b) It is unlikely that there will be a significant reduction in the effectiveness of the containment, shielding, or other safety features of the product from wear and abuse likely to occur in normal handling and use of the product during its useful life. (c) In use and disposal of a single exempt unit and in handling and storage of the quantities of exempt units likely to accumulate in one location during marketing, distribution, installation, and servicing of the product, the probability is low that the containment, shielding, or other safety features of the product would fail under such circumstances that a person would receive an external radiation dose or dose commitment in excess of the dose to the appropriate organ as specified in Column II of the table in § 32.28, and the probability is negligible that a person would receive an external radiation dose or dose commitment in excess of the dose to the appropriate organ as specified in Column III of the table in § 32.28. 1 1 It is the intent of this paragraph that as the magnitude of the potential dose increases above that permitted under normal conditions, the probability that any individual will receive such a dose must decrease. The probabilities have been expressed in general terms to emphasize the approximate nat… | |||
| 10:10:1.0.1.1.22.1.91.18 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.28 Same: Table of organ doses. | NRC | [34 FR 6654, Apr. 18, 1969] | ||||
| 10:10:1.0.1.1.22.1.91.19 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.29 Conditions of licenses issued under § 32.26: Quality control, labeling, and reports of transfer. | NRC | [34 FR 6654, Apr. 18, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 45 FR 38342, June 9, 1980; 48 FR 12334, Mar. 24, 1983; 72 FR 58488, Oct. 16, 2007; 73 FR 5719, Jan. 31, 2008; 73 FR 42673, July 23, 2008] | Each person licensed under § 32.26 shall: (a) Carry out adequate control procedures in the manufacture of the product to assure that each production lot meets the quality control standards approved by the Commission; (b) Label or mark each detector and its point-of-sale package so that: (1) Each detector has a durable, legible, readily visible label or marking on the external surface of the detector containing: (i) The following statement: “CONTAINS RADIOACTIVE MATERIAL”; (ii) The name of the radionuclide and quantity of activity; and (iii) An identification of the person licensed under § 32.26 to transfer the detector for use pursuant to § 30.20 of this chapter or equivalent regulations of an Agreement State. (2) The labeling or marking specified in paragraph (b)(1) of this section is located where its will be readily visible when the detector is removed from its mounting. (3) The external surface of the point-of-sale package has a legible, readily visible label or marking containing: (i) The name of the radionuclide and quantity of activity; (ii) An identification of the person licensed under § 32.26 to transfer the detector for use pursuant to § 30.20 of this chapter or equivalent regulations of an Agreement State; and (iii) The following or a substantially similar statement: THIS DETECTOR CONTAINS RADIOACTIVE MATERIAL AND HAS BEEN MANUFACTURED IN COMPLIANCE WITH U.S. NRC SAFETY CRITERIA IN 10 CFR 32.27. THE PURCHASER IS EXEMPT FROM ANY REGULATORY REQUIREMENTS. THIS DETECTOR CONTAINS RADIOACTIVE MATERIAL AND HAS BEEN MANUFACTURED IN COMPLIANCE WITH U.S. NRC SAFETY CRITERIA IN 10 CFR 32.27. THE PURCHASER IS EXEMPT FROM ANY REGULATORY REQUIREMENTS. (4) Each detector and point-of-sale package is provided with such other information as may be required by the Commission; and (c) Maintain records of all transfers and file a report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Docum… | |||
| 10:10:1.0.1.1.22.1.91.20 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.30 Certain industrial devices containing byproduct material: Requirements for license to manufacture, process, produce, or initially transfer. | NRC | [77 FR 43691, July 25, 2012] | An application for a specific license to manufacture, process, produce, or initially transfer for sale or distribution devices containing byproduct material for use under § 30.22 of this chapter or equivalent regulations of an Agreement State will be approved if: (a) The applicant satisfies the general requirements of § 30.33 of this chapter: However, the requirements of § 30.33(a)(2) and (3) do not apply to an application for a license to transfer byproduct material in such industrial devices manufactured, processed, or produced under a license issued by an Agreement State; (b) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control procedures, labeling or marking, and conditions of handling, storage, use, and disposal of the industrial devices to demonstrate that the device will meet the safety criteria set forth in § 32.31. The information should include: (1) A description of the device and its intended use or uses; (2) The type and quantity of byproduct material in each unit; (3) Chemical and physical form of the byproduct material in the device and changes in chemical and physical form that may occur during the useful life of the device; (4) Solubility in water and body fluids of the forms of the byproduct material identified in paragraphs (b)(3) and (b)(12) of this section; (5) Details of construction and design of the device as related to containment and shielding of the byproduct material and other safety features under normal and severe conditions of handling, storage, use, and disposal of the device; (6) Maximum external radiation levels at 5 and 30 centimeters from any external surface of the device, averaged over an area not to exceed 10 square centimeters, and the method of measurement; (7) Degree of access of human beings to the device during normal handling and use; (8) Total quantity of byproduct material expected to be distributed in the devices annually; (9) The expected useful life of the device; (10) The proposed methods … | |||
| 10:10:1.0.1.1.22.1.91.21 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.31 Certain industrial devices containing byproduct material: Safety criteria. | NRC | [77 FR 43692, July 25, 2012] | (a) An applicant for a license under § 32.30 shall demonstrate that the device is designed and will be manufactured so that: (1) In normal use, handling, and storage of the quantities of exempt units likely to accumulate in one location, including during marketing, distribution, installation, and servicing of the device, it is unlikely that the external radiation dose in any one year, or the committed dose resulting from the intake of radioactive material in any one year, to a suitable sample of the group of individuals expected to be most highly exposed to radiation or radioactive material from the device will exceed 200 µSv (20 mrem). (2) It is unlikely that the external radiation dose in any one year, or the committed dose resulting from the intake of radioactive material in any one year, to a suitable sample of the group of individuals expected to be most highly exposed to radiation or radioactive material from disposal of the quantities of units likely to accumulate in the same disposal site will exceed 10 µSv (1 mrem). (3) It is unlikely that there will be a significant reduction in the effectiveness of the containment, shielding, or other safety features of the device from wear and abuse likely to occur in normal handling and use of the device during its useful life. (4) In use, handling, storage, and disposal of the quantities of exempt units likely to accumulate in one location, including during marketing, distribution, installation, and servicing of the device, the probability is low that the containment, shielding, or other safety features of the device would fail under such circumstances that a person would receive an external radiation dose or committed dose in excess of 5 mSv (500 mrem), and the probability is negligible that a person would receive an external radiation dose or committed dose of 100 mSv (10 rem) or greater. 1 1 It is the intent of this paragraph that as the magnitude of the potential dose increases above that permitted under normal conditions, the probability that any individ… | |||
| 10:10:1.0.1.1.22.1.91.22 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.32 Conditions of licenses issued under § 32.30: Quality control, labeling, and reports of transfer. | NRC | [77 FR 43692, July 25, 2012] | Each person licensed under § 32.30 shall: (a) Carry out adequate control procedures in the manufacture of the device to ensure that each production lot meets the quality control standards approved by the Commission; (b) Label or mark each device and its point-of-sale package so that: (1) Each item has a durable, legible, readily visible label or marking on the external surface of the device containing: (i) The following statement: “CONTAINS RADIOACTIVE MATERIAL”; (ii) The name of the radionuclide(s) and quantity(ies) of activity; (iii) An identification of the person licensed under § 32.30 to transfer the device for use under § 30.22 of this chapter or equivalent regulations of an Agreement State; and (iv) Instructions and precautions necessary to assure safe installation, operation, and servicing of the device (documents such as operating and service manuals may be identified in the label and used to provide this information). (2) The external surface of the point-of-sale package has a legible, readily visible label or marking containing: (i) The name of the radionuclide and quantity of activity; (ii) An identification of the person licensed under § 32.30 to transfer the device for use under § 30.22 of this chapter or equivalent regulations of an Agreement State; and (iii) The following or a substantially similar statement: “THIS DEVICE CONTAINS RADIOACTIVE MATERIAL AND HAS BEEN MANUFACTURED IN COMPLIANCE WITH U.S. NUCLEAR REGULATORY COMMISSION SAFETY CRITERIA IN 10 CFR 32.31. THE PURCHASER IS EXEMPT FROM ANY REGULATORY REQUIREMENTS.” (3) Each device and point-of-sale package contains such other information as may be required by the Commission; and (c) Maintain records of all transfers and file a report with the Director of the Office of Nuclear Material Safety and Safeguards by an appropriate method listed in § 30.6(a) of this chapter, including in the address: ATTN: Document Control Desk/Exempt Distribution. (1) The report must clearly identify the specific licensee submitting the report and incl… | |||
| 10:10:1.0.1.1.22.2.91.1 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.51 Byproduct material contained in devices for use under § 31.5; requirements for license to manufacture, or initially transfer. | NRC | [39 FR 43533, Dec. 16, 1974, as amended at 40 FR 8785, Mar. 3, 1975; 42 FR 25721, May 19, 1977; 43 FR 6923, Feb. 17, 1978; 58 FR 67660, Dec. 22, 1993; 59 FR 5520, Feb. 7, 1994; 65 FR 79189, Dec. 18, 2000; 77 FR 43693, July 25, 2012] | (a) An application for a specific license to manufacture, or initially transfer devices containing byproduct material to persons generally licensed under § 31.5 of this chapter or equivalent regulations of an Agreement State will be approved if: (1) The applicant satisfies the general requirements of § 30.33 of this chapter; (2) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control, labels, proposed uses, installation, servicing, leak testing, operating and safety instructions, and potential hazards of the device to provide reasonable assurance that: (i) The device can be safely operated by persons not having training in radiological protection; (ii) Under ordinary conditions of handling, storage, and use of the device, the byproduct material contained in the device will not be released or inadvertently removed from the device, and it is unlikely that any person will receive in 1 year a dose in excess of 10 percent of the annual limits specified in § 20.1201(a) of this chapter; and (iii) Under accident conditions (such as fire and explosion) associated with handling, storage and use of the device, it is unlikely that any person would receive an external radiation dose or dose commitment in excess of the dose to the appropriate organ as specified in Column IV of the table in § 32.24. (3) Each device bears a durable, legible, clearly visible label or labels approved by the Commission which contain in a clearly identified and separate statement: (i) Instructions and precautions necessary to assure safe installation, operation, and servicing of the device (documents such as operating and service manuals may be identified in the label and used to provide this information); (ii) The requirements, or lack of requirement, for leak testing, or for testing any on-off mechanism and indicator, including the maximum time interval for such testing, and the identification of radioactive material by isotope, quantity of radioactivity, and date of determinatio… | |||
| 10:10:1.0.1.1.22.2.91.2 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.51a Same: Conditions of licenses. | NRC | [65 FR 79189, Dec. 18, 2000; 65 FR 80991, Dec. 22, 2000] | (a) If a device containing byproduct material is to be transferred for use under the general license contained in § 31.5 of this chapter, each person that is licensed under § 32.51 shall provide the information specified in this paragraph to each person to whom a device is to be transferred. This information must be provided before the device may be transferred. In the case of a transfer through an intermediate person, the information must also be provided to the intended user prior to initial transfer to the intermediate person. The required information includes— (1) A copy of the general license contained in § 31.5 of this chapter; if paragraphs (c)(2) through (4) or (c)(13) of § 31.5 do not apply to the particular device, those paragraphs may be omitted. (2) A copy of §§ 31.2, 30.51, 20.2201, and 20.2202 of this chapter; (3) A list of the services that can only be performed by a specific licensee; (4) Information on acceptable disposal options including estimated costs of disposal; and (5) An indication that NRC's policy is to issue high civil penalties for improper disposal. (b) If byproduct material is to be transferred in a device for use under an equivalent general license of an Agreement State, each person that is licensed under § 32.51 shall provide the information specified in this paragraph to each person to whom a device is to be transferred. This information must be provided before the device may be transferred. In the case of a transfer through an intermediate person, the information must also be provided to the intended user prior to initial transfer to the intermediate person. The required information includes— (1) A copy of the Agreement State's regulations equivalent to §§ 31.5, 31.2, 30.51, 20.2201, and 20.2202 of this chapter or a copy of §§ 31.5, 31.2, 30.51, 20.2201, and 20.2202 of this chapter. If a copy of the NRC regulations is provided to a prospective general licensee in lieu of the Agreement State's regulations, it shall be accompanied by a note explaining that use of the device… | |||
| 10:10:1.0.1.1.22.2.91.3 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.52 Same: material transfer reports and records. | NRC | [65 FR 79189, Dec. 18, 2000, as amended at 68 FR 58805, Oct. 10, 2003; 73 FR 5719, Jan. 31, 2008] | Each person licensed under § 32.51 to initially transfer devices to generally licensed persons shall comply with the requirements of this section. (a) The person shall report to the Director, Office of Nuclear Material Safety and Safeguards , ATTN: GLTS, by an appropriate method listed in § 30.6(a) of this chapter, all transfers of such devices to persons for use under the general license in § 31.5 of this chapter and all receipts of devices from persons licensed under § 31.5 of this chapter. The report must be submitted on a quarterly basis on NRC Form 653—“Transfers of Industrial Devices Report” or in a clear and legible report containing all of the data required by the form. (1) The required information for transfers to general licensees includes— (i) The identity of each general licensee by name and mailing address for the location of use; if there is no mailing address for the location of use, an alternate address for the general licensee shall be submitted along with information on the actual location of use. (ii) The name, title, and phone number of the person identified by the general licensee as having knowledge of and authority to take required actions to ensure compliance with the appropriate regulations and requirements; (iii) The date of transfer; (iv) The type, model number, and serial number of the device transferred; and (v) The quantity and type of byproduct material contained in the device. (2) If one or more intermediate persons will temporarily possess the device at the intended place of use before its possession by the user, the report must include the same information for both the intended user and each intermediate person, and clearly designate the intermediate person(s). (3) For devices received from a § 31.5 general licensee, the report must include the identity of the general licensee by name and address, the type, model number, and serial number of the device received, the date of receipt, and, in the case of devices not initially transferred by the reporting licensee, the name… | |||
| 10:10:1.0.1.1.22.2.91.4 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.53 Luminous safety devices for use in aircraft: Requirements for license to manufacture, assemble, repair or initially transfer. | NRC | [30 FR 8192, June 26, 1965, as amended at 33 FR 6463, Apr. 27, 1968; 43 FR 6923, Feb. 17, 1978; 77 FR 43693, July 25, 2012] | An application for a specific license to manufacture, assemble, repair or initially transfer luminous safety devices containing tritium or promethium-147 for use in aircraft, for distribution to persons generally licensed under § 31.7 of this chapter, will be approved if: (a) The applicant satisfies the general requirements specified in § 30.33 of this chapter; (b) The applicant submits sufficient information regarding each device pertinent to evaluation of the potential radiation exposure, including: (1) Chemical and physical form and maximum quantity of tritium or promethium-147 in each device; (2) Details of construction and design; (3) Details of the method of binding or containing the tritium or promethium-147; (4) Procedures for and results of prototype testing to demonstrate that the tritium or promethium-147 will not be released to the environment under the most severe conditions likely to be encountered in normal use; (5) Quality assurance procedures to be followed that are sufficient to ensure compliance with § 32.55; (6) Any additional information, including experimental studies and tests, required by the Commission to facilitate a determination of the safety of the device. (c) Each device will contain no more than 10 curies of tritium or 300 millicuries of promethium-147. The levels of radiation from each device containing promethium-147 will not exceed 0.5 millirad per hour at 10 centimeters from any surface when measured through 50 milligrams per square centimeter of absorber. (d) The Commission determines that: (1) The method of incorporation and binding of the tritium or promethium-147 in the device is such that the tritium or promethium-147 will not be released under the most severe conditions which are likely to be encountered in normal use and handling of the device; (2) The tritium or promethium-147 is incorporated or enclosed so as to preclude direct physical contact by any person with it; (3) The device is so designed that it cannot easily be disassembled; and (4) Prototypes of… | |||
| 10:10:1.0.1.1.22.2.91.5 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.54 Same: Labeling of devices. | NRC | [33 FR 16331, Nov. 7, 1968, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6923, Feb. 17, 1978; 63 FR 39483, July 23, 1998] | (a) A person licensed under § 32.53 to manufacture, assemble, or initially transfer devices containing tritium or promethium-147 for distribution to persons generally licensed under § 31.7 of this chapter shall, except as provided in paragraph (b) of this section, affix to each device a label containing the radiation symbol prescribed by § 20.1901 of this chapter, such other information as may be required by the Commission including disposal instructions when appropriate, and the following or a substantially similar statement which contains the information called for in the following statement: 1 1 Devices licensed under § 32.53 prior to January 19, 1975 may bear labels authorized by the regulations in effect on January 1, 1975. The receipt, possession, use, and transfer of this device, Model* _______, Serial No.* ___, containing ______ (Identity and quantity of radioactive material) are subject to a general license or the equivalent and the regulations of the U.S. NRC or of a State with which the NRC has entered into an agreement for the exercise of regulatory authority. Do not remove this label. CAUTION—RADIOACTIVE MATERIAL (Name of manufacturer, assembler, or initial transferor.)* *The model, serial number, and name of manufacturer, assembler, or initial transferor may be omitted from this label provided they are elsewhere specified in labeling affixed to the device. The receipt, possession, use, and transfer of this device, Model* _______, Serial No.* ___, containing ______ (Identity and quantity of radioactive material) are subject to a general license or the equivalent and the regulations of the U.S. NRC or of a State with which the NRC has entered into an agreement for the exercise of regulatory authority. Do not remove this label. (Name of manufacturer, assembler, or initial transferor.)* *The model, serial number, and name of manufacturer, assembler, or initial transferor may be omitted from this label provided they are elsewhere specified in labeling affixed to the device. (b) If t… | |||
| 10:10:1.0.1.1.22.2.91.6 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.55 Same: Quality assurance, prohibition of transfer. | NRC | [77 FR 43693, July 25, 2012] | (a) Each person licensed under § 32.53 shall visually inspect each device and shall reject any that has an observable physical defect that could adversely affect containment of the tritium or promethium-147. (b) Each person licensed under § 32.53 shall: (1) Maintain quality assurance systems in the manufacture of the luminous safety device in a manner sufficient to provide reasonable assurance that the safety-related components of the distributed devices are capable of performing their intended functions; and (2) Subject inspection lots to acceptance sampling procedures, by procedures specified in paragraph (c) of this section and in the license issued under § 32.53, to provide at least 95 percent confidence that the Lot Tolerance Percent Defective of 5.0 percent will not be exceeded. (c) The licensee shall subject each inspection lot to: (1) Tests that adequately take into account the individual, aggregate, and cumulative effects of environmental conditions expected in service that could adversely affect the effective containment of tritium or promethium-147, such as absolute pressure and water immersion. (2) Inspection for evidence of physical damage, containment failure, or for loss of tritium or promethium-147 after each stage of testing, using methods of inspection adequate for applying the following criteria for defective: (i) A leak resulting in a loss of 0.1 percent or more of the original amount of tritium or promethium-147 from the device; (ii) Levels of radiation in excess of 5 microgray (0.5 millirad) per hour at 10 centimeters from any surface when measured through 50 milligrams per square centimeter of absorber, if the device contains promethium-147; and (iii) Any other criteria specified in the license issued under § 32.53. (d) No person licensed under § 32.53 shall transfer to persons generally licensed under § 31.7 of this chapter, or under an equivalent general license of an Agreement State: (1) Any luminous safety device tested and found defective under any condition of a license iss… | |||
| 10:10:1.0.1.1.22.2.91.7 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.56 Same: Material transfer reports. | NRC | [77 FR 43694, July 25, 2012] | (a) Each person licensed under § 32.53 shall file an annual report with the Director, Office of Nuclear Material Safety and Safeguards , ATTN: Document Control Desk/GLTS, by an appropriate method listed in § 30.6(a) of this chapter, which must state the total quantity of tritium or promethium-147 transferred to persons generally licensed under § 31.7 of this chapter. The report must identify each general licensee by name, state the kinds and numbers of luminous devices transferred, and specify the quantity of tritium or promethium-147 in each kind of device. Each report must cover the year ending June 30 and must be filed within thirty (30) days thereafter. If no transfers have been made to persons generally licensed under § 31.7 of this chapter during the reporting period, the report must so indicate. (b) Each person licensed under § 32.53 shall report annually all transfers of devices to persons for use under a general license in an Agreement State's regulations that are equivalent to § 31.7 of this chapter to the responsible Agreement State agency. The report must state the total quantity of tritium or promethium-147 transferred, identify each general licensee by name, state the kinds and numbers of luminous devices transferred, and specify the quantity of tritium or promethium-147 in each kind of device. If no transfers have been made to a particular Agreement State during the reporting period, this information must be reported to the responsible Agreement State agency upon request of the agency. | |||
| 10:10:1.0.1.1.22.2.91.8 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.57 Calibration or reference sources containing americium-241 or radium-226: Requirements for license to manufacture or initially transfer. | NRC | [30 FR 8192, June 26, 1965, as amended at 43 FR 6923, Feb. 17, 1978; 72 FR 55928, Oct. 1, 2007; 73 FR 42674, July 23, 2008; 77 FR 43694, July 25, 2012] | An application for a specific license to manufacture or initially transfer calibration or reference sources containing americium-241 or radium-226, for distribution to persons generally licensed under § 31.8 of this chapter, will be approved if: (a) The applicant satisfies the general requirements of § 30.33 of this chapter; (b) The applicant submits sufficient information regarding each type of calibration or reference source pertinent to evaluation of the potential radiation exposure, including: (1) Chemical and physical form and maximum quantity of americium 241 or radium-226 in the source; (2) Details of construction and design; (3) Details of the method of incorporation and binding of the americium-241 or radium-226 in the source; (4) Procedures for and results of prototype testing of sources, which are designed to contain more than 0.005 microcurie of americium-241 or radium-226, to demonstrate that the americium-241 or radium-226 contained in each source will not be released or be removed from the source under normal conditions of use; (5) Details of quality control procedures to be followed in manufacture of the source; (6) Description of labeling to be affixed to the source or the storage container for the source; (7) Any additional information, including experimental studies and tests, required by the Commission to facilitate a determination of the safety of the source. (c) Each source will contain no more than 5 microcuries of americium-241 or radium-226. (d) The Commission determines, with respect to any type of source containing more than 0.005 microcurie of americium-241 or radium-226, that: (1) The method of incorporation and binding of the americium-241 or radium-226 in the source is such that the americium-241 or radium-226 will not be released or be removed from the source under normal conditions of use and handling of the source; and (2) The source has been subjected to and has satisfactorily passed appropriate tests required by paragraph (e) of this section. (e) The applicant sha… | |||
| 10:10:1.0.1.1.22.2.91.9 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.58 Same: Labeling of devices. | NRC | [72 FR 55929, Oct. 1, 2007] | Each person licensed under § 32.57 shall affix to each source, or storage container for the source, a label which shall contain sufficient information relative to safe use and storage of the source and shall include the following statement or a substantially similar statement which contains the information called for in the following statement: 1 1 Sources licensed under § 32.57 before January 19, 1975, may bear labels authorized by the regulations in effect on January 1, 1975. The receipt, possession, use, and transfer of this source, Model, Serial No., are subject to a general license and the regulations of the United States Nuclear Regulatory Commission or of a State with which the Commission has entered into an agreement for the exercise of regulatory authority. Do not remove this label. CAUTION-RADIOACTIVE MATERIAL-THIS SOURCE CONTAINS AMERICIUM-241 (or RADIUM-226). DO NOT TOUCH RADIOACTIVE PORTION OF THIS SOURCE (Name of manufacturer or initial transferor) CAUTION-RADIOACTIVE MATERIAL-THIS SOURCE CONTAINS AMERICIUM-241 (or RADIUM-226). DO NOT TOUCH RADIOACTIVE PORTION OF THIS SOURCE (Name of manufacturer or initial transferor) | |||
| 10:10:1.0.1.1.22.2.91.10 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.59 Same: Leak testing of each source. | NRC | [77 FR 43694, July 25, 2012] | Each person licensed under § 32.57 shall perform a dry wipe test upon each source containing more than 3.7 kilobecquerels (0.1 microcurie) of americium-241 or radium-226 before transferring the source to a general licensee under § 31.8 of this chapter or under equivalent regulations of an Agreement State. This test must be performed by wiping the entire radioactive surface of the source with a filter paper with the application of moderate finger pressure. The radioactivity on the filter paper must be measured using methods capable of detecting 0.185 kilobecquerel (0.005 microcurie) of americium-241 or radium-226. If a source has been shown to be leaking or losing more than 0.185 kilobecquerel (0.005 microcurie) of americium-241 or radium-226 by the methods described in this section, the source must be rejected and must not be transferred to a general licensee under § 31.8 of this chapter, or equivalent regulations of an Agreement State. | |||
| 10:10:1.0.1.1.22.2.91.11 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.60 [Reserved] | NRC | |||||
| 10:10:1.0.1.1.22.2.91.12 | 10 | Energy | 32 | PART 32—SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL | § 32.61 Ice detection devices containing strontium-90; requirements for license to manufacture or initially transfer. | NRC | [30 FR 9905, Aug. 10, 1965, as amended at 43 FR 6923, Feb. 17, 1978; 56 FR 23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993; 77 FR 43694, July 25, 2012] | An application for a specific license to manufacture or initially transfer ice detection devices containing strontium-90 for distribution to persons generally licensed under § 31.10 of this chapter will be approved if: (a) The applicant satisfies the general requirements specified in § 30.33 of this chapter; (b) The applicant submits sufficient information regarding each type of device pertinent to evaluation of the potential radiation exposure, including: (1) Chemical and physical form and maximum quantity of strontium-90 in the device; (2) Details of construction and design of the source of radiation and its shielding; (3) Radiation profile of a prototype device; (4) Procedures for and results of prototype testing of devices to demonstrate that the strontium-90 contained in each device will not be released or be removed from the device under the most severe conditions likely to be encountered in normal handling and use; (5) Details of quality control procedures to be followed in manufacture of the device; (6) Description of labeling to be affixed to the device; (7) Instructions for handling and installation of the device; (8) Any additional information, including experimental studies and tests, required by the Commission to facilitate a determination of the safety of the device; (c) Each device will contain no more than 50 microcuries of strontium-90 in an insoluble form; (d) Each device will bear durable, legible labeling which includes the radiation caution symbol prescribed by § 20.1901(a) of this chapter, a statement that the device contains strontium-90 and the quantity thereof, instructions for disposal and statements that the device may be possessed pursuant to a general license, that the manufacturer or civil authorities should be notified if the device is found, that removal of the labeling is prohibited and that disassembly and repair of the device may be performed only by a person holding a specific license to manufacture or service such devices; (e) The Commission determines that: (1) … |