Title 10: Energy
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PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL
Section Contents
General Provisions
§ 30.1 Scope.
§ 30.2 Resolution of conflict.
§ 30.3 Activities requiring license.
§ 30.4 Definitions.
§ 30.5 Interpretations.
§ 30.6 Communications.
§ 30.7 Employee protection.
§ 30.8 Information collection requirements: OMB approval.
§ 30.9 Completeness and accuracy of information.
§ 30.10 Deliberate misconduct.
Exemptions
§ 30.11 Specific exemptions.
§ 30.12 Persons using byproduct material under certain Department of Energy and Nuclear Regulatory Commission contracts.
§ 30.13 Carriers.
§ 30.14 Exempt concentrations.
§ 30.15 Certain items containing byproduct material.
§ 30.16 Resins containing scandium-46 and designed for sand-consolidation in oil wells.
§ 30.18 Exempt quantities.
§ 30.19 Self-luminous products containing tritium, krypton-85, or promethium-147.
§ 30.20 Gas and aerosol detectors containing byproduct material.
§ 30.21 Radioactive drug: Capsules containing carbon-14 urea for “in vivo” diagnostic use for humans.
Licenses
§ 30.31 Types of licenses.
§ 30.32 Application for specific licenses.
§ 30.33 General requirements for issuance of specific licenses.
§ 30.34 Terms and conditions of licenses.
§ 30.35 Financial assurance and recordkeeping for decommissioning.
§ 30.36 Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.
§ 30.37 Application for renewal of licenses.
§ 30.38 Application for amendment of licenses.
§ 30.39 Commission action on applications to renew or amend.
§ 30.41 Transfer of byproduct material.
Records, Inspections, Tests, and Reports
§ 30.50 Reporting requirements.
§ 30.51 Records.
§ 30.52 Inspections.
§ 30.53 Tests.
§ 30.55 Tritium reports.
Enforcement
§ 30.61 Modification and revocation of licenses.
§ 30.62 Right to cause the withholding or recall of byproduct material.
§ 30.63 Violations.
§ 30.64 Criminal penalties.
Schedules
§ 30.70 Schedule A—Exempt concentrations.
§ 30.71 Schedule B.
§ 30.72 Schedule C—Quantities of radioactive materials requiring consideration of the need for an emergency plan for responding to a release.
Appendix A to Part 30—Criteria Relating to Use of Financial Tests and Parent Company Guarantees for Providing Reasonable Assurance of Funds for Decommissioning
Appendix B to Part 30—Quantities1 of Licensed Material Requiring Labeling
Appendix C to Part 30—Criteria Relating to Use of Financial Tests and Self Guarantees for Providing Reasonable Assurance of Funds for Decommissioning
Appendix D to Part 30—Criteria Relating to Use of Financial Tests and Self-Guarantee for Providing Reasonable Assurance of Funds for Decommissioning by Commercial Companies That Have No Outstanding Rated Bonds
Appendix E to Part 30—Criteria Relating to Use of Financial Tests and Self-Guarantee For Providing Reasonable Assurance of Funds For Decommissioning by Nonprofit Colleges, Universities, and Hospitals
Authority: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201 as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note).
Section 30.7 also issued under Pub. L. 95–601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102–486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 30.61 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).
General Provisions
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§ 30.1 Scope.
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This part prescribes rules applicable to all persons in the United States governing domestic licensing of byproduct material under the Atomic Energy Act of 1954, as amended (68 Stat. 919), and under title II of the Energy Reorganization Act of 1974 (88 Stat. 1242), and exemptions from the domestic licensing requirements permitted by Section 81 of the Act. This part also gives notice to all persons who knowingly provide to any licensee, applicant, certificate of registration holder, contractor, or subcontractor, components, equipment, materials, or other goods or services, that relate to a licensee's, applicant's or certificate of registration holder's activities subject to this part, that they may be individually subject to NRC enforcement action for violation of §30.10.
[63 FR 1895, Jan. 13, 1998]
§ 30.2 Resolution of conflict.
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The requirements of this part are in addition to, and not in substitution for, other requirements of this chapter. In any conflict between the requirements in this part and a specific requirement in another part of the regulations in this chapter, the specific requirement governs.
[30 FR 8185, June 26, 1965]
§ 30.3 Activities requiring license.
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Except for persons exempt as provided in this part and part 150 of this chapter, no person shall manufacture, produce, transfer, receive, acquire, own, possess, or use byproduct material except as authorized in a specific or general license issued pursuant to the regulations in this chapter.
[30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978]
§ 30.4 Definitions.
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Act means the Atomic Energy Act of 1954 (68 Stat. 919), including any amendments thereto;
Agreement State means any state with which the Atomic Energy Commission or the Nuclear Regulatory Commission has entered into an effective agreement under subsection 274b. of the Act. Non-agreement State means any other State;
Alert means events may occur, are in progress, or have occurred that could lead to a release of radioactive material but that the release is not expected to require a response by offsite response organizations to protect persons offsite.
Byproduct material means any radioactive material (except special nuclear material) yielded in or made radioactive by exposure to the radiation incident to the process of producing or utilizing special nuclear material;
Commencement of construction means any clearing of land, excavation, or other substantial action that would adversely affect the natural environment of a site but does not include changes desirable for the temporary use of the land for public recreational uses, necessary borings to determine site characteristics or other preconstruction monitoring to establish background information related to the suitability of a site or to the protection of environmental values.
Commission means the Nuclear Regulatory Commission and its duly authorized representatives;
Curie means that amount of radioactive material which disintegrates at the rate of 37 billion atoms per second;
Decommission means to remove a facility or site safely from service and reduce residual radioactivity to a level that permits—
(1) Release of the property for unrestricted use and termination of the license; or
(2) Release of the property under restricted conditions and termination of the license.
Dentist means an individual licensed by a State or Territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico to practice dentistry.
Department and Department of Energy means the Department of Energy established by the Department of Energy Organization Act (Pub. L. 95–91, 91 Stat. 565, 42 U.S.C. 7101 et seq.) to the extent that the Department, or its duly authorized representatives, exercises functions formerly vested in the U.S. Atomic Energy Commission, its Chairman, members, officers and components and transferred to the U.S. Energy Research and Development Administration and to the Administrator thereof pursuant to sections 104 (b), (c) and (d) of the Energy Reorganization Act of 1974 (Pub. L. 93–438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and retransferred to the Secretary of Energy pursuant to section 301(a) of the Department of Energy Organization Act (Pub. L. 95–91, 91 Stat. 565 at 577–578, 42 U.S.C. 7151).
Effective dose equivalent means the sum of the products of the dose equivalent to the organ or tissue and the weighting factors applicable to each of the body organs or tissues that are irradiated. Weighting factors are: 0.25 for gonads, 0.15 for breast, 0.12 for red bone marrow, 0.12 for lungs, 0.03 for thyroid, 0.03 for bone surface, and 0.06 for each of the other five organs receiving the highest dose equivalent.
Government agency means any executive department, commission, independent establishment, corporation, wholly or partly owned by the United States of America which is an instrumentality of the United States, or any board, bureau, division, service, office, officer, authority, administration, or other establishment in the executive branch of the Government;
License, except where otherwise specified means a license for by-product material issued pursuant to the regulations in this part and parts 31 through 36 and 39 of this chapter;
Medical use means the intentional internal or external administration of byproduct material or the radiation therefrom to patients or human research subjects under the supervision of an authorized user as defined in 10 CFR part 35.
Microcurie means that amount of radioactive material which disintegrates at the rate of 37 thousand atoms per second;
Millicurie means that amount of radioactive material which disintegrates at the rate of 37 million atoms per second;
Person means: (1) Any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, Government agency other than the Commission or the Department, except that the Department shall be considered a person within the meaning of the regulations in this part to the extent that its facilities and activities are subject to the licensing and related regulatory authority of the Commission pursuant to section 202 of the Energy Reorganization Act of 1974 (88 Stat. 1244), any State or any political subdivision of or any political entity within a State, any foreign government or nation or any political subdivision of any such government or nation, or other entity; and (2) any legal successor, representative, agent, or agency of the foregoing;
Physician means a medical doctor or doctor of osteopathy licensed by a State or Territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico to prescribe drugs in the practice of medicine;
Podiatrist means an individual licensed by a State or Territory of the United States, the District of Columbia, or the Commonwealth of Puerto Rico to practice podiatry.
Principal activities, as used in this part, means activities authorized by the license which are essential to achieving the purpose(s) for which the license was issued or amended. Storage during which no licensed material is accessed for use or disposal and activities incidental to decontamination or decommissioning are not principal activities.
Production facility means production facility as defined in the regulations contained in part 50 of this chapter;
Research and development means: (1) Theoretical analysis, exploration, or experimentation; or (2) the extension of investigative findings and theories of a scientific or technical nature into practical application for experimental and demonstration purposes, including the experimental production and testing of models, devices, equipment, materials and processes. “Research and development” as used in this part and parts 31 through 35 does not include the internal or external administration of byproduct material, or the radiation therefrom, to human beings;
Sealed source means any byproduct material that is encased in a capsule designed to prevent leakage or escape of the byproduct material;
Site area emergency means events may occur, are in progress, or have occurred that could lead to a significant release of radioactive material and that could require a response by offsite response organizations to protect persons offsite.
Source material means source material as defined in the regulations contained in part 40 of this chapter;
Special nuclear material means special nuclear material as defined in the regulations contained in part 70 of this chapter;
United States, when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States;
Utilization facility means a utilization facility as defined in the regulations contained in part 50 of this chapter;
[30 FR 8185, June 26, 1965]
Editorial Note: For Federal Register citations affecting §30.4, see the List of Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 30.5 Interpretations.
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Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part and parts 31 through 36 and 39 by any officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission.
[30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.6 Communications.
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(a) Unless otherwise specified or covered under the regional licensing program as provided in paragraph (b) of this section, any communication or report concerning the regulations in parts 30 through 36 and 39 of this chapter and any application filed under these regulations may be submitted to the Commission as follows:
(1) By mail addressed: ATTN: Document Control Desk, Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001.
(2) By hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland.
(3) Where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/eie.php, by calling (301) 415–6030, by e-mail to [email protected], or by writing the Office of Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information.
(b) The Commission has delegated to the four Regional Administrators licensing authority for selected parts of its decentralized licensing program for nuclear materials as described in paragraph (b)(1) of this section. Any communication, report, or application covered under this licensing program must be submitted to the appropriate Regional Administrator. The Administrators' jurisdictions and mailing addresses are listed in paragraph (b)(2) of this section.
(1) The delegated licensing program includes authority to issue, renew, amend, cancel, modify, suspend, or revoke licenses for nuclear materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 to all persons for academic, medical, and industrial uses, with the following exceptions:
(i) Activities in the fuel cycle and special nuclear material in quantities sufficient to constitute a critical mass in any room or area. This exception does not apply to license modifications relating to termination of special nuclear material licenses that authorize possession of larger quantities when the case is referred for action from NRC's Headquarters to the Regional Administrators.
(ii) Health and safety design review of sealed sources and devices and approval, for licensing purposes, of sealed sources and devices.
(iii) Processing of source material for extracting of metallic compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, etc.).
(iv) Distribution of products containing radioactive material to persons exempt pursuant 10 CFR 32.11 through 32.26.
(v) New uses or techniques for use of byproducts, source, or special nuclear material.
(2) Submissions—(i) Region I. The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region I non-Agreement States and the District of Columbia: Connecticut, Delaware, Maine, Massachusetts, New Jersey, Pennsylvania, and Vermont. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, renewal, or termination request of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region I, Nuclear Material Section B, 475 Allendale Road, King of Prussia, Pennsylvania 19406–1415; where e-mail is appropriate it should be addressed to [email protected].
(ii) Region II. The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region II non-Agreement States and territories: Virginia, West Virginia, Puerto Rico, and the Virgin Islands. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, renewal, or termination request of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region II, Material Licensing/Inspection Branch, Sam Nunn Atlanta Federal Center, Suite 23T85, 61 Forsyth Street, SW, Atlanta, GA 30303–8931; where e-mail is appropriate it should be addressed to [email protected].
(iii) Region III. The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region III non-Agreement States: Indiana, Michigan, Minnesota, Missouri, Ohio, and Wisconsin. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, renewal, or termination, request of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region III, Material Licensing Section, 2443 Warrenville Road, Suite 210, Lisle, IL 60532–4352; where e-mail is appropriate it should be addressed to [email protected].
(iv) Region IV. The regional licensing program involves all Federal facilities in the region and non-Federal licensees in the following Region IV non-Agreement States and a territory: Alaska, Hawaii, Montana, Oklahoma, South Dakota, Wyoming, and Guam. All mailed or hand-delivered inquiries, communications, and applications for a new license or an amendment, renewal, or termination request of an existing license specified in paragraph (b)(1) of this section must use the following address: U.S. Nuclear Regulatory Commission, Region IV, Material Radiation Protection Section, 611 Ryan Plaza Drive, Suite 400, Arlington, Texas 76011–4005; where e-mail is appropriate it should be addressed to [email protected].
[48 FR 16031, Apr. 14, 1983]
Editorial Note: For Federal Register citations affecting §30.6, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 30.7 Employee protection.
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(a) Discrimination by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Atomic Energy Act or the Energy Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information about alleged violations of either of the statutes named in paragraph (a) introductory text of this section or possible violations of requirements imposed under either of those statutes;
(ii) Refusing to engage in any practice made unlawful under either of the statutes named in paragraph (a) introductory text or under these requirements if the employee has identified the alleged illegality to the employer;
(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;
(iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the statutes named in paragraph (a) introductory text.
(v) Assisting or participating in, or is about to assist or participate in, these activities.
(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.
(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Atomic Energy Act of 1954, as amended.
(b) Any employee who believes that he or she has been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a)(1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Employment Standards Administration, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.
(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee, an applicant for a Commission license, or a contractor or subcontractor of a Commission licensee or applicant may be grounds for—
(1) Denial, revocation, or suspension of the license.
(2) Imposition of a civil penalty on the licensee or applicant.
(3) Other enforcement action.
(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.
(e)(1) Each specific licensee, each applicant for a specific license, and each general licensee subject to part 19 shall prominently post the revision of NRC Form 3, “Notice to Employees,” referenced in 10 CFR 19.11(c).
(2) The posting of NRC Form 3 must be at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted not later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.
(3) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate U.S. Nuclear Regulatory Commission Regional Office listed in appendix D to part 20 of this chapter, by calling (301) 415–5877, via e-mail to [email protected], or by visiting the NRC's Web site at http://www.nrc.gov and selecting forms from the index found on the home page.
(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a)(1) of this section including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.
[58 FR 52408, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 FR 6764, Feb. 22, 1996; 68 FR 58803, Oct. 10, 2003]
§ 30.8 Information collection requirements: OMB approval.
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(a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150–0017.
(b) The approved information collection requirements contained in this part appear in §§30.9, 30.11, 30.15, 30.19, 30.20, 30.32, 30.34, 30.35, 30.36, 30.37, 30.38, 30.41, 30.50, 30.51, 30.55, and appendices A, C, D, and E to this part.
(c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows:
(1) In §§30.32, 30.37, and 30.38, NRC Form 313 is approved under control number 3150–0120.
(2) In §30.36, NRC Form 314 is approved under control number 3150–0028.
[49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994; 62 FR 52186, Oct. 6, 1997; 62 FR 63639, Dec. 2, 1997; 63 FR 29541, June 1, 1998; 67 FR 67099, Nov. 4, 2002]
§ 30.9 Completeness and accuracy of information.
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(a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects.
(b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements.
[52 FR 49371, Dec. 31, 1987]
§ 30.10 Deliberate misconduct.
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(a) Any licensee, certificate of registration holder, applicant for a license or certificate of registration, employee of a licensee, certificate of registration holder or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or certificate of registration holder or applicant for a license or certificate of registration, who knowingly provides to any licensee, applicant, certificate holder, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's, certificate holder's or applicant's activities in this part, may not:
(1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee, certificate of registration holder, or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Commission; or
(2) Deliberately submit to the NRC, a licensee, certificate of registration holder, an applicant, or a licensee's, certificate holder's or applicant's, contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC.
(b) A person who violates paragraph (a)(1) or (a)(2) of this section may be subject to enforcement action in accordance with the procedures in 10 CFR part 2, subpart B.
(c) For the purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows:
(1) Would cause a licensee, certificate of registration holder or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license issued by the Commission; or
(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, certificate of registration holder, applicant, contractor, or subcontractor.
[63 FR 1896, Jan. 13, 1998]
Exemptions
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§ 30.11 Specific exemptions.
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(a) The Commission may, upon application of any interested person or upon its own initiative, grant such exemptions from the requirements of the regulations in this part and parts 31 through 36 and 39 of this chapter as it determines are authorized by law and will not endanger life or property or the common defense and security and are otherwise in the public interest.
(b) Any licensee's activities are exempt from the requirements of this part to the extent that its activities are licensed under the requirements of part 72 of this chapter.
(c) The Department of Energy is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 60 or 63 of this chapter.
(d) Except as specifically provided in part 61 of this chapter, any licensee is exempt from the requirements of this part to the extent that its activities are subject to the requirements of part 61 of this chapter.
[37 FR 5746, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 FR 8784, Mar. 3, 1975; 43 FR 6921, Feb. 21, 1978; 45 FR 65530, Oct. 3, 1980; 46 FR 13979, Feb. 25, 1981; 47 FR 57480, Dec. 27, 1982; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993; 66 FR 51838, Oct. 11, 2001; 66 FR 55790, Nov. 2, 2001]
§ 30.12 Persons using byproduct material under certain Department of Energy and Nuclear Regulatory Commission contracts.
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Except to the extent that Department facilities or activities of the types subject to licensing pursuant to section 202 of the Energy Reorganization Act of 1974 are involved, any prime contractor of the Department is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such contractor, under his prime contract with the Department manufactures, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material for:
(a) The performance of work for the Department at a United States Government-owned or controlled site, including the transportation of byproduct material to or from such site and the performance of contract services during temporary interruptions of such transportation;
(b) Research in, or development, manufacture, storage, testing or transportation of, atomic weapons or components thereof; or
(c) The use or operation of nuclear reactors or other nuclear devices in a United States Government-owned vehicle or vessel.
In addition to the foregoing exemptions and subject to the requirement for licensing of Department facilities and activities pursuant to section 202 of the Energy Reorganization Act of 1974, any prime contractor or subcontractor of the Department or the Commission is exempt from the requirements for a license set forth in sections 81 and 82 of the Act and from the regulations in this part to the extent that such prime contractor or subcontractor manufacturers, produces, transfers, receives, acquires, owns, possesses, or uses byproduct material under his prime contract or subcontract when the Commission determines that the exemption of the prime contractor or subcontractor is authorized by law; and that, under the terms of the contract or subcontract, there is adequate assurance that the work thereunder can be accomplished without undue risk to the public health and safety.
[40 FR 8784, Mar. 3, 1975, as amended at 43 FR 6921, Feb. 17, 1978]
§ 30.13 Carriers.
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Common and contract carriers, freight forwarders, warehousemen, and the U.S. Postal Service are exempt from the regulations in this part and parts 31 through 36 and 39 of this chapter and the requirements for a license set forth in section 81 of the Act to the extent that they transport or store byproduct material in the regular course of carriage for another or storage incident thereto.
[37 FR 3985, Feb. 25, 1972, as amended at 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.14 Exempt concentrations.
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(a) Except as provided in paragraphs (c) and (d) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns or acquires products or materials containing byproduct material in concentrations not in excess of those listed in §30.70.
(b) This section shall not be deemed to authorize the import of byproduct material or products containing byproduct material.
(c) A manufacturer, processor, or producer of a product or material in an agreement State is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in this part and parts 31, 32, 33, 34, 36 and 39 of this chapter to the extent that he transfers byproduct material contained in a product or material in concentrations not in excess of those specified in §30.70 and introduced into the product or material by a licensee holding a specific license issued by an agreement State, the Commission, or the Atomic Energy Commission expressly authorizing such introduction. This exemption does not apply to the transfer of byproduct material contained in any food, beverage, cosmetic, drug, or other commodity or product designed for ingestion or inhalation by, or application to, a human being.
(d) No person may introduce byproduct material into a product or material knowing or having reason to believe that it will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued pursuant to §32.11 of this chapter or the general license provided in §150.20 of this chapter.
[30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.15 Certain items containing byproduct material.
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(a) Except for persons who apply byproduct material to, or persons who incorporate byproduct material into, the following products, or persons who initially transfer for sale or distribution the following products containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires the following products:
(1) Timepieces or hands or dials containing not more than the following specified quantities of byproduct material and not exceeding the following specified levels of radiation:
(i) 25 millicuries of tritium per timepiece,
(ii) 5 millicuries of tritium per hand,
(iii) 15 millicuries of tritium per dial (bezels when used shall be considered as part of the dial),
(iv) 100 microcuries of promethium 147 per watch or 200 microcuries of promethium 147 per any other timepiece,
(v) 20 microcuries of promethium 147 per watch hand or 40 microcuries of promethium 147 per other timepiece hand,
(vi) 60 microcuries of promethium 147 per watch dial or 120 microcuries of promethium 147 per other timepiece dial (bezels when used shall be considered as part of the dial),
(vii) The levels of radiation from hands and dials containing promethium 147 will not exceed, when measured through 50 milligrams per square centimeter of absorber:
(A) For wrist watches, 0.1 millirad per hour at 10 centimeters from any surface,
(B) For pocket watches, 0.1 millirad per hour at 1 centimeter from any surface,
(C) For any other timepiece, 0.2 millirad per hour at 10 centimeters from any surface.
(2) Lock illuminators containing not more than 15 millicuries of tritium or not more than 2 millicuries of promethium 147 installed in automobile locks. The levels of radiation from each lock illuminator containing promethium 147 will not exceed 1 millirad per hour at 1 centimeter from any surface when measured through 50 milligrams per square centimeter of absorber.
(3) Balances of precision containing not more than 1 millicurie of tritium per balance or not more than 0.5 millicurie of tritium per balance part.
(4) Automobile shift quadrants containing not more than 25 millicuries of tritium.
(5) Marine compasses containing not more than 750 millicuries of tritium gas and other marine navigational instruments containing not more than 250 millicuries of tritium gas.
(6) Thermostat dials and pointers containing not more than 25 millicuries of tritium per thermostat.
(7) [Reserved]
(8) Electron tubes: Provided, That each tube does not contain more than one of the following specified quantities of byproduct material:
(i) 150 millicuries of tritium per microwave receiver protector tube or 10 millicuries of tritium per any other electron tube;
(ii) 1 microcurie of cobalt-60;
(iii) 5 microcuries of nickel-63;
(iv) 30 microcuries of krypton-85;
(v) 5 microcuries of cesium-137;
(vi) 30 microcuries of promethium-147;
And provided further, That the levels of radiation from each electron tube containing byproduct material do not exceed 1 millirad per hour at 1 centimeter from any surface when measured through 7 milligrams per square centimeter of absorber.1
1 For purposes of this paragraph “electron tubes” include spark gap tubes, power tubes, gas tubes including glow lamps, receiving tubes, microwave tubes, indicator tubes, pickup tubes, radiation detection tubes, and any other completely sealed tube that is designed to conduct or control electrical currents.
(9) Ionizing radiation measuring instruments containing, for purposes of internal calibration or standardization, one or more sources of byproduct material: Provided, That;
(i) Each source contains no more than one exempt quantity set forth in §30.71, Schedule B, and
(ii) Each instrument contains no more than 10 exempt quantities. For purposes of this paragraph (a)(9), an instrument's source(s) may contain either one type or different types of radionuclides and an individual exempt quantity may be composed of fractional parts of one or more of the exempt quantities in §30.71, Schedule B, provided that the sum of such fractions shall not exceed unity.
(iii) For purposes of this paragraph (a)(9), 0.05 microcurie of americium-241 is considered an exempt quantity under §30.71, Schedule B.
(10) Spark gap irradiators containing not more than 1 microcurie of cobalt-60 per spark gap irradiator for use in electrically ignited fuel oil burners having a firing rate of at least 3 gallons per hour (11.4 liters per hour).
(b) Any person who desires to apply byproduct material to, or to incorporate byproduct material into, the products exempted in paragraph (a) of this section, or who desires to initially transfer for sale or distribution such products containing byproduct material, should apply for a specific license pursuant to §32.14 of this chapter, which license states that the product may be distributed by the licensee to persons exempt from the regulations pursuant to paragraph (a) of this section.
[31 FR 5316, Apr. 2, 1966]
Editorial Note: For Federal Register citations affecting §30.16, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 30.16 Resins containing scandium-46 and designed for sand-consolidation in oil wells.
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Any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires synthetic plastic resins containing scandium-46 which are designed for sand-consolidation in oil wells, and which have been manufactured or initially transferred for sale or distribution, in accordance with a specific license issued pursuant to §32.17 of this chapter or equivalent regulations of an agreement State. The exemption in this section does not authorize the manufacture or initial transfer for sale or distribution of any resins containing scandium-46.
[32 FR 4241, Mar. 18, 1967, as amended at 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.18 Exempt quantities.
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(a) Except as provided in paragraphs (c) and (d) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34, 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material in individual quantities each of which does not exceed the applicable quantity set forth in §30.71, Schedule B.
(b) Any person who possesses byproduct material received or acquired prior to September 25, 1971 under the general license then provided in §31.4 of this chapter is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 30 through 34 of this chapter to the extent that such person possesses, uses, transfers, or owns such byproduct material.
(c) This section does not authorize for purposes of commercial distribution the production, packaging, repackaging, or transfer of byproduct material or the incorporation of byproduct material into products intended for commercial distribution.
(d) No person may, for purposes of commercial distribution, transfer byproduct material in the individual quantities set forth in §30.71 Schedule B, knowing or having reason to believe that such quantities of byproduct material will be transferred to persons exempt under this section or equivalent regulations of an Agreement State, except in accordance with a license issued under §32.18 of this chapter, which license states that the byproduct material may be transferred by the licensee to persons exempt under this section or the equivalent regulations of an Agreement State.
[35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.19 Self-luminous products containing tritium, krypton-85, or promethium-147.
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(a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution self-luminous products containing tritium, krypton-85, or promethium-147, and except as provided in paragraph (c) of this section, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires tritium, krypton-85, or promethium-147 in self-luminous products manufactured, processed, produced, or initially transferred in accordance with a specific license issued pursuant to §32.22 of this chapter, which license authorizes the initial transfer of the product for use under this section.
(b) Any person who desires to manufacture, process, or produce self-luminous products containing tritium, krypton-85, or promethium-147, or to transfer such products for use pursuant to paragraph (a) of this section, should apply for a license pursuant to §32.22 of this chapter, which license states that the product may be transferred by the licensee to persons exempt from the regulations pursuant to paragraph (a) of this section or equivalent regulations of an Agreement State.
(c) The exemption in paragraph (a) of this section does not apply to tritium, krypton-85, or promethium-147 used in products primarily for frivolous purposes or in toys or adornments.
[34 FR 9026, June 6, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.20 Gas and aerosol detectors containing byproduct material.
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(a) Except for persons who manufacture, process, produce, or initially transfer for sale or distribution gas and aerosol detectors containing byproduct material, any person is exempt from the requirements for a license set forth in section 81 of the Act and from the regulations in parts 20 and 30 through 36 and 39 of this chapter to the extent that such person receives, possesses, uses, transfers, owns, or acquires byproduct material, in gas and aerosol detectors designed to protect life or property from fires and airborne hazards, and manufactured, processed, produced, or initially transferred in accordance with a specific license issued pursuant to §32.26 of this chapter, which license authorizes the initial transfer of the product for use under this section.
(b) Any person who desires to manufacture, process, or produce gas and aerosol detectors containing byproduct material, or to initially transfer such products for use pursuant to paragraph (a) of this section, should apply for a license pursuant to §32.26 of this chapter, which license states that the product may be initially transferred by the licensee to persons exempt from the regulations pursuant to paragraph (a) of this section or equivalent regulations of an Agreement State.
[34 FR 6653, Apr. 18, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.21 Radioactive drug: Capsules containing carbon-14 urea for “in vivo” diagnostic use for humans.
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(a) Except as provided in paragraphs (b) and (c) of this section, any person is exempt from the requirements for a license set forth in Section 81 of the Act and from the regulations in this part and part 35 of this chapter provided that such person receives, possesses, uses, transfers, owns, or acquires capsules containing 37 kBq (1 µCi) carbon-14 urea (allowing for nominal variation that may occur during the manufacturing process) each, for “in vivo” diagnostic use for humans.
(b) Any person who desires to use the capsules for research involving human subjects shall apply for and receive a specific license pursuant to part 35 of this chapter.
(c) Any person who desires to manufacture, prepare, process, produce, package, repackage, or transfer for commercial distribution such capsules shall apply for and receive a specific license pursuant to §32.21 of this chapter.
(d) Nothing in this section relieves persons from complying with applicable FDA, other Federal, and State requirements governing receipt, administration, and use of drugs.
[62 FR 63640, Dec. 2, 1997]
Licenses
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§ 30.31 Types of licenses.
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Licenses for byproduct material are of two types: General and specific.
(a) The Commission issues a specific license to a named person who has filed an application for the license under the provisions of this part and parts 32 through 36, and 39.
(b) A general license is provided by regulation, grants authority to a person for certain activities involving byproduct material, and is effective without the filing of an application with the Commission or the issuance of a licensing document to a particular person. However, registration with the Commission may be required by the particular general license.
[65 FR 79187, Dec. 18, 2000]
§ 30.32 Application for specific licenses.
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(a) A person may file an application on NRC Form 313, “Application for Material License,” in accordance with the instructions in §30.6 of this chapter. Information contained in previous applications, statements or reports filed with the Commission or the Atomic Energy Commission may be incorporated by reference, provided that the reference is clear and specific.
(b) The Commission may at any time after the filing of the original application, and before the expiration of the license, require further statements in order to enable the Commission to determine whether the application should be granted or denied or whether a license should be modified or revoked.
(c) Each application shall be signed by the applicant or licensee or a person duly authorized to act for and on his behalf.
(d) An application for license filed pursuant to the regulations in this part and parts 32 through 35 of this chapter will be considered also as an application for licenses authorizing other activities for which licenses are required by the Act, provided that the application specifies the additional activities for which licenses are requested and complies with regulations of the Commission as to applications for such licenses.
(e) Each application for a byproduct material license, other than a license exempted from part 170 of this chapter, shall be accompanied by the fee prescribed in §170.31 of this chapter. No fee will be required to accompany an application for renewal or amendment of a license, except as provided in §170.31 of this chapter.
(f) An application for a license to receive and possess byproduct material for the conduct of any activity which the Commission has determined pursuant to subpart A of part 51 of this chapter will significantly affect the quality of the environment shall be filed at least 9 months prior to commencement of construction of the plant or facility in which the activity will be conducted and shall be accompanied by any Environmental Report required pursuant to subpart A of part 51 of this chapter.
(g) An application for a specific license to use byproduct material in the form of a sealed source or in a device that contains the sealed source must either—
(1) Identify the source or device by manufacturer and model number as registered with the Commission under §32.210 of this chapter or with an Agreement State; or
(2) Contain the information identified in §32.210(c).
(h) As provided by §30.35, certain applications for specific licenses filed under this part and parts 32 through 35 of this chapter must contain a proposed decommissioning funding plan or a certification of financial assurance for decommissioning. In the case of renewal applications submitted before July 27, 1990, this submittal may follow the renewal application but must be submitted on or before July 27, 1990.
(i)(1) Each application to possess radioactive materials in unsealed form, on foils or plated sources, or sealed in glass in excess of the quantities in §30.72, “Schedule C—Quantities of Radioactive Materials Requiring Consideration of the Need for an Emergency Plan for Responding to a Release,” must contain either:
(i) An evaluation showing that the maximum dose to a person offsite due to a release of radioactive materials would not exceed 1 rem effective dose equivalent or 5 rems to the thyroid; or
(ii) An emergency plan for responding to a release of radioactive material.
(2) One or more of the following factors may be used to support an evaluation submitted under paragraph (i)(1)(i) of this section:
(i) The radioactive material is physically separated so that only a portion could be involved in an accident;
(ii) All or part of the radioactive material is not subject to release during an accident because of the way it is stored or packaged;
(iii) The release fraction in the respirable size range would be lower than the release fraction shown §30.72 due to the chemical or physical form of the material;
(iv) The solubility of the radioactive material would reduce the dose received;
(v) Facility design or engineered safety features in the facility would cause the release fraction to be lower than shown in §30.72;
(vi) Operating restrictions or procedures would prevent a release fraction as large as that shown in §30.72; or
(vii) Other factors appropriate for the specific facility.
(3) An emergency plan for responding to a release of radioactive material submitted under paragraph (i)(1)(ii) of this section must include the following information:
(i) Facility description. A brief description of the licensee's facility and area near the site.
(ii) Types of accidents. An identification of each type of radio-active materials accident for which protective actions may be needed.
(iii) Classification of accidents. A classification system for classifying accidents as alerts or site area emergencies.
(iv) Detection of accidents. Identification of the means of detecting each type of accident in a timely manner.
(v) Mitigation of consequences. A brief description of the means and equipment for mitigating the consequences of each type of accident, including those provided to protect workers onsite, and a description of the program for maintaining the equipment.
(vi) Assessment of releases. A brief description of the methods and equipment to assess releases of radioactive materials.
(vii) Responsibilities. A brief description of the responsibilities of licensee personnel should an accident occur, including identification of personnel responsible for promptly notifying offsite response organizations and the NRC; also responsibilities for developing, maintaining, and updating the plan.
(viii) Notification and coordination. A commitment to and a brief description of the means to promptly notify offsite response organizations and request offsite assistance, including medical assistance for the treatment of contaminated injured onsite workers when appropriate. A control point must be established. The notification and coordination must be planned so that unavailability of some personnel, parts of the facility, and some equipment will not prevent the notification and coordination. The licensee shall also commit to notify the NRC operations center immediately after notification of the appropriate offsite response organizations and not later than one hour after the licensee declares an emergency.1
1 These reporting requirements do not superceed or release licensees of complying with the requirements under the Emergency Planning and Community Right-to-Know Act of 1986, Title III, Pub. L. 99–499 or other state or federal reporting requirements.
(ix) Information to be communicated. A brief description of the types of information on facility status, radioactive releases, and recommended protective actions, if necessary, to be given to offsite response organizations and to the NRC.
(x) Training. A brief description of the frequency, performance objectives and plans for the training that the licensee will provide workers on how to respond to an emergency including any special instructions and orientation tours the licensee would offer to fire, police, medical and other emergency personnel. The training shall familiarize personnel with site-specific emergency procedures. Also, the training shall thoroughly prepare site personnel for their responsibilities in the event of accident scenarios postulated as most probable for the specific site, including the use of team training for such scenarios.
(xi) Safe shutdown. A brief description of the means of restoring the facility to a safe condition after an accident.
(xii) Exercises. Provisions for conducting quarterly communications checks with offsite response organizations and biennial onsite exercises to test response to simulated emergencies. Quarterly communications checks with offsite response organizations must include the check and update of all necessary telephone numbers. The licensee shall invite offsite response organizations to participate in the biennial exercises. Participation of offsite response organizations in biennial exercises although recommended is not required. Exercises must use accident scenarios postulated as most probable for the specific site and the scenarios shall not be known to most exercise participants. The licensee shall critique each exercise using individuals not having direct implementation responsibility for the plan. Critiques of exercises must evaluate the appropriateness of the plan, emergency procedures, facilities, equipment, training of personnel, and overall effectiveness of the response. Deficiencies found by the critiques must be corrected.
(xiii) Hazardous chemicals. A certification that the applicant has met its responsibilities under the Emergency Planning and Community Right-to-Know Act of 1986, title III, Pub. L. 99–499, if applicable to the applicant's activities at the proposed place of use of the byproduct material.
(4) The licensee shall allow the offsite response organizations expected to respond in case of an accident 60 days to comment on the licensee's emergency plan before submitting it to NRC. The licensee shall provide any comments received within the 60 days to the NRC with the emergency plan.
[30 FR 8185, June 26, 1965, as amended at 36 FR 145, Jan. 6, 1971; 37 FR 5747, Mar. 21, 1972; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 49 FR 27924, July 9, 1984; 52 FR 27786, July 24, 1987; 53 FR 24044, June 27, 1988; 54 FR 14060, Apr. 7, 1989; 68 FR 58004, Oct. 10, 2003]
§ 30.33 General requirements for issuance of specific licenses.
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(a) An application for a specific license will be approved if:
(1) The application is for a purpose authorized by the Act;
(2) The applicant's proposed equipment and facilities are adequate to protect health and minimize danger to life or property;
(3) The applicant is qualified by training and experience to use the material for the purpose requested in such manner as to protect health and minimize danger to life or property;
(4) The applicant satisfies any special requirements contained in parts 32 through 36 and 39; and
(5) In the case of an application for a license to receive and possess byproduct material for the conduct of any activity which the Commission determines will significantly affect the quality of the environment, the Director of Nuclear Material Safety and Safeguards or his designee, before commencement of construction of the plant or facility in which the activity will be conducted, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical, and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to such conclusion shall be grounds for denial of a license to receive and possess byproduct material in such plant or facility. As used in this paragraph the term “commencement of construction” means any clearing of land, excavation, or other substantial action that would adversely affect the environment of a site. The term does not mean site exploration, necessary roads for site exploration, borings to determine foundation conditions, or other preconstruction monitoring or testing to establish background information related to the suitability of the site or the protection of environmental values.
(b) Upon a determination that an application meets the requirements of the Act, and the regulations of the Commission, the Commission will issue a specific license authorizing the possession and use of byproduct material (Form NRC 374, “Byproduct Material License”).
[30 FR 8185, June 26, 1965, as amended at 36 FR 12731, July 7, 1971; 37 FR 5747. Mar. 21, 1972; 39 FR 26279, July 18, 1974; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 1984; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.34 Terms and conditions of licenses.
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(a) Each license issued pursuant to the regulations in this part and the regulations in parts 31 through 36 and 39 of this chapter shall be subject to all the provisions of the Act, now or hereafter in effect, and to all valid rules, regulations and orders of the Commission.
(b) No license issued or granted pursuant to the regulations in this part and parts 31 through 36, and 39 nor any right under a license shall be transferred, assigned or in any manner disposed of, either voluntarily or involuntarily, directly or indirectly, through transfer of control of any license to any person, unless the Commission shall, after securing full information, find that the transfer is in accordance with the provisions of the Act and shall give its consent in writing.
(c) Each person licensed by the Commission pursuant to the regulations in this part and parts 31 through 36 and 39 shall confine his possession and use of the byproduct material to the locations and purposes authorized in the license. Except as otherwise provided in the license, a license issued pursuant to the regulations in this part and parts 31 through 36 and 39 of this chapter shall carry with it the right to receive, acquire, own, and possess byproduct material. Preparation for shipment and transport of byproduct material shall be in accordance with the provisions of part 71 of this chapter.
(d) Each license issued pursuant to the regulations in this part and parts 31 through 36 and 39 shall be deemed to contain the provisions set forth in section 183b.–d., inclusive, of the Act, whether or not these provisions are expressly set forth in the license.
(e) The Commission may incorporate, in any license issued pursuant to the regulations in this part and parts 31 through 36 and 39, at the time of issuance, or thereafter by appropriate rule, regulation or order, such additional requirements and conditions with respect to the licensee's receipt, possession, use and transfer of byproduct material as it deems appropriate or necessary in order to:
(1) Promote the common defense and security;
(2) Protect health or to minimize danger to life or property;
(3) Protect restricted data;
(4) Require such reports and the keeping of such records, and to provide for such inspections of activities under the license as may be necessary or appropriate to effectuate the purposes of the Act and regulations thereunder.
(f) Licensees required to submit emergency plans by §30.32(i) shall follow the emergency plan approved by the Commission. The licensee may change the approved without Commission approval only if the changes do not decrease the effectiveness of the plan. The licensee shall furnish the change to the appropriate NRC Regional Office specified in §30.6 and to affected offsite response organizations within six months after the change is made. Proposed changes that decrease, or potentially decrease, the effectiveness of the approved emergency plan may not be implemented without prior application to and prior approval by the Commission.
(g) Each licensee preparing technetium-99m radiopharmaceuticals from molybdenum-99/technetium-99m generators shall test the generator eluates for molybdenum-99 breakthrough in accordance with §35.204 of this chapter. The licensee shall record the results of each test and retain each record for three years after the record is made.
(h)(1) Each general licensee that is required to register by §31.5(c)(13) of this chapter and each specific licensee shall notify the appropriate NRC Regional Administrator, in writing, immediately following the filing of a voluntary or involuntary petition for bankruptcy under any chapter of title 11 (Bankruptcy) of the United States Code by or against:
(i) The licensee;
(ii) An entity (as that term is defined in 11 U.S.C. 101(14)) controlling the licensee or listing the license or licensee as property of the estate; or
(iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of the licensee.
(2) This notification must indicate:
(i) The bankruptcy court in which the petition for bankruptcy was filed; and
(ii) The date of the filing of the petition.
(i) Security requirements for portable gauges. Each portable gauge licensee shall use a minimum of two independent physical controls that form tangible barriers to secure portable gauges from unauthorized removal, whenever portable gauges are not under the control and constant surveillance of the licensee.
[30 FR 8185, June 26, 1965, as amended at 38 FR 33969, Dec. 10, 1973; 43 FR 6922, Feb. 17, 1978; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 1987; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 53 FR 23383, June 22, 1988; 54 FR 14061, Apr. 7, 1989; 58 FR 7736, Feb. 9, 1993; 59 FR 61780, Dec. 2, 1994; 65 FR 79187, Dec. 18, 2000; 70 FR 2009, Jan. 12, 2005]
§ 30.35 Financial assurance and recordkeeping for decommissioning.
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(a)(1) Each applicant for a specific license authorizing the possession and use of unsealed byproduct material of half-life greater than 120 days and in quantities exceeding 105 times the applicable quantities set forth in appendix B to part 30 shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must also be submitted when a combination of isotopes is involved if R divided by 105 is greater than 1 (unity rule), where R is defined here as the sum of the ratios of the quantity of each isotope to the applicable value in appendix B to part 30.
(2) Each holder of, or applicant for, any specific license authorizing the possession and use of sealed sources or plated foils of half-life greater than 120 days and in quantities exceeding 1012 times the applicable quantities set forth in appendix B to part 30 (or when a combination of isotopes is involved if R, as defined in §30.35(a)(1), divided by 1012 is greater than 1), shall submit a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must be submitted to NRC by December 2, 2005.
(b) Each applicant for a specific license authorizing possession and use of byproduct material of half-life greater than 120 days and in quantities specified in paragraph (d) of this section shall either—
(1) Submit a decommissioning funding plan as described in paragraph (e) of this section; or
(2) Submit a certification that financial assurance for decommissioning has been provided in the amount prescribed by paragraph (d) of this section using one of the methods described in paragraph (f) of this section. For an applicant, this certification may state that the appropriate assurance will be obtained after the application has been approved and the license issued but before the receipt of licensed material. If the applicant defers execution of the financial instrument until after the license has been issued, a signed original of the financial instrument obtained to satisfy the requirements of paragraph (f) of this section must be submitted to NRC before receipt of licensed material. If the applicant does not defer execution of the financial instrument, the applicant shall submit to NRC, as part of the certification, a signed original of the financial instrument obtained to satisfy the requirements of paragraph (f) of this section.
(c)(1) Each holder of a specific license issued on or after July 27, 1990, which is of a type described in paragraph (a) or (b) of this section, shall provide financial assurance for decommissioning in accordance with the criteria set forth in this section.
(2) Each holder of a specific license issued before July 27, 1990, and of a type described in paragraph (a) of this section shall submit a decommissioning funding plan as described in paragraph (e) of this section or a certification of financial assurance for decommissioning in an amount at least equal to $1,125,000 in accordance with the criteria set forth in this section. If the licensee submits the certification of financial assurance rather than a decommissioning funding plan, the licensee shall include a decommissioning funding plan in any application for license renewal.
(3) Each holder of a specific license issued before July 27, 1990, and of a type described in paragraph (b) of this section shall submit, on or before July 27, 1990, a decommissioning funding plan as described, in paragraph (e) of this section, or a certification of financial assurance for decommissioning in accordance with the criteria set forth in this section.
(4) Any licensee who has submitted an application before July 27, 1990, for renewal of license in accordance with §30.37 shall provide financial assurance for decommissioning in accordance with paragraphs (a) and (b) of this section. This assurance must be submitted when this rule becomes effective November 24, 1995.
(5) Waste collectors and waste processors, as defined in 10 CFR part 20, Appendix G, must provide financial assurance in an amount based on a decommissioning funding plan as described in paragraph (e) of this section. The decommissioning funding plan must include the cost of disposal of the maximum amount (curies) of radioactive material permitted by license, and the cost of disposal of the maximum quantity, by volume, of radioactive material which could be present at the licensee's facility at any time, in addition to the cost to remediate the licensee's site to meet the license termination criteria of 10 CFR part 20. The decommissioning funding plan must be submitted by December 2, 2005.
(d) Table of required amounts of financial assurance for decommissioning by quantity of material. Licensees required to submit the $1,125,000 amount must do so by December 2, 2004. Licensees required to submit the $113,000 or $225,000 amount must do so by June 2, 2005. Licensees having possession limits exceeding the upper bounds of this table must base financial assurance on a decommissioning funding plan.
------------------------------------------------------------------------ ------------------------------------------------------------------------Greater than 10\4\ but less than or equal to 10\5\ times $1,125,000 the applicable quantities of appendix B to part 30 in unsealed form. (For a combination of isotopes, if R, as defined in § 30.35(a)(1), divided by 10\4\ is greater than 1 but R divided by 10\5\ is less than or equal to 1).Greater than 10\3\ but less than or equal to 10\4\ times 225,000 the applicable quantities of appendix B to part 30 in unsealed form. (For a combination of isotopes, if R, as defined in § 30.35(a)(1), divided by 10\3\ is greater than 1 but R divided by 10\4\ is less than or equal to 1).Greater than 10\10\ but less than or equal to 10\12\ times 113,000 the applicable quantities of appendix B to part 30 in sealed sources or plated foils. (For a combination of isotopes, if R, as defined in § 30.35(a)(1), divided by 10\10\ is greater than, 1, but R divided by 10\12\ is less than or equal to 1)..................................------------------------------------------------------------------------
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(e) Each decommissioning funding plan must contain a cost estimate for decommissioning and a description of the method of assuring funds for decommissioning from paragraph (f) of this section, including means for adjusting cost estimates and associated funding levels periodically over the life of the facility. Cost estimates must be adjusted at intervals not to exceed 3 years. The decommissioning funding plan must also contain a certification by the licensee that financial assurance for decommissioning has been provided in the amount of the cost estimate for decommissioning and a signed original of the financial instrument obtained to satisfy the requirements of paragraph (f) of this section.
(f) Financial assurance for decommissioning must be provided by one or more of the following methods:
(1) Prepayment. Prepayment is the deposit prior to the start of operation into an account segregated from licensee assets and outside the licensee's administrative control of cash or liquid assets such that the amount of funds would be sufficient to pay decommissioning costs. Prepayment may be in the form of a trust, escrow account, government fund, certificate of deposit, or deposit of government securities.
(2) A surety method, insurance, or other guarantee method. These methods guarantee that decommissioning costs will be paid. A surety method may be in the form of a surety bond, letter of credit, or line of credit. A parent company guarantee of funds for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix A to this part. A parent company guarantee may not be used in combination with other financial methods to satisfy the requirements of this section. For commercial corporations that issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in appendix C to this part. For commercial companies that do not issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs may be used if the guarantee and test are as contained in appendix D to this part. For nonprofit entities, such as colleges, universities, and nonprofit hospitals, a guarantee of funds by the applicant or licensee may be used if the guarantee and test are as contained in appendix E to this part. A guarantee by the applicant or licensee may not be used in combination with any other financial methods used to satisfy the requirements of this section or in any situation where the applicant or licensee has a parent company holding majority control of the voting stock of the company. Any surety method or insurance used to provide financial assurance for decommissioning must contain the following conditions:
(i) The surety method or insurance must be open-ended or, if written for a specified term, such as five years, must be renewed automatically unless 90 days or more prior to the renewal date, the issuer notifies the Commission, the beneficiary, and the licensee of its intention not to renew. The surety method or insurance must also provide that the full face amount be paid to the beneficiary automatically prior to the expiration without proof of forfeiture if the licensee fails to provide a replacement acceptable to the Commission within 30 days after receipt of notification of cancellation.
(ii) The surety method or insurance must be payable to a trust established for decommissioning costs. The trustee and trust must be acceptable to the Commission. An acceptable trustee includes an appropriate State or Federal government agency or an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(iii) The surety method or insurance must remain in effect until the Commission has terminated the license.
(3) An external sinking fund in which deposits are made at least annually, coupled with a surety method or insurance, the value of which may decrease by the amount being accumulated in the sinking fund. An external sinking fund is a fund established and maintained by setting aside funds periodically in an account segregated from licensee assets and outside the licensee's administrative control in which the total amount of funds would be sufficient to pay decommissioning costs at the time termination of operation is expected. An external sinking fund may be in the form of a trust, escrow account, government fund, certificate of deposit, or deposit of government securities. The surety or insurance provisions must be as stated in paragraph (f)(2) of this section.
(4) In the case of Federal, State, or local government licensees, a statement of intent containing a cost estimate for decommissioning or an amount based on the table in paragraph (d) of this section, and indicating that funds for decommissioning will be obtained when necessary.
(5) When a government entity is assuming custody and ownership of a site, an arrangement that is deemed acceptable by such government entity.
(g) Each person licensed under this part or parts 32 through 36 and 39 of this chapter shall keep records of information important to the decommissioning of a facility in an identified location until the site is released for unrestricted use. Before licensed activities are transferred or assigned in accordance with §30.34(b), licensees shall transfer all records described in this paragraph to the new licensee. In this case, the new licensee will be responsible for maintaining these records until the license is terminated. If records important to the decommissioning of a facility are kept for other purposes, reference to these records and their locations may be used. Information the Commission considers important to decommissioning consists of—
(1) Records of spills or other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site. These records may be limited to instances when contamination remains after any cleanup procedures or when there is reasonable likelihood that contaminants may have spread to inaccessible areas as in the case of possible seepage into porous materials such as concrete. These records must include any known information on identification of involved nuclides, quantities, forms, and concentrations.
(2) As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials are used and/or stored, and of locations of possible inaccessible contamination such as buried pipes which may be subject to contamination. If required drawings are referenced, each relevant document need not be indexed individually. If drawings are not available, the licensee shall substitute appropriate records of available information concerning these areas and locations.
(3) Except for areas containing only sealed sources (provided the sources have not leaked or no contamination remains after any leak) or byproduct materials having only half-lives of less than 65 days, a list contained in a single document and updated every 2 years, of the following:
(i) All areas designated and formerly designated restricted areas as defined in 10 CFR 20.1003 (For requirements prior to January 1, 1994, see 10 CFR 20.3 as contained in the CFR edition revised as of January 1, 1993.);
(ii) All areas outside of restricted areas that require documentation under §30.35(g)(1).
(iii) All areas outside of restricted areas where current and previous wastes have been buried as documented under 10 CFR 20.2108; and
(iv) All areas outside of restricted areas that contain material such that, if the license expired, the licensee would be required to either decontaminate the area to meet the criteria for decommissioning in 10 CFR part 20, subpart E, or apply for approval for disposal under 10 CFR 20.2002.
(4) Records of the cost estimate performed for the decommissioning funding plan or of the amount certified for decommissioning, and records of the funding method used for assuring funds if either a funding plan or certification is used.
[53 FR 24044, June 27, 1988, as amended at 56 FR 23471, May 21, 1991; 58 FR 39633, July 26, 1993; 58 FR 67659, Dec. 22, 1993; 58 FR 68730, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 38238, July 26, 1995; 61 FR 24673, May 16, 1996; 62 FR 39090, July 21, 1997; 63 FR 29541, June 1, 1998; 68 FR 57335, Oct. 3, 2003]
§ 30.36 Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.
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(a)(1) Except as provided in paragraph (a)(2) of this section, each specific license expires at the end of the day on the expiration date stated in the license unless the licensee has filed an application for renewal under §30.37 not less than 30 days before the expiration date stated in the existing license (or, for those licenses subject to paragraph (a)(2) of this section, 30 days before the deemed expiration date in that paragraph). If an application for renewal has been filed at least 30 days before the expiration date stated in the existing license (or, for those licenses subject to paragraph (a)(2) of this section, 30 days before the deemed expiration date in that paragraph), the existing license expires at the end of the day on which the Commission makes a final determination to deny the renewal application or, if the determination states an expiration date, the expiration date stated in the determination.
(2) Each specific license that has an expiration date after July 1, 1995, and is not one of the licenses described in paragraph (a)(3) of this section, shall be deemed to have an expiration date that is five years after the expiration date stated in the current license.
(3) The following specific licenses are not subject to, or otherwise affected by, the provisions of paragraph (a)(2) of this section:
(i) Specific licenses for which, on February 15, 1996, an evaluation or an emergency plan is required in accordance with §30.32(i);
(ii) Specific licenses whose holders are subject to the financial assurance requirements specified in 10 CFR 30.35, and on February 15, 1996, the holders either:
(A) Have not submitted a decommissioning funding plan or certification of financial assurance for decommissioning; or
(B) Have not received written notice that the decommissioning funding plan or certification of financial assurance for decommissioning is acceptable;
(iii) Specific licenses whose holders are listed in the SDMP List published in NUREG 1444, Supplement 1 (November 1995);
(iv) Specific licenses whose issuance, amendment, or renewal, as of February 15, 1996, is not a categorical exclusion under 10 CFR 51.22(c)(14) and, therefore, need an environmental assessment or environmental impact statement pursuant to subpart A of part 51 of this chapter;
(v) Specific licenses whose holders have not had at least one NRC inspection of licensed activities before February 15, 1996;
(vi) Specific licenses whose holders, as the result of the most recent NRC inspection of licensed activities conducted before February 15, 1996, have been:
(A) Cited for a Severity Level I, II, or III violation in a Notice of Violation;
(B) Subject to an Order issued by the NRC; or
(C) Subject to a Confirmatory Action Letter issued by the NRC.
(vii) Specific licenses with expiration dates before July 1, 1995, for which the holders have submitted applications for renewal under 10 CFR 30.37 of this part.
(b) Each specific license revoked by the Commission expires at the end of the day on the date of the Commission's final determination to revoke the license, or on the expiration date stated in the determination, or as otherwise provided by Commission Order.
(c) Each specific license continues in effect, beyond the expiration date if necessary, with respect to possession of byproduct material until the Commission notifies the licensee in writing that the license is terminated. During this time, the licensee shall—
(1) Limit actions involving byproduct material to those related to decommissioning; and
(2) Continue to control entry to restricted areas until they are suitable for release in accordance with NRC requirements.
(d) Within 60 days of the occurrence of any of the following, consistent with the administrative directions in §30.6, each licensee shall provide notification to the NRC in writing of such occurrence, and either begin decommissioning its site, or any separate building or outdoor area that contains residual radioactivity so that the building or outdoor area is suitable for release in accordance with NRC requirements, or submit within 12 months of notification a decommissioning plan, if required by paragraph (g)(1) of this section, and begin decommissioning upon approval of that plan if—
(1) The license has expired pursuant to paragraph (a) or (b) of this section; or
(2) The licensee has decided to permanently cease principal activities, as defined in this part, at the entire site or in any separate building or outdoor area that contains residual radioactivity such that the building or outdoor area is unsuitable for release in accordance with NRC requirements; or
(3) No principal activities under the license have been conducted for a period of 24 months; or
(4) No principal activities have been conducted for a period of 24 months in any separate building or outdoor area that contains residual radioactivity such that the building or outdoor area is unsuitable for release in accordance with NRC requirements.
(e) Coincident with the notification required by paragraph (d) of this section, the licensee shall maintain in effect all decommissioning financial assurances established by the licensee pursuant to §30.35 in conjunction with a license issuance or renewal or as required by this section. The amount of the financial assurance must be increased, or may be decreased, as appropriate, to cover the detailed cost estimate for decommissioning established pursuant to paragraph (g)(4)(v) of this section.
(1) Any licensee who has not provided financial assurance to cover the detailed cost estimate submitted with the decommissioning plan shall do so when this rule becomes effective November 24, 1995.
(2) Following approval of the decommissioning plan, a licensee may reduce the amount of the financial assurance as decommissioning proceeds and radiological contamination is reduced at the site with the approval of the Commission.
(f) The Commission may grant a request to extend the time periods established in paragraph (d) if the Commission determines that this relief is not detrimental to the public health and safety and is otherwise in the public interest. The request must be submitted no later than 30 days before notification pursuant to paragraph (d) of this section. The schedule for decommissioning set forth in paragraph (d) of this section may not commence until the Commission has made a determination on the request.
(g)(1) A decommissioning plan must be submitted if required by license condition or if the procedures and activities necessary to carry out decommissioning of the site or separate building or outdoor area have not been previously approved by the Commission and these procedures could increase potential health and safety impacts to workers or to the public, such as in any of the following cases:
(i) Procedures would involve techniques not applied routinely during cleanup or maintenance operations;
(ii) Workers would be entering areas not normally occupied where surface contamination and radiation levels are significantly higher than routinely encountered during operation;
(iii) Procedures could result in significantly greater airborne concentrations of radioactive materials than are present during operation; or
(iv) Procedures could result in significantly greater releases of radioactive material to the environment than those associated with operation.
(2) The Commission may approve an alternate schedule for submittal of a decommissioning plan required pursuant to paragraph (d) of this section if the Commission determines that the alternative schedule is necessary to the effective conduct of decommissioning operations and presents no undue risk from radiation to the public health and safety and is otherwise in the public interest.
(3) Procedures such as those listed in paragraph (g)(1) of this section with potential health and safety impacts may not be carried out prior to approval of the decommissioning plan.
(4) The proposed decommissioning plan for the site or separate building or outdoor area must include:
(i) A description of the conditions of the site or separate building or outdoor area sufficient to evaluate the acceptability of the plan;
(ii) A description of planned decommissioning activities;
(iii) A description of methods used to ensure protection of workers and the environment against radiation hazards during decommissioning;
(iv) A description of the planned final radiation survey; and
(v) An updated detailed cost estimate for decommissioning, comparison of that estimate with present funds set aside for decommissioning, and a plan for assuring the availability of adequate funds for completion of decommissioning.
(vi) For decommissioning plans calling for completion of decommissioning later than 24 months after plan approval, the plan shall include a justification for the delay based on the criteria in paragraph (i) of this section.
(5) The proposed decommissioning plan will be approved by the Commission if the information therein demonstrates that the decommissioning will be completed as soon as practicable and that the health and safety of workers and the public will be adequately protected.
(h)(1) Except as provided in paragraph (i) of this section, licensees shall complete decommissioning of the site or separate building or outdoor area as soon as practicable but no later than 24 months following the initiation of decommissioning.
(2) Except as provided in paragraph (i) of this section, when decommissioning involves the entire site, the licensee shall request license termination as soon as practicable but no later than 24 months following the initiation of decommissioning.
(i) The Commission may approve a request for an alternative schedule for completion of decommissioning of the site or separate building or outdoor area, and license termination if appropriate, if the Commission determines that the alternative is warranted by consideration of the following:
(1) Whether it is technically feasible to complete decommissioning within the allotted 24-month period;
(2) Whether sufficient waste disposal capacity is available to allow completion of decommissioning within the allotted 24-month period;
(3) Whether a significant volume reduction in wastes requiring disposal will be achieved by allowing short-lived radionuclides to decay;
(4) Whether a significant reduction in radiation exposure to workers can be achieved by allowing short-lived radionuclides to decay; and
(5) Other site-specific factors which the Commission may consider appropriate on a case-by-case basis, such as the regulatory requirements of other government agencies, lawsuits, ground-water treatment activities, monitored natural ground-water restoration, actions that could result in more environmental harm than deferred cleanup, and other factors beyond the control of the licensee.
(j) As the final step in decommissioning, the licensee shall—
(1) Certify the disposition of all licensed material, including accumulated wastes, by submitting a completed NRC Form 314 or equivalent information; and
(2) Conduct a radiation survey of the premises where the licensed activities were carried out and submit a report of the results of this survey, unless the licensee demonstrates in some other manner that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E. The licensee shall, as appropriate—
(i) Report levels of gamma radiation in units of millisieverts (microroentgen) per hour at one meter from surfaces, and report levels of radioactivity, including alpha and beta, in units of megabecquerels (disintegrations per minute or microcuries) per 100 square centimeters—removable and fixed—for surfaces, megabecquerels (microcuries) per milliliter for water, and becquerels (picocuries) per gram for solids such as soils or concrete; and
(ii) Specify the survey instrument(s) used and certify that each instrument is properly calibrated and tested.
(k) Specific licenses, including expired licenses, will be terminated by written notice to the licensee when the Commission determines that:
(1) Byproduct material has been properly disposed;
(2) Reasonable effort has been made to eliminate residual radioactive contamination, if present; and
(3)(i) A radiation survey has been performed which demonstrates that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E; or
(ii) Other information submitted by the licensee is sufficient to demonstrate that the premises are suitable for release in accordance with the criteria for decommissioning in 10 CFR part 20, subpart E.
(4) Records required by §30.51 (d) and (f) have been received.
[59 FR 36034, July 15, 1994, as amended at 60 FR 38238, July 26, 1995; 61 FR 1114, Jan. 16, 1996; 61 FR 24673, May 16, 1996; 61 FR 29637, June 12, 1996; 62 FR 39090, July 21, 1997]
§ 30.37 Application for renewal of licenses.
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(a) Application for renewal of a specific license must be filed on NRC Form 313 and in accordance with §30.32.
(b) If any licensee granted the extension described in 10 CFR 30.36(a)(2) has a currently pending renewal application for the extended license, that application will be considered withdrawn by the licensee and any renewal fees paid by the licensee for that application will be refunded.
[59 FR 36035, July 15, 1994, as amended at 61 FR 1114, Jan. 16, 1996; 66 FR 64738, Dec. 14, 2001]
§ 30.38 Application for amendment of licenses.
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Applications for amendment of a license shall be filed on Form NRC–313 in accordance with §30.32 and shall specify the respects in which the licensee desires its license to be amended and the grounds for the amendment.
[49 FR 19625, May 9, 1984]
§ 30.39 Commission action on applications to renew or amend.
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In considering an application by a licensee to renew or amend his license the Commission will apply the applicable criteria set forth in §30.33 and parts 32 through 36 and 39 of this chapter.
[30 FR 8185, June 26, 1965, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.41 Transfer of byproduct material.
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(a) No licensee shall transfer byproduct material except as authorized pursuant to this section.
(b) Except as otherwise provided in his license and subject to the provisions of paragraphs (c) and (d) of this section, any licensee may transfer byproduct material:
(1) To the Department;
(2) To the agency in any Agreement State which regulates radioactive material pursuant to an agreement under section 274 of the Act;
(3) To any person exempt from the licensing requirements of the Act and regulations in this part, to the extent permitted under such exemption;
(4) To any person in an Agreement State, subject to the jurisdiction of that State, who has been exempted from the licensing requirements and regulations of that State, to the extent permitted under such exemption;
(5) To any person authorized to receive such byproduct material under terms of a specific license or a general license or their equivalents issued by the Atomic Energy Commission, the Commission, or an Agreement State;
(6) To a person abroad pursuant to an export license issued under part 110 of this chapter; or
(7) As otherwise authorized by the Commission in writing.
(c) Before transferring byproduct material to a specific licensee of the Commission or an Agreement State or to a general licensee who is required to register with the Commission or with an Agreement State prior to receipt of the byproduct material, the licensee transferring the material shall verify that the transferee's license authorizes the receipt of the type, form, and quantity of byproduct material to be transferred.
(d) The following methods for the verification required by paragraph (c) of this section are acceptable:
(1) The transferor may have in his possession, and read, a current copy of the transferee's specific license or registration certificate;
(2) The transferor may have in his possession a written certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of byproduct material to be transferred, specifying the license or registration certificate number, issuing agency and expiration date;
(3) For emergency shipments the transferor may accept oral certification by the transferee that he is authorized by license or registration certificate to receive the type, form, and quantity of byproduct material to be transferred, specifying the license or registration certificate number, issuing agency and expiration date: Provided, That the oral certification is confirmed in writing within 10 days;
(4) The transferor may obtain other sources of information compiled by a reporting service from official records of the Commission or the licensing agency of an Agreement State as to the identity of licensees and the scope and expiration dates of licenses and registration; or
(5) When none of the methods of verification described in paragraphs (d)(1) to (4) of this section are readily available or when a transferor desires to verify that information received by one of such methods is correct or up-to-date, the transferor may obtain and record confirmation from the Commission or the licensing agency of an Agreement State that the transferee is licensed to receive the byproduct material.
[38 FR 33969, Dec. 10, 1973, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 6922, Feb. 17, 1978]
Records, Inspections, Tests, and Reports
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§ 30.50 Reporting requirements.
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(a) Immediate report. Each licensee shall notify the NRC as soon as possible but not later than 4 hours after the discovery of an event that prevents immediate protective actions necessary to avoid exposures to radiation or radioactive materials that could exceed regulatory limits or releases of licensed material that could exceed regulatory limits (events may include fires, explosions, toxic gas releases, etc.).
(b) Twenty-four hour report. Each licensee shall notify the NRC within 24 hours after the discovery of any of the following events involving licensed material:
(1) An unplanned contamination event that:
(i) Requires access to the contaminated area, by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the area;
(ii) Involves a quantity of material greater than five times the lowest annual limit on intake specified in appendix B of §§20.1001–20.2401 of 10 CFR part 20 for the material; and
(iii) Has access to the area restricted for a reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination.
(2) An event in which equipment is disabled or fails to function as designed when:
(i) The equipment is required by regulation or license condition to prevent releases exceeding regulatory limits, to prevent exposures to radiation and radioactive materials exceeding regulatory limits, or to mitigate the consequences of an accident;
(ii) The equipment is required to be available and operable when it is disabled or fails to function; and
(iii) No redundant equipment is available and operable to perform the required safety function.
(3) An event that requires unplanned medical treatment at a medical facility of an individual with spreadable radioactive contamination on the individual's clothing or body.
(4) An unplanned fire or explosion damaging any licensed material or any device, container, or equipment containing licensed material when:
(i) The quantity of material involved is greater than five times the lowest annual limit on intake specified in appendix B of §§20.1001–20.2401 of 10 CFR part 20 for the material; and
(ii) The damage affects the integrity of the licensed material or its container.
(c) Preparation and submission of reports. Reports made by licensees in response to the requirements of this section must be made as follows:
(1) Licensees shall make reports required by paragraphs (a) and (b) of this section by telephone to the NRC Operations Center.1 To the extent that the information is available at the time of notification, the information provided in these reports must include:
1 The commercial telephone number for the NRC Operations Center is (301) 816–5100.
(i) The caller's name and call back telephone number;
(ii) A description of the event, including date and time;
(iii) The exact location of the event;
(iv) The isotopes, quantities, and chemical and physical form of the licensed material involved; and
(v) Any personnel radiation exposure data available.
(2) Written report. Each licensee who makes a report required by paragraph (a) or (b) of this section shall submit a written follow-up report within 30 days of the initial report. Written reports prepared pursuant to other regulations may be submitted to fulfill this requirement if the reports contain all of the necessary information and the appropriate distribution is made. These written reports must be sent to the NRC using an appropriate method listed in §30.6(a); and a copy must be sent to the appropriate NRC Regional office listed in appendix D to part 20 of this chapter. The reports must include the following:
(i) A description of the event, including the probable cause and the manufacturer and model number (if applicable) of any equipment that failed or malfunctioned;
(ii) The exact location of the event;
(iii) The isotopes, quantities, and chemical and physical form of the licensed material involved;
(iv) Date and time of the event;
(v) Corrective actions taken or planned and the results of any evaluations or assessments; and
(vi) The extent of exposure of individuals to radiation or to radioactive materials without identification of individuals by name.
(3) The provisions of §30.50 do not apply to licensees subject to the notification requirements in §50.72. They do apply to those part 50 licensees possessing material licensed under part 30, who are not subject to the notification requirements in §50.72.
[56 FR 40767, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 68 FR 58804, Oct. 10, 2003]
§ 30.51 Records.
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(a) Each person who receives byproduct material pursuant to a license issued pursuant to the regulations in this part and parts 31 through 36 of this chapter shall keep records showing the receipt, transfer, and disposal of the byproduct material as follows:
(1) The licensee shall retain each record of receipt of byproduct material as long as the material is possessed and for three years following transfer or disposal of the material.
(2) The licensee who transferred the material shall retain each record of transfer for three years after each transfer unless a specific requirement in another part of the regulations in this chapter dictates otherwise.
(3) The licensee who disposed of the material shall retain each record of disposal of byproduct material until the Commission terminates each license that authorizes disposal of the material.
(b) The licensee shall retain each record that is required by the regulations in this part and parts 31 through 36 of this chapter or by license condition for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the record must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(c)(1) Records which must be maintained pursuant to this part and parts 31 through 36 of this chapter may be the original or a reproduced copy or microform if such reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records.
(2) If there is a conflict between the Commission's regulations in this part and parts 31 through 36 and 39 of this chapter, license condition, or other written Commission approval or authorization pertaining to the retention period for the same type of record, the retention period specified in the regulations in this part and parts 31 through 36 and 39 of this chapter for such records shall apply unless the Commission, pursuant to §30.11, has granted a specific exemption from the record retention requirements specified in the regulations in this part or parts 31 through 36 and 39 of this chapter.
(d) Prior to license termination, each licensee authorized to possess radioactive material with a half-life greater than 120 days, in an unsealed form, shall forward the following records to the appropriate NRC Regional Office:
(1) Records of disposal of licensed material made under §§20.2002 (including burials authorized before January 28, 19811 ), 20.2003, 20.2004, 20.2005; and
1 A previous §20.304 permitted burial of small quantities of licensed materials in soil before January 28, 1981, without specific Commission authorization. See §20.304 contained in the 10 CFR, parts 0 to 199, edition revised as of January 1, 1981.
(2) Records required by §20.2103(b)(4).
(e) If licensed activities are transferred or assigned in accordance with §30.34(b), each licensee authorized to possess radioactive material, with a half-life greater than 120 days, in an unsealed form, shall transfer the following records to the new licensee and the new licensee will be responsible for maintaining these records until the license is terminated:
(1) Records of disposal of licensed material made under §§20.2002 (including burials authorized before January 28, 19811 ), 20.2003, 20.2004, 20.2005; and
(2) Records required by §20.2103(b)(4).
(f) Prior to license termination, each licensee shall forward the records required by §30.35(g) to the appropriate NRC Regional Office.
[41 FR 18301, May 5, 1976, as amended at 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 58 FR 7736, Feb. 9, 1993; 61 FR 24673, May, 16, 1996]
§ 30.52 Inspections.
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(a) Each licensee shall afford to the Commission at all reasonable times opportunity to inspect byproduct material and the premises and facilities wherein byproduct material is used or stored.
(b) Each licensee shall make available to the Commission for inspection, upon reasonable notice, records kept by him pursuant to the regulations in this chapter.
[30 FR 8185, June 26, 1965]
§ 30.53 Tests.
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Each licensee shall perform, or permit the Commission to perform, such tests as the Commission deems appropriate or necessary for the administration of the regulations in this part and parts 31 through 36 and 39 of this chapter, including tests of:
(a) Byproduct material;
(b) Facilities wherein byproduct material is utilized or stored;
(c) Radiation detection and monitoring instruments; and
(d) Other equipment and devices used in connection with the utilization or storage of byproduct material.
[30 FR 8185, June 26, 1965, as amended by 43 FR 6922, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]
§ 30.55 Tritium reports.
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(a)–(b) [Reserved]
(c) Except as specified in paragraph (d) of this section, each licensee who is authorized to possess tritium shall report promptly to the appropriate NRC Regional Office listed in appendix D of part 20 of this chapter by telephone and telegraph, mailgram, or facsimile any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 10 curies of such material at any one time or more than 100 curies of such material in any one calendar year. The initial report shall be followed within a period of fifteen (15) days by a written report submitted to the appropriate NRC Regional Office which sets forth the details of the incident and its consequences. Copies of such written report shall be sent to the Director of the NRC's Office of Nuclear Material Safety and Safeguards, using an appropriate method listed in §30.6(a). Subsequent to the submission of the written report required by this paragraph, the licensee shall promptly inform the Office of Nuclear Material Safety and Safeguards by means of a written report of any substantive additional information, which becomes available to the licensee, concerning an attempted or apparent theft or unlawful diversion of tritium.
(d) The reports described in this section are not required for tritium possessed pursuant to a general license provided in part 31 of this chapter or for tritium contained in spent fuel.
[37 FR 9208, May 6, 1972, as amended at 38 FR 1271, Jan. 11, 1973; 38 FR 2330, Jan. 24, 1973; 41 FR 16446, Apr. 19, 1976; 43 FR 6922, Feb. 17, 1978; 46 FR 55085, Nov. 6, 1981; 49 FR 24707, June 15, 1984; 52 FR 31611, Aug. 21, 1987; 68 FR 58804, Oct. 10, 2003]
Enforcement
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§ 30.61 Modification and revocation of licenses.
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(a) The terms and conditions of each license issued pursuant to the regulations in this part and parts 31 through 35 of this chapter shall be subject to amendment, revision or modification by reason of amendments to the Act, or by reason of rules, regulations and orders issued in accordance with the terms of the Act.
(b) Any license may be revoked, suspended or modified, in whole or in part, for any material false statement in the application or any statement of fact required under section 182 of the Act, or because of conditions revealed by such application or statement of fact or any report, record or inspection or other means which would warrant the Commission to refuse to grant a license on an original application, or for violation of, or failure to observe any of the terms and provisions of the Act or of any rule, regulation or order of the Commission.
(c) Except in cases of willfulness or those in which the public health, interest or safety requires otherwise, no license shall be modified, suspended or revoked unless, prior to the institution of proceedings therefor, facts or conduct which may warrant such action shall have been called to the attention of the licensee in writing and the licensee shall have been accorded an opportunity to demonstrate or achieve compliance with all lawful requirements.
[30 FR 8185, June 26, 1965, as amended at 35 FR 11460, July 17, 1970; 43 FR 6922, Feb. 17, 1978]
§ 30.62 Right to cause the withholding or recall of byproduct material.
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The Commission may cause the withholding or recall of byproduct material from any licensee who is not equipped to observe or fails to observe such safety standards to protect health as may be established by the Commission, or who uses such materials in violation of law or regulation of the Commission, or in a manner other than as disclosed in the application therefor or approved by the Commission.
[30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975]
§ 30.63 Violations.
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(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of—
(1) The Atomic Energy Act of 1954, as amended;
(2) Title II of the Energy Reorganization Act of 1974, as amended; or
(3) A regulation or order issued pursuant to those Acts.
(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:
(1) For violations of—
(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;
(ii) Section 206 of the Energy Reorganization Act;
(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;
(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.
[57 FR 55072, Nov. 24, 1992]
§ 30.64 Criminal penalties.
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(a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 30 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section.
(b) The regulations in part 30 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§30.1, 30.2, 30.4, 30.5, 30.6, 30.8, 30.11, 30.12, 30.13, 30.15, 30.16, 30.31, 30.32, 30.33, 30.37, 30.38, 30.39, 30.61, 30.62, 30.63, 30.64, 30.70, 30.71, and 30.72.
[57 FR 55072, Nov. 24, 1992]
Schedules
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§ 30.70 Schedule A—Exempt concentrations.
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[See footnotes at end of this table]---------------------------------------------------------------------------------------------------------------- Col. I Col. II ------------------------------------------------- Element (atomic number) Isotope Liquid and solid Gas concentration concentration µCi/ µCi/ml \1\ ml \2\----------------------------------------------------------------------------------------------------------------Antimony (51)........................ Sb 122................. ....................... 3x10-4 Sb 124................. ....................... 2x10-4 Sb 125................. ....................... 1x10-3Argon (18)........................... A 37................... 1x10-3................. A 41................... 4x10-7.................Arsenic (33)......................... As 73.................. ....................... 5x10-3 As 74.................. ....................... 5x10-4 As 76.................. ....................... 2x10-4 As 77.................. ....................... 8x10-4Barium (56).......................... Ba 131................. ....................... 2x10-3 Ba 140................. ....................... 3x10-4Beryllium (4)........................ Be 7................... ....................... 2x10-2Bismuth (83)......................... Bi 206................. ....................... 4x10-4Bromine (35)......................... Br 82.................. 4x10-7................. 3x10-3Cadmium (48)......................... Cd 109................. ....................... 2x10-3 Cd 115m................ ....................... 3x10-4 Cd 115................. ....................... 3x10-4Calcium (20)......................... Ca 45.................. ....................... 9x10-5 Ca 47.................. ....................... 5x10-4Carbon (6)........................... C 14................... 1x10-6................. 8x10-3Cerium (58).......................... Ce 141................. ....................... 9x10-4 Ce 143................. ....................... 4x10-4 Ce 144................. ....................... 1x10-4Cesium (55).......................... Cs 131................. ....................... 2x10-2 Cs 134m................ ....................... 6x10-2 Cs 134................. ....................... 9x10-5Chlorine (17)........................ Cl 38.................. 9x10-7................. 4x10-3Chromium (24)........................ Cr 51.................. ....................... 2x10-2Cobalt (27).......................... Co 57.................. ....................... 5x10-3 Co 58.................. ....................... 1x10-3 Co 60.................. ....................... 5x10-4Copper (29).......................... Cu 64.................. ....................... 3x10-3Dysprosium (66)...................... Dy 165................. ....................... 4x10-3 Dy 166................. ....................... 4x10-4Erbium (68).......................... Er 169................. ....................... 9x10-4 Er 171................. ....................... 1x10-3Europium (63)........................ Eu 152................. ....................... 6x10-4 (T/2=9.2 Hrs).......... Eu 155................. ....................... 2x10-3Fluorine (9)......................... F 18................... 2x10-6................. 8x10-3Gadolinium (64)...................... Gd 153................. ....................... 2x10-3 Gd 159................. ....................... 8x10-4Gallium (31)......................... Ga 72.................. ....................... 4x10-4Germanium (32)....................... Ge 71.................. ....................... 2x10-2Gold (79)............................ Au 196................. ....................... 2x10-3 Au 198................. ....................... 5x10-4 Au 199................. ....................... 2x10-3Hafnium (72)......................... Hf 181................. ....................... 7x10-4Hydrogen (1)......................... H 3.................... 5x10-6................. 3x10-2Indium (49).......................... In 113m................ ....................... 1x10-2 In 114m................ ....................... 2x10-4Iodine (53).......................... I 126.................. 3x10-9................. 2x10-5 I 131.................. 3x10-9................. 2x10-5 I 132.................. 8x10-8................. 6x10-4 I 133.................. 1x10-8................. 7x10-5 I 134.................. 2x10-7................. 1x10-3Iridium (77)......................... Ir 190................. ....................... 2x10-3 Ir 192................. ....................... 4x10-4 Ir 194................. ....................... 3x10-4Iron (26)............................ Fe 55.................. ....................... 8x10-3 Fe 59.................. ....................... 6x10-4Krypton (36)......................... Kr 85m................. 1x10-6................. Kr 85.................. 3x10-6.................Lanthanum (57)....................... La 140................. ....................... 2x10-4Lead (82)............................ Pb 203................. ....................... 4x10-3Lutetium (71)........................ Lu 177................. ....................... 1x10-3Manganese (25)....................... Mn 52.................. ....................... 3x10-4 Mn 54.................. ....................... 1x10-3 Mn 56.................. ....................... 1x10-3Mercury (80)......................... Hg 197m................ ....................... 2x10-3 Hg 197................. ....................... 3x10-3 Hg 203................. ....................... 2x10-4Molybdenum (42)...................... Mo 99.................. ....................... 2x10-3Neodymium (60)....................... Nd 147................. ....................... 6x10-4 Nd 149................. ....................... 3x10-3Nickel (28).......................... Ni 65.................. ....................... 1x10-3Niobium (Columbium) (41)............. Nb 95.................. ....................... 1x10-3 Nb 97.................. ....................... 9x10-3Osmium (76).......................... Os 185................. ....................... 7x10-4 Os 191m................ ....................... 3x10-2 Os 191................. ....................... 2x10-3 Os 193................. ....................... 6x10-4Palladium (46)....................... Pd 103................. ....................... 3x10-3 Pd 109................. ....................... 9x10-4Phosphorus (15)...................... P 32................... ....................... 2x10-4Platinum (78)........................ Pt 191................. ....................... 1x10-3 Pt 193m................ ....................... 1x10-2 Pt 197m................ ....................... 1x10-2 Pt 197................. ....................... 1x10-3Potassium (19)....................... K 42................... ....................... 3x10-3Praseodymium (59).................... Pr 142................. ....................... 3x10-4 Pr 143................. ....................... 5x10-4Promethium (61)...................... Pm 147................. ....................... 2x10-3 Pm 149................. ....................... 4x10-4Rhenium (75)......................... Re 183................. ....................... 6x10-3 Re 186................. ....................... 9x10-4 Re 188................. ....................... 6x10-4Rhodium (45)......................... Rh 103m................ ....................... 1x10-1 Rh 105................. ....................... 1x10-3Rubidium (37)........................ Rb 86.................. ....................... 7x10-4Ruthenium (44)....................... Ru 97.................. ....................... 4x10-4 Ru 103................. ....................... 8x10-4 Ru 105................. ....................... 1x10-3 Ru 106................. ....................... 1x10-4Samarium (62)........................ Sm 153................. ....................... 8x10-4Scandium (21)........................ Sc 46.................. ....................... 4x10-4 Sc 47.................. ....................... 9x10-4 Sc 48.................. ....................... 3x10-4Selenium (34)........................ Se 75.................. ....................... 3x10-3Silicon (14)......................... Si 31.................. ....................... 9x10-3Silver (47).......................... Ag 105................. ....................... 1x10-3 Ag 110m................ ....................... 3x10-4 Ag 111................. ....................... 4x10-4Sodium (11).......................... Na 24.................. ....................... 2x10-3Strontium (38)....................... Sr 85.................. ....................... 1x10-4 Sr 89.................. ....................... 1x10-4 Sr 91.................. ....................... 7x10-4 Sr 92.................. ....................... 7x10-4Sulfur (16).......................... S 35................... 9x10-8................. 6x10-4Tantalum (73)........................ Ta 182................. ....................... 4x10-4Technetium (43)...................... Tc 96m................. ....................... 1x10-1 Tc 96.................. ....................... 1x10-3Tellurium (52)....................... Te 125m................ ....................... 2x10-3 Te 127m................ ....................... 6x10-4 Te 127................. ....................... 3x10-3 Te 129m................ ....................... 3x10-4 Te 131m................ ....................... 6x10-4 Te 132................. ....................... 3x10-4Terbium (65)......................... Tb 160................. ....................... 4x10-4Thallium (81)........................ Tl 200................. ....................... 4x10-3 Tl 201................. ....................... 3x10-3 Tl 202................. ....................... 1x10-3 Tl 204................. ....................... 1x10-3Thulium (69)......................... Tm 170................. ....................... 5x10-4 Tm 171................. ....................... 5x10-3Tin (50)............................. Sn 113................. ....................... 9x10-4 Sn 125................. ....................... 2x10-4Tungsten (Wolfram) (74).............. W 181.................. ....................... 4x10-3 W 187.................. ....................... 7x10-4Vanadium (23)........................ V 48................... ....................... 3x10-4Xenon (54)........................... Xe 131m................ 4x10-6................. Xe 133................. 3x10-6................. Xe 135................. 1x10-6.................Ytterbium (70)....................... Yb 175................. ....................... 1x10-3Yttrium (39)......................... Y 90................... ....................... 2x10-4 Y 91m.................. ....................... 3x10-2 Y 91................... ....................... 3x10-4 Y 92................... ....................... 6x10-4 Y 93................... ....................... 3x10-4Zinc (30)............................ Zn 65.................. ....................... 1x10-3 Zn 69m................. ....................... 7x10-4 Zn 69.................. ....................... 2x10-2Zirconium (40)....................... Zr 95.................. ....................... 6x10-4 Zr 97.................. ....................... 2x10-4Beta and/or gamma emitting byproduct ....................... 1x10-10................ 1x10-6 material not listed above with half- life less than 3 years.----------------------------------------------------------------------------------------------------------------Footnotes to Schedule A:\1\ Values are given only for those materials normally used as gases.\2\ µCi/gm for solids.Note 1: Many radioisotopes disintegrate into isotopes which are also radioactive. In expressing the concentrations in Schedule A, the activity stated is that of the parent isotope and takes into account the daughters.Note 2: For purposes of § 30.14 where there is involved a combination of isotopes, the limit for the combination should be derived as follows:Determine for each isotope in the product the ratio between the concentration present in the product and the exempt concentration established in Schedule A for the specific isotope when not in combination. The sum of such ratios may not exceed ``1'' (i.e., unity).Example:
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[30 FR 8185, June 26, 1965, as amended at 35 FR 3982, Mar. 3, 1970; 38 FR 29314, Oct. 24, 1973; 59 FR 5520, Feb. 7, 1994]
§ 30.71 Schedule B.
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------------------------------------------------------------------------ Byproduct material Microcuries------------------------------------------------------------------------Antimony 122 (Sb 122)...................................... 100Antimony 124 (Sb 124)...................................... 10Antimony 125 (Sb 125)...................................... 10Arsenic 73 (As 73)......................................... 100Arsenic 74 (As 74)......................................... 10Arsenic 76 (As 76)......................................... 10Arsenic 77 (As 77)......................................... 100Barium 131 (Ba 131)........................................ 10Barium 133 (Ba 133)........................................ 10Barium 140 (Ba 140)........................................ 10Bismuth 210 (Bi 210)....................................... 1Bromine 82 (Br 82)......................................... 10Cadmium 109 (Cd 109)....................................... 10Cadmium 115m (Cd 115m)..................................... 10Cadmium 115 (Cd 115)....................................... 100Calcium 45 (Ca 45)......................................... 10Calcium 47 (Ca 47)......................................... 10Carbon 14 (C 14)........................................... 100Cerium 141 (Ce 141)........................................ 100Cerium 143 (Ce 143)........................................ 100Cerium 144 (Ce 144)........................................ 1Cesium 131 (Cs 131)........................................ 1,000Cesium 134m (Cs 134m)...................................... 100Cesium 134 (Cs 134)........................................ 1Cesium 135 (Cs 135)........................................ 10Cesium 136 (Cs 136)........................................ 10Cesium 137 (Cs 137)........................................ 10Chlorine 36 (C1 36)........................................ 10Chlorine 38 (Cl 38)........................................ 10Chromium 51 (Cr 51)........................................ 1,000Cobalt 58m (Co 58m)........................................ 10Cobalt 58 (Co 58).......................................... 10Cobalt 60 (Co 60).......................................... 1Copper 64 (Cu 64).......................................... 100Dysprosium 165 (Dy 165).................................... 10Dysprosium 166 (Dy 166).................................... 100Erbium 169 (Er 169)........................................ 100Erbium 171 (Er 171)........................................ 100Europium 152 9.2 h (Eu 152 9.2 h).......................... 100Europium 152 13 yr (Eu 152 13 yr).......................... 1Europium 154 (Eu 154)...................................... 1Europium 155 (Eu 155)...................................... 10Fluorine 18 (F 18)......................................... 1,000Gadolinium 153 (Gd 153).................................... 10Gadolinium 159 (Gd 159).................................... 100Gallium 72 (Ga 72)......................................... 10Germanium 71 (Ge 71)....................................... 100Gold 198 (Au 198).......................................... 100Gold 199 (Au 199).......................................... 100Hafnium 181 (Hf 181)....................................... 10Holmium 166 (Ho 166)....................................... 100Hydrogen 3 (H 3)........................................... 1,000Indium 113m (In 113m)...................................... 100Indium 114m (In 114m)...................................... 10Indium 115m (In 115m)...................................... 100Indium 115 (In 115)........................................ 10Iodine 125 (I 125)......................................... 1Iodine 126 (I 126)......................................... 1Iodine 129 (I 129)......................................... 0.1Iodine 131 (I 131)......................................... 1Iodine 132 (I 132)......................................... 10Iodine 133 (I 133)......................................... 1Iodine 134 (I 134)......................................... 10Iodine 135 (I 135)......................................... 10Iridium 192 (Ir 192)....................................... 10Iridium 194 (Ir 194)....................................... 100Iron 55 (Fe 55)............................................ 100Iron 59 (Fe 59)............................................ 10Krypton 85 (Kr 85)......................................... 100Krypton 87 (Kr 87)......................................... 10Lanthanum 140 (La 140)..................................... 10Lutetium 177 (Lu 177)...................................... 100Manganese 52 (Mn 52)....................................... 10Manganese 54 (Mn 54)....................................... 10Manganese 56 (Mn 56)....................................... 10Mercury 197m (Hg 197m)..................................... 100Mercury 197 (Hg 197)....................................... 100Mercury 203 (Hg 203)....................................... 10Molybdenum 99 (Mo 99)...................................... 100Neodymium 147 (Nd 147)..................................... 100Neodymium 149 (Nd 149)..................................... 100Nickel 59 (Ni 59).......................................... 100Nickel 63 (Ni 63).......................................... 10Nickel 65 (Ni 65).......................................... 100Niobium 93m (Nb 93m)....................................... 10Niobium 95 (Nb 95)......................................... 10Niobium 97 (Nb 97)......................................... 10Osmium 185 (Os 185)........................................ 10Osmium 191m (Os 191m)...................................... 100Osmium 191 (Os 191)........................................ 100Osmium 193 (Os 193)........................................ 100Palladium 103 (Pd 103)..................................... 100Palladium 109 (Pd 109)..................................... 100Phosphorus 32 (P 32)....................................... 10Platinum 191 (Pt 191)...................................... 100Platinum 193m (Pt 193m).................................... 100Platinum 193 (Pt 193)...................................... 100Platinum 197m (Pt 197m).................................... 100Platinum 197 (Pt 197)...................................... 100Polonium 210 (Po 210)...................................... 0.1Potassium 42 (K 42)........................................ 10Praseodymium 142 (Pr 142).................................. 100Praseodymium 143 (Pr 143).................................. 100Promethium 147 (Pm 147).................................... 10Promethium 149 (Pm 149).................................... 10Rhenium 186 (Re 186)....................................... 100Rhenium 188 (Re 188)....................................... 100Rhodium 103m (Rh 103m)..................................... 100Rhodium 105 (Rh 105)....................................... 100Rubidium 86 (Rb 86)........................................ 10Rubidium 87 (Rb 87)........................................ 10Ruthenium 97 (Ru 97)....................................... 100Ruthenium 103 (Ru 103)..................................... 10Ruthenium 105 (Ru 105)..................................... 10Ruthenium 106 (Ru 106)..................................... 1Samarium 151 (Sm 151)...................................... 10Samarium 153 (Sm 153)...................................... 100Scandium 46 (Sc 46)........................................ 10Scandium 47 (Sc 47)........................................ 100Scandium 48 (Sc 48)........................................ 10Selenium 75 (Se 75)........................................ 10Silicon 31 (Si 31)......................................... 100Silver 105 (Ag 105)........................................ 10Silver 110m (Ag 110m)...................................... 1Silver 111 (Ag 111)........................................ 100Sodium 24 (Na 24).......................................... 10Strontium 85 (Sr 85)....................................... 10Strontium 89 (Sr 89)....................................... 1Strontium 90 (Sr 90)....................................... 0.1Strontium 91 (Sr 91)....................................... 10Strontium 92 (Sr 92)....................................... 10Sulphur 35 (S 35).......................................... 100Tantalum 182 (Ta 182)...................................... 10Technetium 96 (Tc 96)...................................... 10Technetium 97m (Tc 97m).................................... 100Technetium 97 (Tc 97)...................................... 100Technetium 99m (Tc 99m).................................... 100Technetium 99 (Tc 99)...................................... 10Tellurium 125m (Te 125m)................................... 10Tellurium 127m (Te 127m)................................... 10Tellurium 127 (Te 127)..................................... 100Tellurium 129m (Te 129m)................................... 10Tellurium 129 (Te 129)..................................... 100Tellurium 131m (Te 131m)................................... 10Tellurium 132 (Te 132)..................................... 10Terbium 160 (Tb 160)....................................... 10Thallium 200 (Tl 200)...................................... 100Thallium 201 (Tl 201)...................................... 100Thallium 202 (Tl 202)...................................... 100Thallium 204 (Tl 204)...................................... 10Thulium 170 (Tm 170)....................................... 10Thulium 171 (Tm 171)....................................... 10Tin 113 (Sn 113)........................................... 10Tin 125 (Sn 125)........................................... 10Tungsten 181 (W 181)....................................... 10Tungsten 185 (W 185)....................................... 10Tungsten 187 (W 187)....................................... 100Vanadium 48 (V 48)......................................... 10Xenon 131m (Xe 131m)....................................... 1,000Xenon 133 (Xe 133)......................................... 100Xenon 135 (Xe 135)......................................... 100Ytterbium 175 (Yb 175)..................................... 100Yttrium 90 (Y 90).......................................... 10Yttrium 91 (Y 91).......................................... 10Yttrium 92 (Y 92).......................................... 100Yttrium 93 (Y 93).......................................... 100Zinc 65 (Zn 65)............................................ 10Zinc 69m (Zn 69m).......................................... 100Zinc 69 (Zn 69)............................................ 1,000Zirconium 93 (Zr 93)....................................... 10Zirconium 95 (Zr 95)....................................... 10Zirconium 97 (Zr 97)....................................... 10Any byproduct material not listed above other than alpha 0.1 emitting byproduct material...............................------------------------------------------------------------------------
------------------------------------------------------------------------ Release Quantity Radioactive material \1\ fraction (curies)------------------------------------------------------------------------Actinium-228....................................... 0.001 4,000Americium-241...................................... .001 2Americium-242...................................... .001 2Americium-243...................................... .001 2Antimony-124....................................... .01 4,000Antimony-126....................................... .01 6,000Barium-133......................................... .01 10,000Barium-140......................................... .01 30,000Bismuth-207........................................ .01 5,000Bismuth-210........................................ .01 600Cadmium-109........................................ .01 1,000Cadmium-113........................................ .01 80Calcium-45......................................... .01 20,000Californium-252.................................... .001 9 (20 mg)Carbon-14 (non-carbon dioxide)..................... .01 50,000Cerium-141......................................... .01 10,000Cerium-144......................................... .01 300Cesium-134......................................... .01 2,000Cesium-137......................................... .01 3,000Chlorine-36........................................ .5 100Chromium-51........................................ .01 300,000Cobalt-60.......................................... .001 5,000Copper-64.......................................... .01 200,000Curium-242......................................... .001 60Curium-243......................................... .001 3Curium-244......................................... .001 4Curium-245......................................... .001 2Europium-152....................................... .01 500Europium-154....................................... .01 400Europium-155....................................... .01 3,000Germanium-68....................................... .01 2,000Gadolinium-153..................................... .01 5,000Gold-198........................................... .01 30,000Hafnium-172........................................ .01 400Hafnium-181........................................ .01 7,000Holmium-166m....................................... .01 100Hydrogen-3......................................... .5 20,000Iodine-125......................................... .5 10Iodine-131......................................... .5 10Indium-114m........................................ .01 1,000Iridium-192........................................ .001 40,000Iron-55............................................ .01 40,000Iron-59............................................ .01 7,000Krypton-85......................................... 1.0 6,000,000Lead-210........................................... .01 8Manganese-56....................................... .01 60,000Mercury-203........................................ .01 10,000Molybdenum-99...................................... .01 30,000Neptunium-237...................................... .001 2Nickel-63.......................................... .01 20,000Niobium-94......................................... .01 300Phosphorus-32...................................... .5 100Phosphorus-33...................................... .5 1,000Polonium-210....................................... .01 10Potassium-42....................................... .01 9,000Promethium-145..................................... .01 4,000Promethium-147..................................... .01 4,000Ruthenium-106...................................... .01 200Samarium-151....................................... .01 4,000Scandium-46........................................ .01 3,000Selenium-75........................................ .01 10,000Silver-110m........................................ .01 1,000Sodium-22.......................................... .01 9,000Sodium-24.......................................... .01 10,000Strontium-89....................................... .01 3,000Strontium-90....................................... .01 90Sulfur-35.......................................... .5 900Technitium-99...................................... .01 10,000Technitium-99m..................................... .01 400,000Tellurium-127m..................................... .01 5,000Tellurium-129m..................................... .01 5,000Terbium-160........................................ .01 4,000Thulium-170........................................ .01 4,000Tin-113............................................ .01 10,000Tin-123............................................ .01 3,000Tin-126............................................ .01 1,000Titanium-44........................................ .01 100Vanadium-48........................................ .01 7,000Xenon-133.......................................... 1.0 900,000Yttrium-91......................................... .01 2,000Zinc-65............................................ .01 5,000Zirconium-93....................................... .01 400Zirconium-95....................................... .01 5,000Any other beta-gamma emitter....................... .01 10,000Mixed fission products............................. .01 1,000Mixed corrosion products........................... .01 10,000Contaminated equipment beta-gamma.................. .001 10,000Irradiated material, any form other than solid .01 1,000 noncombustible....................................Irradiated material, solid noncombustible.......... .001 10,000Mixed radioactive waste, beta-gamma................ .01 1,000Packaged mixed waste, beta-gamma \4\............... .001 10,000Any other alpha emitter............................ .001 2Contaminated equipment, alpha...................... .0001 20Packaged waste, alpha \4\.......................... .0001 20Combinations of radioactive materials listed above ........ ......... \1\...............................................------------------------------------------------------------------------\1\ For combinations of radioactive materials, consideration of the need for an emergency plan is required if the sum of the ratios of the quantity of each radioactive material authorized to the quantity listed for that material in Schedule C exceeds one.\2\ Waste packaged in Type B containers does not require an emergency plan.
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[54 FR 14061, Apr. 7, 1989, as amended at 61 FR 9902, Mar. 12, 1996]
Appendix A to Part 30—Criteria Relating to Use of Financial Tests and Parent Company Guarantees for Providing Reasonable Assurance of Funds for Decommissioning
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I. Introduction
An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on obtaining a parent company guarantee that funds will be available for decommissioning costs and on a demonstration that the parent company passes a financial test. This appendix establishes criteria for passing the financial test and for obtaining the parent company guarantee.
II. Financial Test
A. To pass the financial test, the parent company must meet the criteria of either paragraph A.1 or A.2 of this section:
1. The parent company must have:
(i) Two of the following three ratios: A ratio of total liabilities to net worth less than 2.0; a ratio of the sum of net income plus depreciation, depletion, and amortization to total liabilities greater than 0.1; and a ratio of current assets to current liabilities greater than 1.5; and
(ii) Net working capital and tangible net worth each at least six times the current decommissioning cost estimates for the total of all facilities or parts thereof (or prescribed amount if a certification is used), or, for a power reactor licensee, at least six times the amount of decommissioning funds being assured by a parent company guarantee for the total of all reactor units or parts thereof (Tangible net worth shall be calculated to exclude the net book value of the nuclear unit(s)); and
(iii) Tangible net worth of at least $10 million; and
(iv) Assets located in the United States amounting to at least 90 percent of the total assets or at least six times the current decommissioning cost estimates for the total of all facilities or parts thereof (or prescribed amount if a certification is used), or, for a power reactor licensee, at least six times the amount of decommissioning funds being assured by a parent company guarantee for the total of all reactor units or parts thereof.
2. The parent company must have:
(i) A current rating for its most recent bond issuance of AAA, AA, A, or BBB as issued by Standard and Poor's or Aaa, Aa, A, or Baa as issued by Moody's; and
(ii) Tangible net worth each at least six times the current decommissioning cost estimates for the total of all facilities or parts thereof (or prescribed amount if a certification is used), or, for a power reactor licensee, at least six times the amount of decommissioning funds being assured by a parent company guarantee for the total of all reactor units or parts thereof (Tangible net worth shall be calculated to exclude the net book value of the nuclear unit(s)); and
(iii) Tangible net worth of at least $10 million; and
(iv) Assets located in the United States amounting to at least 90 percent of the total assets or at least six times the current decommissioning cost estimates for the total of all facilities or parts thereof (or prescribed amount if a certification is used), or, for a power reactor licensee, at least six times the amount of decommissioning funds being assured by a parent company guarantee for the total of all reactor units or parts thereof.
B. The parent company's independent certified public accountant must have compared the data used by the parent company in the financial test, which is derived from the independently audited, year end financial statements for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure the licensee shall inform NRC within 90 days of any matters coming to the auditor's attention which cause the auditor to believe that the data specified in the financial test should be adjusted and that the company no longer passes the test.
C. 1. After the initial financial test, the parent company must repeat the passage of the test within 90 days after the close of each succeeding fiscal year.
2. If the parent company no longer meets the requirements of paragraph A of this section, the licensee must send notice to the Commission of intent to establish alternate financial assurance as specified in the Commission's regulations. The notice must be sent by certified mail within 90 days after the end of the fiscal year for which the year end financial data show that the parent company no longer meets the financial test requirements. The licensee must provide alternate financial assurance within 120 days after the end of such fiscal year.
III. Parent Company Guarantee
The terms of a parent company guarantee which an applicant or licensee obtains must provide that:
A. The parent company guarantee will remain in force unless the guarantor sends notice of cancellation by certified mail to the licensee and the Commission. Cancellation may not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the licensee and the Commission, as evidenced by the return receipts.
B. If the licensee fails to provide alternate financial assurance as specified in the Commission's regulations within 90 days after receipt by the licensee and Commission of a notice of cancellation of the parent company guarantee from the guarantor, the guarantor will provide such alternative financial assurance in the name of the licensee.
C. The parent company guarantee and financial test provisions must remain in effect until the Commission has terminated the license.
D. If a trust is established for decommissioning costs, the trustee and trust must be acceptable to the Commission. An acceptable trustee includes an appropriate State or Federal Government agency or an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
[53 FR 24046, June 27, 1988, as amended at 63 FR 50479, Sept. 22, 1998]
Appendix B to Part 30—Quantities1 of Licensed Material Requiring Labeling
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------------------------------------------------------------------------ Material Microcuries------------------------------------------------------------------------Americium-241.............................................. .01Antimony-122............................................... 100Antimony-124............................................... 10Antimony-125............................................... 10Arsenic-73................................................. 100Arsenic-74................................................. 10Arsenic-76................................................. 10Arsenic-77................................................. 100Barium-131................................................. 10Barium-133................................................. 10Barium-140................................................. 10Bismuth-210................................................ 1Bromine-82................................................. 10Cadmium-109................................................ 10Cadmium-115m............................................... 10Cadmium-115................................................ 100Calcium-45................................................. 10Calcium-47................................................. 10Carbon-14.................................................. 100Cerium-141................................................. 100Cerium-143................................................. 100Cerium-144................................................. 1Cesium-131................................................. 1,000Cesium-134m................................................ 100Cesium-134................................................. 1Cesium-135................................................. 10Cesium-136................................................. 10Cesium-137................................................. 10Chlorine-36................................................ 10Chlorine-38................................................ 10Chromium-51................................................ 1,000Cobalt-58m................................................. 10Cobalt-58.................................................. 10Cobalt-60.................................................. 1Copper-64.................................................. 100Dysprosium-165............................................. 10Dysprosium-166............................................. 100Erbium-169................................................. 100Erbium-171................................................. 100Europium-152 9.2 h......................................... 100Europium-152 13 yr......................................... 1Europium-154............................................... 1Europium-155............................................... 10Fluorine-18................................................ 1,000Gadolinium-153............................................. 10Gadolinium-159............................................. 100Gallium-72................................................. 10Germanium-71............................................... 100Gold-198................................................... 100Gold-199................................................... 100Hafnium-181................................................ 10Holmium-166................................................ 100Hydrogen-3................................................. 1,000Indium-113m................................................ 100Indium-114m................................................ 10Indium-115m................................................ 100Indium-115................................................. 10Iodine-125................................................. 1Iodine-126................................................. 1Iodine-129................................................. 0.1Iodine-131................................................. 1Iodine-132................................................. 10Iodine-133................................................. 1Iodine-134................................................. 10Iodine-135................................................. 10Iridium-192................................................ 10Iridium-194................................................ 100Iron-55.................................................... 100Iron-59.................................................... 10Krypton-85................................................. 100Krypton-87................................................. 10Lanthanum-140.............................................. 10Lutetium-177............................................... 100Manganese-52............................................... 10Manganese-54............................................... 10Manganese-56............................................... 10Mercury-197m............................................... 100Mercury-197................................................ 100Mercury-203................................................ 10Molybdenum-99.............................................. 100Neodymium-147.............................................. 100Neodymium-149.............................................. 100Nickel-59.................................................. 100Nickel-63.................................................. 10Nickel-65.................................................. 100Niobium-93m................................................ 10Niobium-95................................................. 10Niobium-97................................................. 10Osmium-185................................................. 10Osmium-191m................................................ 100Osmium-191................................................. 100Osmium-193................................................. 100Palladium-103.............................................. 100Palladium-109.............................................. 100Phosphorus-32.............................................. 10Platinum-191............................................... 100Platinum-193m.............................................. 100Platinum-193............................................... 100Platinum-197m.............................................. 100Platinum-197............................................... 100Plutonium-239.............................................. .01Polonium-210............................................... 0.1Potassium-42............................................... 10Praseodymium-142........................................... 100Praseodymium-143........................................... 100Promethium-147............................................. 10Promethium-149............................................. 10Radium-226................................................. .01Rhenium-186................................................ 100Rhenium-188................................................ 100Rhodium-103m............................................... 100Rhodium-105................................................ 100Rubidium-86................................................ 10Rubidium-87................................................ 10Ruthenium-97............................................... 100Ruthenium-103.............................................. 10Ruthenium-105.............................................. 10Ruthenium-106.............................................. 1Samarium-151............................................... 10Samarium-153............................................... 100Scandium-46................................................ 10Scandium-47................................................ 100Scandium-48................................................ 10Selenium-75................................................ 10Silicon-31................................................. 100Silver-105................................................. 10Silver-110m................................................ 1Silver-111................................................. 100Sodium-24.................................................. 10Strontium-85............................................... 10Strontium-89............................................... 1Strontium-90............................................... 0.1Strontium-91............................................... 10Strontium-92............................................... 10Sulphur-35................................................. 100Tantalum-182............................................... 10Technetium-96.............................................. 10Technetium-97m............................................. 100Technetium-97.............................................. 100Technetium-99m............................................. 100Technetium-99.............................................. 10Tellurium-125m............................................. 10Tellurium-127m............................................. 10Tellurium-127.............................................. 100Tellurium-129m............................................. 10Tellurium-129.............................................. 100Tellurium-131m............................................. 10Tellurium-132.............................................. 10Terbium-160................................................ 10Thallium-200............................................... 100Thallium-201............................................... 100Thallium-202............................................... 100Thallium-204............................................... 10Thorium (natural) \1\...................................... 100Thulium-170................................................ 10Thulium-171................................................ 10Tin-113.................................................... 10Tin-125.................................................... 10Tungsten-181............................................... 10Tungsten-185............................................... 10Tungsten-187............................................... 100Uranium (natural) \2\...................................... 100Uranium-233................................................ .01Uranium-234_Uranium-235.................................... .01Vanadium-48................................................ 10Xenon-131m................................................. 1,000Xenon-133.................................................. 100Xenon-135.................................................. 100Ytterbium-175.............................................. 100Yttrium-90................................................. 10Yttrium-91................................................. 10Yttrium-92................................................. 100Yttrium-93................................................. 100Zinc-65.................................................... 10Zinc-69m................................................... 100Zinc-69.................................................... 1,000Zirconium-93............................................... 10Zirconium-95............................................... 10Zirconium-97............................................... 10Any alpha emitting radionuclide not listed above or .01 mixtures of alpha emitters of unknown composition.........Any radionuclide other than alpha emitting radionuclides, .1 not listed above or mixtures of beta emitters of unknown composition...............................................------------------------------------------------------------------------\1\ Based on alpha disintegration rate of Th-232, Th-230 and their daughter products.\2\ Based on alpha disintegration rate of U-238, U-234, and U-235.
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Note: For purposes of §20.303, where there is involved a combination of isotopes in known amounts, the limit for the combination should be derived as follows: Determine, for each isotope in the combination, the ratio between the quantity present in the combination and the limit otherwise established for the specific isotope when not in combination. The sum of such ratios for all the isotopes in the combination may not exceed “1” (i.e., “unity”).
[35 FR 6425, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 38 FR 29314, Oct. 24, 1973; 39 FR 23991, June 28, 1974; 45 FR 71763, Oct. 30, 1980. Redesignated at 56 FR 23391, May 21, 1991, and further redesignated at 58 FR 67659, Dec. 22, 1993]
Appendix C to Part 30—Criteria Relating to Use of Financial Tests and Self Guarantees for Providing Reasonable Assurance of Funds for Decommissioning
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I. Introduction
An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the company passes the financial test of Section II of this appendix. The terms of the self-guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self guarantee and establishes the terms for a self-guarantee.
II. Financial Test
A. To pass the financial test, a company must meet all of the following criteria:
(1) Tangible net worth at least 10 times the total current decommissioning cost estimate for the total of all facilities or parts thereof (or the current amount required if certification is used), or, for a power reactor licensee, at least 10 times the amount of decommissioning funds being assured by a self guarantee, for all decommissioning activities for which the company is responsible as self-guaranteeing licensee and as parent-guarantor for the total of all reactor units or parts thereof (Tangible net worth shall be calculated to exclude the net book value of the nuclear unit(s)).
(2) Assets located in the United States amounting to at least 90 percent of total assets or at least 10 times the total current decommissioning cost estimate for the total of all facilities or parts thereof (or the current amount required if certification is used), or, for a power reactor licensee, at least 10 times the amount of decommissioning funds being assured by a self guarantee, for all decommissioning activities for which the company is responsible as self-guaranteeing licensee and as parent-guarantor for the total of all reactor units or parts thereof.
(3) A current rating for its most recent bond issuance of AAA, AA, or A as issued by Standard and Poors (S&P), or Aaa, Aa, or A as issued by Moodys.
B. To pass the financial test, a company must meet all of the following additional requirements:
(1) The company must have at least one class of equity securities registered under the Securities Exchange Act of 1934.
(2) The company's independent certified public accountant must have compared the data used by the company in the financial test which is derived from the independently audited, yearend financial statements for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform NRC within 90 days of any matters coming to the attention of the auditor that cause the auditor to believe that the data specified in the financial test should be adjusted and that the company no longer passes the test.
(3) After the initial financial test, the company must repeat passage of the test within 90 days after the close of each succeeding fiscal year.
C. If the licensee no longer meets the requirements of Section II.A. of this appendix, the licensee must send immediate notice to the Commission of its intent to establish alternate financial assurance as specified in the Commission's regulations within 120 days of such notice.
III. Company Self-Guarantee
The terms of a self-guarantee which an applicant or licensee furnishes must provide that:
A. The guarantee will remain in force unless the licensee sends notice of cancellation by certified mail to the Commission. Cancellation may not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by the Commission, as evidenced by the return receipt.
B. The licensee shall provide alternative financial assurance as specified in the Commission's regulations within 90 days following receipt by the Commission of a notice of cancellation of the guarantee.
C. The guarantee and financial test provisions must remain in effect until the Commission has terminated the license or until another financial assurance method acceptable to the Commission has been put in effect by the licensee.
D. The licensee will promptly forward to the Commission and the licensee's independent auditor all reports covering the latest fiscal year filed by the licensee with the Securities and Exchange Commission pursuant to the requirements of section 13 of the Securities and Exchange Act of 1934.
E. If, at any time, the licensee's most recent bond issuance ceases to be rated in any category of “A” or above by either Standard and Poors or Moodys, the licensee will provide notice in writing of such fact to the Commission within 20 days after publication of the change by the rating service. If the licensee's most recent bond issuance ceases to be rated in any category of A or above by both Standard and Poors and Moodys, the licensee no longer meets the requirements of Section II.A. of this appendix.
F. The applicant or licensee must provide to the Commission a written guarantee (a written commitment by a corporate officer) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the Commission, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.
[58 FR 68730, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994, as amended at 63 FR 50479, Sept. 22, 1998]
Appendix D to Part 30—Criteria Relating to Use of Financial Tests and Self-Guarantee for Providing Reasonable Assurance of Funds for Decommissioning by Commercial Companies That Have No Outstanding Rated Bonds
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I. Introduction
An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the company passes the financial test of Section II of this appendix. The terms of the self-guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self-guarantee and establishes the terms for a self-guarantee.
II. Financial Test
A. To pass the financial test a company must meet the following criteria:
(1) Tangible net worth greater than $10 million, or at least 10 times the total current decommissioning cost estimate (or the current amount required if certification is used), whichever is greater, for all decommissioning activities for which the company is responsible as self-guaranteeing licensee and as parent-guarantor.
(2) Assets located in the United States amounting to at least 90 percent of total assets or at least 10 times the total current decommissioning cost estimate (or the current amount required if certification is used) for all decommissioning activities for which the company is responsible as self-guaranteeing licensee and as parent-guarantor.
(3) A ratio of cash flow divided by total liabilities greater than 0.15 and a ratio of total liabilities divided by net worth less than 1.5.
B. In addition, to pass the financial test, a company must meet all of the following requirements:
(1) The company's independent certified public accountant must have compared the data used by the company in the financial test, which is required to be derived from the independently audited year end financial statement based on United States generally accepted accounting practices for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform NRC within 90 days of any matters that may cause the auditor to believe that the data specified in the financial test should be adjusted and that the company no longer passes the test.
(2) After the initial financial test, the company must repeat passage of the test within 90 days after the close of each succeeding fiscal year.
(3) If the licensee no longer meets the requirements of paragraph II.A of this appendix, the licensee must send notice to the NRC of intent to establish alternative financial assurance as specified in NRC regulations. The notice must be sent by certified mail, return receipt requested, within 90 days after the end of the fiscal year for which the year end financial data show that the licensee no longer meets the financial test requirements. The licensee must provide alternative financial assurance within 120 days after the end of such fiscal year.
III. Company Self-Guarantee
The terms of a self-guarantee which an applicant or licensee furnishes must provide that:
A. The guarantee shall remain in force unless the licensee sends notice of cancellation by certified mail, return receipt requested, to the NRC. Cancellation may not occur until an alternative financial assurance mechanism is in place.
B. The licensee shall provide alternative financial assurance as specified in the regulations within 90 days following receipt by the NRC of a notice of cancellation of the guarantee.
C. The guarantee and financial test provisions must remain in effect until the Commission has terminated the license or until another financial assurance method acceptable to the Commission has been put in effect by the licensee.
D. The applicant or licensee must provide to the Commission a written guarantee (a written commitment by a corporate officer) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the Commission, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.
[63 FR 29542, June 1, 1998]
Appendix E to Part 30—Criteria Relating to Use of Financial Tests and Self-Guarantee For Providing Reasonable Assurance of Funds For Decommissioning by Nonprofit Colleges, Universities, and Hospitals
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I. Introduction
An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the applicant or licensee passes the financial test of Section II of this appendix. The terms of the self-guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self-guarantee and establishes the terms for a self-guarantee.
II. Financial Test
A. For colleges and universities, to pass the financial test a college or university must meet either the criteria in Paragraph II.A.(1) or the criteria in Paragraph II.A.(2) of this appendix.
(1) For applicants or licensees that issue bonds, a current rating for its most recent uninsured, uncollateralized, and unencumbered bond issuance of AAA, AA, or A as issued by Standard and Poors (S&P) or Aaa, Aa, or A as issued by Moodys.
(2) For applicants or licensees that do not issue bonds, unrestricted endowment consisting of assets located in the United States of at least $50 million, or at least 30 times the total current decommissioning cost estimate (or the current amount required if certification is used), whichever is greater, for all decommissioning activities for which the college or university is responsible as a self-guaranteeing licensee.
B. For hospitals, to pass the financial test a hospital must meet either the criteria in Paragraph II.B.(1) or the criteria in Paragraph II.B.(2) of this appendix:
(1) For applicants or licensees that issue bonds, a current rating for its most recent uninsured, uncollateralized, and unencumbered bond issuance of AAA, AA, or A as issued by Standard and Poors (S&P) or Aaa, Aa, or A as issued by Moodys.
(2) For applicants or licensees that do not issue bonds, all the following tests must be met:
(a) (Total Revenues less total expenditures) divided by total revenues must be equal to or greater than 0.04.
(b) Long term debt divided by net fixed assets must be less than or equal to 0.67.
(c) (Current assets and depreciation fund) divided by current liabilities must be greater than or equal to 2.55.
(d) Operating revenues must be at least 100 times the total current decommissioning cost estimate (or the current amount required if certification is used) for all decommissioning activities for which the hospital is responsible as a self-guaranteeing license.
C. In addition, to pass the financial test, a licensee must meet all the following requirements:
(1) The licensee's independent certified public accountant must have compared the data used by the licensee in the financial test, which is required to be derived from the independently audited year end financial statements, based on United States generally accepted accounting practices, for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform NRC within 90 days of any matters coming to the attention of the auditor that cause the auditor to believe that the data specified in the financial test should be adjusted and that the licensee no longer passes the test.
(2) After the initial financial test, the licensee must repeat passage of the test within 90 days after the close of each succeeding fiscal year.
(3) If the licensee no longer meets the requirements of Section I of this appendix, the licensee must send notice to the NRC of its intent to establish alternative financial assurance as specified in NRC regulations. The notice must be sent by certified mail, return receipt requested, within 90 days after the end of the fiscal year for which the year end financial data show that the licensee no longer meets the financial test requirements. The licensee must provide alternate financial assurance within 120 days after the end of such fiscal year.
III. Self-Guarantee
The terms of a self-guarantee which an applicant or licensee furnishes must provide that—
A. The guarantee shall remain in force unless the licensee sends notice of cancellation by certified mail, and/or return receipt requested, to the Commission. Cancellation may not occur unless an alternative financial assurance mechanism is in place.
B. The licensee shall provide alternative financial assurance as specified in the Commission's regulations within 90 days following receipt by the Commission of a notice of cancellation of the guarantee.
C. The guarantee and financial test provisions must remain in effect until the Commission has terminated the license or until another financial assurance method acceptable to the Commission has been put in effect by the licensee.
D. The applicant or licensee must provide to the Commission a written guarantee (a written commitment by a corporate officer or officer of the institution) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the Commission, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.
E. If, at any time, the licensee's most recent bond issuance ceases to be rated in any category of “A” or above by either Standard and Poors or Moodys, the licensee shall provide notice in writing of such fact to the Commission within 20 days after publication of the change by the rating service.
[63 FR 29542, June 1, 1998]
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