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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 10:10:1.0.1.1.16.1.76.1 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | A | Subpart A—General Provisions | § 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. | ||||
| 10:10:1.0.1.1.16.10.76.1 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | J | Subpart J—Precautionary Procedures | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | K | Subpart K—Waste Disposal | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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). | ||||
| 10:10:1.0.1.1.16.12.76.10 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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. | |||||
| 10:10:1.0.1.1.16.12.76.2 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | L | Subpart L—Records | § 20.2109 [Reserved] | NRC | ||||||
| 10:10:1.0.1.1.16.13.76.1 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | M | Subpart M—Reports | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | N | Subpart N—Exemptions and Additional Requirements | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | N | Subpart N—Exemptions and Additional Requirements | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | O | Subpart O—Enforcement | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | O | Subpart O—Enforcement | § 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. | ||||
| 10:10:1.0.1.1.16.2.76.1 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | B | Subpart B—Radiation Protection Programs | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 20.1205 [Reserved] | NRC | ||||||
| 10:10:1.0.1.1.16.3.76.6 | 10 | Energy | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | C | Subpart C—Occupational Dose Limits | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | D | Subpart D—Radiation Dose Limits for Individual Members of the Public | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | D | Subpart D—Radiation Dose Limits for Individual Members of the Public | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | E | Subpart E—Radiological Criteria for License Termination | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | F | Subpart F—Surveys and Monitoring | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | F | Subpart F—Surveys and Monitoring | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | G | Subpart G—Control of Exposure From External Sources in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | G | Subpart G—Control of Exposure From External Sources in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | H | Subpart H—Respiratory Protection and Controls To Restrict Internal Exposure in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | H | Subpart H—Respiratory Protection and Controls To Restrict Internal Exposure in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | H | Subpart H—Respiratory Protection and Controls To Restrict Internal Exposure in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | H | Subpart H—Respiratory Protection and Controls To Restrict Internal Exposure in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | H | Subpart H—Respiratory Protection and Controls To Restrict Internal Exposure in Restricted Areas | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | I | Subpart I—Storage and Control of Licensed Material | § 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 | I | 20 | PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION | I | Subpart I—Storage and Control of Licensed Material | § 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. | |||||
| 15:15:1.1.1.1.25.1.4.1 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | A | Subpart A—General | § 20.1 The purpose of DOC's age discrimination regulations. | DOC | The purpose of these regulations is to set out DOC's policies and procedures under the Age Discrimination Act of 1975 and the general age discrimination regulations at 45 CFR Part 90. The Act and the general regulations prohibit discrimination on the basis of age in programs or activities receiving Federal financial assistance. The Act and the general regulations permit federally assisted programs or activities, and recipients of Federal funds, to continue to use age distinctions and factors other than age which meet the requirements of the Act and its implementing regulations. | ||||||
| 15:15:1.1.1.1.25.1.4.2 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | A | Subpart A—General | § 20.2 Programs or activities to which these regulations apply. | DOC | (a) The Act and these regulations apply to each DOC recipient and to each program or activity operated by the recipient which receives Federal financial assistance provided by any entity of DOC. (b) The Act 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 which: (i) Provides 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 or 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. | ||||||
| 15:15:1.1.1.1.25.1.4.3 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | A | Subpart A—General | § 20.3 Definitions. | DOC | [51 FR 28926, Aug. 13, 1986, as amended at 68 FR 51354, Aug. 26, 2003] | As used in these regulations, the following terms are defined as follows: (a) Act means the Age Discrimination Act of 1975, as amended (Title III of Pub. L. 94-135). (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 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) Agency means a Federal department or agency that is empowered to extend financial assistance. (g) DOC means the U.S. Department of Commerce. (h) 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 the agency provides or otherwise makes available assistance in the form of: (1) Funds; or (2) Services of Federal personnel; 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 considerations; and (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. (i) Normal operation means the operation of a program or activity without significant changes that would impair its ability to meet its objectives. (j) Program or activity means all of the operations of any entity described in paragraphs (j)(1) through (4) of this section, any part of which is extended Federal financial assistance: (1)(i) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or (ii) The entity of such State or local government that distributes such ass… | |||||
| 15:15:1.1.1.1.25.2.4.1 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | B | Subpart B—Standards for Determining Age Discrimination | § 20.4 Rules against age discrimination. | DOC | The rules stated in this section are limited by the exceptions contained in § 20.5. (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. (d) If a recipient operating a program or activity provides special benefits to the elderly or to children, such use of age distinctions shall be presumed to be necessary to the normal operation of the program or activity, notwithstanding the provisions of § 20.5. | ||||||
| 15:15:1.1.1.1.25.2.4.2 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | B | Subpart B—Standards for Determining Age Discrimination | § 20.5 Exceptions to the rules. | DOC | (a) Normal operations or statutory objective of any program or activity. A recipient is permitted to take an action otherwise prohibited by § 20.4 if the action reasonably considers age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity. An action meets this standard if: (1) Age is used as a measure or approximation of one or more other characteristics; and (2) 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 or the program or activity; and (3) The other characteristic(s) can be reasonably measured or approximated by the use of age; and (4) The other characteristic(s) are impractical to measure directly on an individual bases. (b) Reasonable factors other than age. A recipient is permitted to take an action otherwise prohibited by § 20.4 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. | ||||||
| 15:15:1.1.1.1.25.2.4.3 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | B | Subpart B—Standards for Determining Age Discrimination | § 20.6 Burden of proof. | DOC | The burden of proving that an age distinction or other action falls within the exceptions outlined in § 20.5 is on the recipient of Federal financial assistance. | ||||||
| 15:15:1.1.1.1.25.3.4.1 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | C | Subpart C—Responsibilities of DOC Recipients | § 20.7 General responsibilities. | DOC | Each DOC recipient has primary responsibility to ensure that its programs or activities are in compliance with the Act, the general regulations, and these regulations, and shall take steps to eliminate violation of the Act. (a) Each DOC recipient will provide an assurance that the program or activity for which it is receiving Federal financial assistance will be conducted in compliance with all requirements for the Act and these and other DOC regulations. A recipient also has responsibility to maintain records, provide information, and to afford DOC reasonable access to its records and facilities to the extent necessary to determine whether it is in compliance with the Act and these regulations. (b) Recipient assessment of age distinctions. (1) To assess the recipient's compliance with the Act, DOC may, as part of a compliance review under § 20.10 or a complaint investigation under § 20.11, require a recipient employing the equivalent or 15 or more employees, to complete, in a manner specified by the responsible Department official, a written self-evaluation of any age distinction imposed in its program or activity receiving Federal financial assistance from DOC. (2) Whenever an assessment indicates a violation of the Act and the DOC regulations, the recipient shall take corrective action. | ||||||
| 15:15:1.1.1.1.25.3.4.2 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | C | Subpart C—Responsibilities of DOC Recipients | § 20.8 Notice to subrecipients. | DOC | Where a recipient passes on Federal financial assistant from DOC to subrecipients, the recipient shall give subrecipients written notice of their obligations under the Act and these regulations. | ||||||
| 15:15:1.1.1.1.25.3.4.3 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | C | Subpart C—Responsibilities of DOC Recipients | § 20.9 Information requirements. | DOC | Upon DOC's request, each recipient shall provide access and make information available for DOC to determine whether the recipient is complying with the Act and these regulations. | ||||||
| 15:15:1.1.1.1.25.4.4.1 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.10 Compliance reviews. | DOC | (a) DOC may conduct compliance reviews and pre-award reviews or use other similar procedures that will permit it to investigate and correct violations of the Act and these regulations. DOC may conduct such review even in the absence of a complaint against a recipient. The review may be as comprehensive as necessary to determine whether a violation of the Act and these regulations has occurred. (b) If a compliance review of pre-award review indicates a violation of the Act or these regulations, DOC will attempt to achieve voluntary compliance with the Act. If voluntary compliance cannot be achieved, DOC will arrange for enforcement as described in § 20.15. | ||||||
| 15:15:1.1.1.1.25.4.4.10 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.19 Private lawsuits after exhaustion of administrative remedies. | DOC | (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 DOC has made no finding with regard to the complaint; or (2) DOC issues any finding in favor of the recipient. (b) If DOC fails to make a finding within 180 days or issues a finding in favor of recipient, DOC shall: (1) Promptly advise the complainant of this fact; and (2) Advise the complainant of his or her right to bring civil action for injunctive relief; 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 located 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) Before commencing the action, the complainant shall give 30 days notice by registered mail to the Secretary, the Attorney General of the United States, and the recipient; (iv) The notice shall contain the alleged violation of the Act, 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 a pending action in any court of the United States. | ||||||
| 15:15:1.1.1.1.25.4.4.2 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.11 Complaints. | DOC | (a) Any person, individually, or as a member of a class, or on behalf of others, may file a complaint with DOC 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, DOC may extend this time limit. (b) DOC will attempt to facilitate the filing of complaints wherever possible, including taking the following measures: (1) Accepting as a sufficient complaint, any written statement which: identifies the parties involved and the date the complainant first had knowledge of the alleged violation; describes generally the action or practice complained of; and 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) Considering as the filing date, the date on which a complaint is sufficient to be processed; (4) Notifiying the complainant and the recipient of their rights and obligations under the compliant procedure, including the right to have a representative at all stages of the process; (5) Notifying the complainant and the recipient (or their representatives) of their right to contact DOC for information and assistance regarding the complaint resolution process. (c) DOC 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. | ||||||
| 15:15:1.1.1.1.25.4.4.3 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.12 Mediation. | DOC | (a) DOC will refer to a mediation service designated by the Secretary all sufficient complaints that: (1) Fall within the jurisdiction of the Act and these regulations, unless the age distinction complained of is clearly within an exception; 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 to make an informed judgment that an agreement is not possible. (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 the recipient sign it. The mediator shall send a copy of the agreement to DOC. DOC will take no further action on the complaint unless the complainant or the recipient fails to comply with the agreement. (d) The mediator is required to 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 or the mediation service. (e) The mediation will proceed for a maximum of 60 days after a complaint is filed with DOC. Mediation ends if: (1) 60 days elapse from the time DOC receives the complaint; or (2) Prior to the end of that 60-day period, 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 DOC. | ||||||
| 15:15:1.1.1.1.25.4.4.4 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.13 Investigation. | DOC | (a) Informal investigation: (1) DOC will investigate complaints that are unresolved after mediation or are reopended because of a violation of a mediation agreement. (2) As part of the initial investigation, DOC will use informal factfinding methods, including joint or separate discussions with the complainant and recipient, to establish the facts and, if possible, settle the complaint on terms that are mutually agreeable to the parties. DOC may seek the assistance of any involved State agency. (3) DOC will put any agreement in writing and have it signed by the parties and an authorized offical at DOC. (4) The settlement shall not affect the operation of any other enforcement effort of DOC, including compliance reviews and investigation or other complaints which may involve the recipient. (5) The settlement is not a finding of discrimination against a recipient. (b) Formal investigation: If DOC 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, DOC will attempt to obtain voluntary compliance. If DOC cannot obtain voluntary compliance, it will begin enforcement as described in § 8a.15. | ||||||
| 15:15:1.1.1.1.25.4.4.5 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.14 Prohibition against intimidation or retaliation. | DOC | 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 DOC's investigation, conciliation, and enforcement process. | ||||||
| 15:15:1.1.1.1.25.4.4.6 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.15 Compliance procedure. | DOC | (a) DOC may enforce the Act and these regulations by: (1) Terminating the Federal financial assistance to the recipient under the program or activity found to have 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. If a case is settled during mediation, or prior to hearing, Federal financial assistance to the program or activity will not be terminated. (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 recipient 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) DOC will limit any termination under this section to the particular recipient and particular program or activity or part of such program or activity DOC finds in violation of these regulations. DOC will not base any part of a termination on a finding with respect to any program or activity of the recipient which does not receive Federal financial assistance from DOC. (c) DOC will take no action under paragraph (a) until: (1) The head of the organization providing the financial assistance has advised the recipient of its failure to comply with the Act and these regulations and has determined that voluntary compliance cannot be obtained. (2) Thirty days have elapsed after the Secretary 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. The Secretary will file a report whenever any action is taken under paragraph (a). (d) DOC also may defer granting new Federal financial assistance to a recipient when a hearing under § 20.16 is initiated. (1) New Federal financial… | ||||||
| 15:15:1.1.1.1.25.4.4.7 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.16 Hearings, decisions, post-termination proceedings. | DOC | Certain DOC procedural provisions applicable to Title VI of the Civil Rights Act of 1964 apply to DOC enforcement of these regulations. They are found in 15 CFR Part 8, § 8.12 and § 8.13. | ||||||
| 15:15:1.1.1.1.25.4.4.8 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.17 Remedial action by recipients. | DOC | (a) Where DOC finds that a recipient has discriminated on the basis of age, the recipient shall take any remedial action that DOC may require to overcome the effects of the discrimination. If another recipient exercises control over the recipient that has discriminated, DOC 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. | ||||||
| 15:15:1.1.1.1.25.4.4.9 | 15 | Commerce and Foreign Trade | 20 | PART 20—NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE | D | Subpart D—Investigation, Conciliation, and Enforcement Procedures | § 20.18 Alternative funds disbursal procedure. | DOC | (a) When, under the provisions of these regulations, DOC terminates the funding of a recipient, the Secretary may, using undisbursed funds from the terminated award, make a new award to an alternate recipient, i.e. any public or non-profit private organization or agency, or State or political subdivision of the State. (b) The Secretary will require any alternate recipient 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. | ||||||
| 17:17:1.0.1.1.19.0.7.1 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.1 Definitions. | CFTC | As used in, and solely for the purposes of, this part: Business day means “business day” as that term is defined in § 1.3 of this chapter. Cleared product means a paired swap or swaption that a clearing organization offers or accepts for clearing. Clearing member means any person who is a member of, or enjoys the privilege of, clearing trades in its own name through a clearing organization. Clearing organization means the person or organization that acts as a medium between clearing members for the purpose of clearing swaps or swaptions or effecting settlements of swaps or swaptions. Closed swap or closed swaption means a swap or swaption that has been settled, exercised, closed out or terminated. Commodity reference price means the price series (including derivatives contract and cash market prices or price indices) used by the parties to a swap or swaption to determine payments made, exchanged, or accrued under the terms of the contracts. Counterparty means, from the perspective of one side to a contract, the person that is the direct legal counterparty corresponding to the other side of the contract. Clearing member customer means any person for whom a reporting entity clears a swap or swaption position. Futures equivalent means an economically equivalent amount of one or more futures contracts that represents a position or transaction in one or more paired swaps or swaptions consistent with the conversion guidelines in appendix A of this part. Open swap or swaption means a swap or swaption that has not been closed. Paired swap or paired swaption means an open swap or swaption that is: (1) Directly or indirectly linked, including being partially or fully settled on, or priced at a differential to, the price of any commodity futures contract listed in § 20.2; or (2) Directly or indirectly linked, including being partially or fully settled on, or priced at a differential to, the price of the same commodity for delivery at the same location or locations. Person means any “person” as that… | |||||||
| 17:17:1.0.1.1.19.0.7.10 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.10 Compliance schedule. | CFTC | (a) Clearinghouses, clearing members and persons with books and records obligations shall comply with the requirements of this part upon the effective date of this part. (b) Swap dealers that are not clearing members shall comply with the requirements of this part upon the effective date of final regulations further defining the term swap dealer. (c) The Commission may permit, for a period not to exceed six calendar months following the effective date specified in paragraph (a) of this section, the submission of reports pursuant to §§ 20.3 and 20.4 that differ in content, or are submitted in a form and manner which is other than prescribed by the provisions of this part, provided that the submitter is making a good faith attempt to comply with all of the provisions of this part. (d) Unless determined otherwise by the Commission, paired swap and swaption position and market reports submitted under parts 15 through 19, or 21 of this chapter, or any order of the Commission, shall continue to be submitted under those parts or orders until swap dealers are required to comply with § 20.4. (e) The Commission may extend the compliance date established in paragraph (b) of this section by an additional six calendar months based on resource limitations or lack of experience in reporting transactions to the Commission for a swap dealer that is not an affiliate of a bank holding company and: (1) Is not registered with the Commission as a futures commission merchant and is not an affiliate of a futures commission merchant; (2) Is not registered with the Securities and Exchange Commission as a broker or dealer and is not an affiliate of a broker or dealer; and (3) Is not supervised by any Federal prudential regulator. | |||||||
| 17:17:1.0.1.1.19.0.7.11 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.11 Diversified commodity indices. | CFTC | For the purpose of reporting in futures equivalents, paired swaps and swaptions using commodity reference prices that are commonly known diversified indices with publicly available weightings may be reported as if such indices underlie a single futures contract with monthly expirations for each calendar month and year. | |||||||
| 17:17:1.0.1.1.19.0.7.2 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.2 Covered contracts. | CFTC | The futures and option contracts listed by designated contract markets for the purpose of reports filed and information provided under this part are as follows: Covered Agricultural and Exempt Futures Contracts | |||||||
| 17:17:1.0.1.1.19.0.7.3 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.3 Clearing organizations. | CFTC | (a) Reporting data records. For each reporting day, with respect to paired swaps or swaptions, clearing organizations shall report to the Commission, separately for each clearing member's proprietary and clearing member customer account, unique groupings of the data elements in paragraph (b) of this section (to the extent that there are such corresponding elements), in a single data record, so that each reported record is distinguishable from every other reported record (because of differing data values, as opposed to the arrangement of the elements). (b) Populating reported data records with data elements. Data records reported under paragraph (a) of this section shall include the following data elements: (1) An identifier assigned by the Commission to the clearing organization; (2) The identifier assigned by the clearing organization to the clearing member; (3) The identifier assigned by the clearing organization for a cleared product; (4) The reporting day; (5) A proprietary or clearing member customer account indicator; (6) The futures equivalent month; (7) The commodity reference price; (8) Gross long swap positions; (9) Gross short swap positions; (10) A swaption put or call side indicator; (11) A swaption expiration date; (12) A swaption strike price; (13) Gross long non-delta-adjusted swaption positions; and (14) Gross short non-delta-adjusted swaption positions. (c) End of reporting day data. For all futures equivalent months, clearing organizations shall report end of reporting day settlement prices for each cleared product and deltas for every unique swaption put and call, expiration date, and strike price. | |||||||
| 17:17:1.0.1.1.19.0.7.4 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.4 Reporting entities. | CFTC | (a) Consolidated accounts. Each reporting entity shall combine all paired swap and swaption positions: (1) That are principal positions (swaps and swaptions to which the reporting entity is a direct legal counterparty), in a single consolidated account that it shall attribute to itself; and (2) That are positions of the reporting entity's counterparty in a single consolidated account that it shall attribute to that specific counterparty. (b) Reporting data records. Reporting entities shall report to the Commission, for each reporting day, and separately for each reportable position in a consolidated account described in paragraphs (a)(1) and (a)(2) of this section, unique groupings of the data elements in paragraph (c) of this section (to the extent that there are such corresponding elements), in a single data record, so that each reported record is distinguishable from every other reported record (because of differing data values, as opposed to the arrangement of the elements). (c) Populating reported data records with data elements. Data records reported under paragraph (b) of this section shall include the following data elements: (1) An identifier assigned by the Commission to the reporting entity; (2) An identifier indicating that a principal or counterparty position is being reported; (3) A 102S identifier assigned by the reporting entity to its counterparty; (4) The name of the counterparty whose position is being reported; (5) The reporting day; (6) If cleared, the identifier for the cleared product assigned by the clearing organization; (7) The commodity underlying the reportable positions; (8) The futures equivalent month; (9) A cleared or uncleared indicator; (10) A clearing organization identifier; (11) The commodity reference price; (12) An execution facility indicator; (13) Long paired swap positions; (14) Short paired swap positions; (15) A swaption put or call side indicator; (16) A swaption expiration date; (17) A swaption strike price; (18) Long non-delta-adjusted pai… | |||||||
| 17:17:1.0.1.1.19.0.7.5 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.5 Series S filings. | CFTC | [76 FR 43862, July 22, 2011, as amended at 78 FR 69265, Nov. 18, 2013; 82 FR 28768, June 26, 2017] | (a) 102S filing. (1) When a counterparty consolidated account first becomes reportable, the reporting entity shall submit a 102S filing, in accordance with the form instructions and as specified in this section. (2) A reporting entity may submit a 102S filing only once for each counterparty, even if such persons at various times have multiple reportable positions in the same or different paired swaps or swaptions. (3) Reporting entities shall submit a 102S filing within three days following the first day a consolidated account first becomes reportable or at such time as instructed by the Commission upon special call. (4) Change updates. If any change causes the information filed by a clearing member or swap dealer on a Form 102 for a consolidated account to no longer be accurate, then such clearing member or swap dealer shall file an updated Form 102 with the Commission no later than 9 a.m. on the business day after such change occurs, or on such other date as directed by special call of the Commission, provided that, a clearing member or swap dealer may stop providing change updates for a Form 102 that it has submitted to the Commission for any consolidated account upon notifying the Commission or its designee that the account in question is no longer reportable as a consolidated account and has not been reportable as a consolidated account for the past six months. Unless otherwise specified by the Commission or its designee, the stated time is Eastern Time for information concerning markets located in that time zone, and Central Time for information concerning all other markets. (5) Refresh updates. For Consolidated Accounts—Starting on a date specified by the Commission or its designee and at the end of each annual increment thereafter (or such other date specified by the Commission or its designee that is equal to or greater than six months), each clearing member or swap dealer shall resubmit every Form 102 that it has submitted to the Commission for each of its consolidated accounts, provided th… | ||||||
| 17:17:1.0.1.1.19.0.7.6 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.6 Maintenance of books and records. | CFTC | (a) Every clearing organization shall keep all records of transactions in paired swaps or swaptions, and methods used to convert paired swaps or swaptions into futures equivalents, in accordance with the requirements of § 1.31 of this chapter. (b) Every reporting entity shall keep all records of transactions in paired swaps or swaptions, and methods used to convert paired swaps or swaptions into futures equivalents, in accordance with the requirements of § 1.31 of this chapter. (c) Every person with equal to or greater than 50 gross all-months-combined futures equivalent positions in paired swaps or swaptions on the same commodity shall: (1) Keep books and records showing all records for transactions resulting in such positions, which may be kept and reproduced for Commission inspection in the record retention format that such person has developed in the normal course of its business operations; and (2) Keep books and records showing transactions in the cash commodity underlying such positions or its products and byproducts, and all commercial activities that are hedged or which have risks that are mitigated by such positions, which may be kept in accordance with the recordkeeping schedule and reproduced for Commission inspection in the record retention format that such person has developed in the normal course of its business operations. (d) All books and records required to be kept by paragraphs (a) through (c) of this section shall be furnished upon request to the Commission along with any pertinent information concerning such positions, transactions, or activities. | |||||||
| 17:17:1.0.1.1.19.0.7.7 | 17 | Commodity and Securities Exchanges | I | 20 | PART 20—LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS | § 20.7 Form and manner of reporting and submitting information or filings. | CFTC | Unless otherwise instructed by the Commission, a clearing organization or reporting entity shall submit data records and any other information required under this part to the Commission as follows: (a) Using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission; (b) For clearing organizations, not later than 9:00 a.m. eastern time on the next business day following the reporting day or at such other time as instructed by the Commission; and (c) For clearing members and swap dealers, not later than 12:00 p.m. eastern time on the second (T+2) business day following the reporting day or at such other time as instructed by the Commission. |
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