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7 February 2007
[Federal Register: February 6, 2007 (Volume 72, Number 24)]
[Proposed Rules]
[Page 5348-5359]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06fe07-9]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
[[Page 5348]]
NUCLEAR REGULATORY COMMISSION
10 CFR Parts 40, 72, 74, and 150
RIN: 3150-AH85
Regulatory Improvements to the Nuclear Materials Management and
Safeguards System
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend
its regulations related to licensee reporting requirements for source
material and special nuclear material (SNM) to the Nuclear Materials
Management and Safeguards System (NMMSS). The proposed amendments would
lower the threshold of the quantities of SNM and certain source
materials that require the submission of material status reports to the
NMMSS. Also, the proposed amendments would make some modifications to
the types of and timing of submittals of transaction reports to the
NMMSS. The amendments would also require licensees to reconcile any
material inventory discrepancies that NRC identifies in the NMMSS
database. The proposed amendments would reduce some regulatory burden
by reducing the current reporting requirements related to the export of
certain source material and SNM. However, the annual reporting
requirements would be new requirements for licensees who possess 350
grams or less, of SNM. These amendments are needed to improve the
accuracy of the material inventory information maintained in the NMMSS.
DATES: Submit comments on the rule by April 23, 2007. Submit comments
specific to the information collections aspects of this rule by March
8, 2007. Comments received after this date will be considered if it is
practical to do so, but the NRC is able to assure consideration only
for comments received on or before this date.
ADDRESSES: You may submit comments by any one of the following methods.
Please include the following number RIN 3150-AH85 in the subject line
of your comments. Comments on rulemakings submitted in writing or in
electronic form will be made available for public inspection. Because
your comments will not be edited to remove any identifying or contact
information, the NRC cautions you against including personal
information such as social security numbers and birth dates in your
submission.
Mail comments to: Secretary, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, ATTN: Rulemakings and Adjudications Staff.
E-mail comments to: SECY@nrc.gov. If you do not receive a reply e-
mail confirming that we have received your comments, contact us
directly at (301) 415-1966. You may also submit comments via NRC's
rulemaking Web site at http://ruleforum.llnl.gov. Address questions
about our rulemaking Web site to Carol Gallagher (301) 415-5905; e-mail
cag@nrc.gov. Comments can also be submitted via the Federal eRulemaking
Portal http://www.regulations.gov.
Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland
20852, between 7:30 am and 4:15 pm Federal workdays. (Telephone (301)
415-1966).
Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at
(301) 415-1101.
Publicly available documents related to this rulemaking may be
viewed electronically on the public computers located at the NRC's
Public Document Room (PDR), O1 F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland. The PDR reproduction contractor
will copy documents for a fee. Selected documents, including comments,
may be viewed and downloaded electronically via the NRC rulemaking Web
site at http://ruleforum.llnl.gov.
Publicly available documents created or received at the NRC after
November 1, 1999, are available electronically at NRC's Electronic
Reading Room at http://www.nrc.gov/reading-rm/adams.html. From this
site, the public can gain entry into NRC's Agencywide Document Access
and Management System (ADAMS), which provides text and image files of
NRC's public documents. If you do not have access to ADAMS or if there
are problems in accessing the documents located in ADAMS, contact the
NRC Public Document Room (PDR) Reference staff at 1-800-397-4209, 301-
415-4737 or by e-mail to pdr@nrc.gov.
You may submit comments on the information collections by the
methods indicated in the Paperwork Reduction Act Statement.
FOR FURTHER INFORMATION CONTACT: Neelam Bhalla, Office of Federal and
State Materials and Environmental Management Programs, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-
6843, e-mail, nxb@nrc.gov.
SUPPLEMENTARY INFORMATION:
I. Background
II. Discussion
A. Special Nuclear Material Transfer Reports
B. Special Nuclear Material Status Reports
C. Source Material Transfer Reports
D. Source Material Status Reports
E. Reconciliation of Submitted Inventories
F. Reporting Identification Symbol and Holding Accounts
G. Reduction in Reporting Requirements for Export of Material
Shipments
H. Who Would This Action Affect?
I. How Would the Information be Reported?
III. Summary of Proposed Amendments by Section
IV. Criminal Penalties
V. Agreement State Compatibility
VI. Plain Language
VII. Voluntary Consensus Standards
VIII. Environmental Impact: Categorical Exclusion
IX. Paperwork Reduction Act Statement
X. Public Protection Notification
XI. Regulatory Analysis
XII. Regulatory Flexibility Certification
XIII. Backfit Analysis
I. Background
The NMMSS is the national database used in the United States by NRC
licensees, the Agreement State licensees, and Department of Energy
(DOE) contractors to report the possession of certain special nuclear
material (SNM) and source material. The NMMSS was created as a result
of comprehensive accounting procedures developed by the Atomic Energy
Commission in response to the passage of the Atomic Energy Act of 1954
and began processing of facility submittals in 1965. The DOE is
responsible for maintaining the NMMSS database. The NMMSS database
supports NRC
[[Page 5349]]
domestically in the review of licensee material control and accounting
programs, and internationally as the U.S. Government database for
collecting and reporting information required by international
treaties. The NRC reporting requirements related to the NMMSS are
primarily contained in 10 CFR Parts 40, 72, 74, 75, 76, and 150.
The NMMSS database uses licensee submittals to serve two important
functions: (1) meeting international reporting obligations, and (2)
assisting in the oversight of licensee material control and accounting
(MC&A) programs required by 10 CFR Parts 40, 72, 74, 75, 76, and 150.
With regard to international commitments, the United States has
committed to a national accountancy and control system for nuclear
materials through treaties with nuclear trading partners and the
International Atomic Energy Agency (IAEA). The NMMSS is part of the
overall program to help satisfy these international commitments by
constituting the national database used by NRC and the Agreement State
licensees, and DOE contractors to report the possession of certain
quantities SNM and source material. The information submitted to the
NMMSS is then reported externally by the United States in order to
satisfy these treaty requirements. The NMMSS also maintains accounting
data on U.S. peaceful use exports and imports of nuclear materials that
have occurred since 1965.
With respect to NRC's oversight of the MC&A at licensed facilities,
the NMMSS is the national database that serves as the central
collection and processing point for inventory, shipment, and receipt
information required to be reported by commercial and Federal
Government facilities. Applicable NRC reporting requirements are
specified in 10 CFR Parts 40, 72, 74, 75, 150. As a result of these
reporting requirements, the NMMSS can provide the NRC staff with a
projection of quantities of reportable materials located, shipped, or
received at a particular licensee site.
In October 2001, the DOE Office of the Inspector General (OIG)
issued a report based on an audit of the NMMSS for DOE-owned nuclear
materials.\1\ One of the findings of that report was that DOE could not
fully account for DOE-owned nuclear materials loaned or leased to
licensees. A similar audit conducted by NRC's OIG, also raised concerns
over the accuracy of material inventories in the NMMSS.\2\ In the
report, the NRC OIG recommended that the scope of licensee reporting
should be expanded to include a requirement that smaller licensees
(those possessing less than 350 grams of SNM), submit inventory
information to the NMMSS annually.
---------------------------------------------------------------------------
\1\ This report entitled, ``Accounting for Government Owned
Nuclear Materials Provided to Non-Department Domestic Facilities''
(October 26, 2001), is available at http://www.ig.doe.gov/pdf/ig-0529.pdf
.
\2\ This report entitled, ``Audit of NRC's Regulatory Oversight
of Special Nuclear Materials'' (OIG-03-A-15, May 23, 2003), is
available at http://www.nrc.gov/reading-rm/doc-collections/insp-gen/2003/03-a-15.pdf
.
---------------------------------------------------------------------------
As a result of its audit, NRC took immediate steps to verify and
reconcile inventories in the NMMSS database by issuing a bulletin, NRC
Bulletin 2003-04: ``Rebaselining of Data in the Nuclear Materials
Management and Safeguards System.'' The bulletin was sent to all NRC
and Agreement State licensees then holding NMMSS accounts and requested
them to provide inventory information to the NMMSS. The NRC staff also
conducted site visits to review selected licensees' submitted
information in comparison to actual physical inventories. The review
concluded that licensees did not submit or update inventories to the
NMMSS for several years (or decades) because they possessed or
transferred materials that did not meet minimum reporting thresholds.
These efforts also helped identify accounts with zero balances. The
rebaselining efforts resulted in decreasing the number of active
accounts and supported a further review and reconciliation of material
inventories in the remaining accounts.
At the end of these efforts, NRC determined that enhanced reporting
of inventory information by those licensees not presently required to
do so would provide greater assurance about the accuracy of licensee
inventory information maintained in the database. NRC believes that
licensee inventories must be submitted regularly and reconciled in
comparison to values projected by the NMMSS database to maintain the
usefulness of the database for international and domestic regulatory
needs.
II. Discussion
The NRC staff has had extensive interactions with the NMMSS
operator and industry representatives since the issuance of NRC
Bulletin 2003-04. On the basis of these efforts and an evaluation of
the current regulations related to the NMMSS reporting, the NRC staff
concluded that many of the discrepancies in NMMSS information resulted
because: (1) Many licensees (those that possess less than 350 grams of
SNM) infrequently ship and/or receive reportable materials, and (2)
Many licensees do not meet the current regulatory threshold for annual
reporting of SNM or source material and lose institutional awareness of
the NMMSS over time. As a result, for many licensees there are no
requirements to periodically confirm the accuracy of values projected
by the NMMSS.
This conclusion led NRC to embark on an effort to amend its
regulations to enhance the accuracy of the NMMSS database. The proposed
amendments would lower the threshold of quantities of special nuclear
materials and certain source materials requiring the submission of both
status and transaction reports to the NMMSS. Another amendment to keep
the NMMSS data more current, would be to modify reporting requirements
in Sec. 40.64 to require licensees involved in enrichment services,
downblending material initially enriched in U\235\ isotope 10 percent
or more, or mixed-oxide (MOX) fuel fabrication of uranium, to report
the transfer, receipt, inventory adjustment, inventory, and material
balance information for source material. These changes to NMMSS
reporting requirements would improve the accuracy of material balance
(inputs/outputs) information. Currently, licensees are only required to
report source material subject to international treaty requirements.
However, source material reporting is an important part of the material
balance equation because these materials are used as an input material
in the downblending of uranium, MOX fuel fabrication, and uranium
enrichment cycle. This type of facility reporting would facilitate the
evaluation of the prior and ending source material balances of
licensees that engage in activities that change the SNM values of
materials.
The NRC staff considered other possible consequences posed by
inaccurate NMMSS information associated with these holders of small
quantities of SNM. Gram quantities of SNM held by many small quantity
licensees do not appear to pose a significant challenge to the
promotion of security from an MC&A perspective. However, if periodic
reporting and evaluation of small licensee balances are not required,
it could reduce public confidence in the primary tool used by the NRC
in the oversight of small licensee MC&A activities since NRC would not
have assurance that projected material balances are representative of
the quantities of materials at these sites. Further, this will allow
for more accuracy in the NMMSS database.
The following sections summarize the significant proposed changes
to the regulations and the NRC's basis for those proposed changes.
[[Page 5350]]
A. Special Nuclear Material Transaction Reports
Currently, licensees are required by 10 CFR 74.15(a) to report to
the NMMSS whenever they transfer or receive one gram or more of SNM.
The proposed revision would add a requirement that licensees must also
report to the NMMSS whenever it makes an on-site adjustment to the SNM
inventory involving a quantity of one gram or more SNM. The inventory
adjustments may be due to decay, or normal operational losses. Domestic
MC&A safeguards would be enhanced by this change because the NRC
inspection staff would be aware of possible inventory anomalies sooner
and NMMSS generated inventories would more accurately reflect actual
facility inventory values between reconciliation periods. Thus,
required reporting of these adjustments as they are generated would
improve the accuracy of the NMMSS database.
Additionally, 10 CFR 72.78 and 74.15 require submission of material
transaction reports for the transfer and receipt of SNM but do not
specify the time frames in which the reports must be made. However, the
reporting time frames are specified in NUREG/BR-0006, ``Instructions
for the preparation and Distribution of Material Transaction Reports.''
In contrast, for source material transactions under Sec. 40.64(a),
nuclear material transaction reports are required to be submitted by
the close of business, the next working day for the transfer of source
material and within ten business days of receipt, for the receipt of
source material. Therefore, for consistency with those provisions,
Sec. Sec. 72.78 and 74.15 would be amended to require each licensee
who transfers SNM to submit a nuclear material transaction report no
later than the close of business the next working day, and each
licensee who receives the material to submit a nuclear material
transaction report within ten days after the material is received.
Consistent with this change, Part 150 would be amended to require
licensees who transfer SNM to submit a nuclear material transaction
report to NMMSS no later than the close of business the next working
day. Currently, Sec. 150.16(a) requires licensees only submit the SNM
transaction report ``promptly'' after the SNM transfer takes place. By
changing ``promptly'' to ``no later than the close of business the next
working day'' the regulation would be unambiguous.
A revision would also be made to the titles of Sec. Sec. 72.78,
74.15 and 150.16. Currently, Sec. Sec. 72.78 and 74.15 are entitled
``Nuclear material transfer reports,'' and Sec. 150.16 is entitled
``Submission to Commission of nuclear material transfer reports.'' The
amended titles of Sec. Sec. 72.78 and 74.15 would be ``Nuclear
material transaction reports.'' Sec. 150.16 would be entitled
``Submission to Commission of nuclear material transaction reports.''
The amended titles would correctly reflect the requirements contained
in these sections for both receipt and transfer of nuclear material,
and would be consistent with the name of the submission report.
B. Special Nuclear Material Status Reports
Currently, licensees are required by Sec. 74.13(a) to report
annual SNM inventories to the NMMSS only if they are authorized to
possess more than 350 grams of SNM. The proposed amendment would lower
the reporting threshold to one gram or more, requiring a licensee who
possesses or who had possessed in the previous reporting period, one
gram or more of SNM to report an annual inventory to the NMMSS. By
lowering the reporting threshold, NRC would improve its knowledge of
the location and presence of SNM possessed by licensees. The staff
considered changing the current 350 gram threshold to a number of
values that were less than 350 grams but more than one gram. This
approach was rejected because this would still result in a number of
licensees that would not have to report inventory regularly and
ultimately cause a variation of the same problem, that NRC would not
have adequate input regarding inventories held by these licensees. The
staff also considered lowering the inventory/material balance threshold
to less than one gram of SNM. This method was not pursued because it
would ``mis-align'' NRC regulations with DOE and international entities
with whom the U.S. has treaty agreements in place. Also, the licensee
community would have potentially an additional burden to develop new
(less than one gram) measurement techniques. Finally, the staff
established the new threshold at one gram of SNM because: (1)
International entities (those with which we have treaties) recognize
one gram as the basic measuring unit for SNM; (2) one gram is a
threshold value accepted by DOE and would meet their reporting
expectations for licensees possessing government-owned material; (3) a
one gram threshold would address the NRC OIG concern about ensuring we
have interaction with and reporting from small quantity licensees; and
(4) the one gram threshold for inventory/material balance reporting
would align with the present one gram requirement for licensees
reporting shipments and receipts (transactions) of SNM.
The submission of material balance reports under the current rule
is linked to the performance and conduct of annual physical inventories
and related reports required by Sec. Sec. 74.19(c), 74.31(c)(5),
74.33(c)(4), or 74.43(c)(6), in March and September for those subject
to Sec. 74.51. Those provisions are linked for the convenience of
licensees, since both reports contain the same minimum threshold
requirements of more than 350 grams. However, the activities associated
with performing, documenting, and maintaining records associated with a
physical inventory, as required by 10 CFR 74.19(c), are different and
more encompassing than those associated with preparing and submitting a
material status report required in 10 CFR 74.13. Because the staff does
not plan to revise Sec. 74.19(c) as part of this rulemaking, it would
therefore no longer be possible to link the reporting requirements of
the two rules since a physical inventory under 74.19(c) is only
implicated if a licensee is authorized to possess greater than 350
grams of SNM.
Thus, Sec. 74.13 would be revised to continue to permit licensees
authorized to possess greater than 350 grams of SNM to submit material
status reports along with their physical inventory reports as required
by Sec. Sec. 74.19(c), 74.31(c)(5), 74.33(c)(4), or 74.43(c)(6), and,
in March and September of each year, for those subject to Sec. 74.51.
However, for those licensees who are authorized to possess 350 grams or
less of SNM, the proposed rule would require the submission of material
balance reports no later than March 31 of each year. The NRC finds that
this schedule would eliminate any reporting problems related to
inconsistencies in reporting quantities that would persist between
Sec. Sec. 74.13 and 74.19, but maintains the intended flexibility and
efficiency of the current rule.
C. Source Material Transaction Reports
Currently, Sec. 40.64(a) requires submission of a Nuclear Material
Transaction Report whenever a licensee transfers, receives, or adjusts
the inventory of foreign obligated source material by one kilogram or
more. Foreign obligated materials are those nuclear materials that are
subject to tracking by international treaties. Also, reports are
required for the import and export of one kilogram or more of any
source material, regardless of obligation. However, the current
requirements do not require reporting when material is utilized. The
proposed revision would amend the rule to require reporting
[[Page 5351]]
when a licensee utilizes one kilogram or more of source material in
enrichment services, downblend material initially enriched in the
U\235\ isotope to 10 percent or more, or mixed-oxide fuel fabrication,
regardless of obligation. The NRC staff believes that source material
reporting is an important part of the material balance equation because
these materials are used as an input material in the downblending of
uranium, mixed-oxide (MOX) fuel fabrication, and uranium enrichment
cycle. This amendment to NMMSS reporting would facilitate the
evaluation of the prior and ending balances of licensees that engage in
activities that change the SNM values of their inventories and thus
improve the accuracy of the NMMSS data.
D. Source Material Status Reports
Currently, Sec. 40.64(b) requires annual source material inventory
reports of foreign obligated source material for licensees authorized
to possess more than 1000 kilograms of source material. The proposed
revision would lower this value to one kilogram or more of foreign
obligated source material. A lowered reporting threshold would provide
the NRC with better knowledge of the location and presence of foreign
obligated source material possessed by the licensees. The proposed
revision would also require the licensees to report annual source
material inventory when a licensee utilizes one kilogram or more of any
source material in enrichment services, downblend material initially
enriched in the U\235\ isotope to 10 percent or more, or mixed-oxide
fuel fabrication, regardless of the obligation. Based on a review of
the rebaselining efforts, the NRC staff has concluded that many
licensees did not submit or update inventories to the NMMSS for several
years, because they possessed or transferred materials that did not
meet the minimum reporting thresholds. By lowering the reporting
threshold from 1000 kilograms to 1 kilogram of foreign material, the
staff believes the information maintained in the NMMSS database would
be more current and reliable.
E. Reconciliation of Submitted Inventories
Facilities that presently report inventory and material balance
information also voluntarily participate in a periodic reconciliation
process with the NMMSS to address any differences between NMMSS
generated inventory values and the facility reported inventory values.
Although, the reconciliation process is not explicitly required by
regulations, it is an integral part of routine NMMSS operations. To
address this issue, the proposed amendments to Sec. Sec. 40.64(b),
72.76(a), 74.13(a), 150.17(a) and 150.17(b) would require licensees to
reconcile any inventory discrepancies identified by NRC in the NMMSS
database within 30 days of being notified of a discrepancy by NRC. In
the proposed amendments to Sec. Sec. 40.4, 72.3, 74.4 and 150.3, a new
definition, ``reconciliation,'' would be added to describe the process
by which licensees'' reports are evaluated and compared by NRC to the
projected material balances by the NMMSS. The NMMSS projected balances
are the NMMSS calculated material balances based on the transfer,
receipt, or other adjustments reported to the NMMSS by the licensees
during the previous reporting period. The process is considered
complete when a licensee resolves any differences between the reported
inventory and the inventory projected by the NMMSS database. This
requirement would help in maintaining the accuracy of information in
the NMMSS database.
F. Reporting Identification Symbol (RIS) and Holding Accounts
NRC currently assigns a reporting account number called Reporting
Identification Symbol (RIS) to each licensee to submit information to
the NMMSS. The proposed revisions to Sec. Sec. 40.64(b) and 74.13(a)
would require licensees to report inventory of source material and SNM,
respectively, not only for their primary RIS account but also source
and SNM inventories in associated holding accounts. Holding accounts
were established by some licensees to identify the material that the
licensee was not actively using. Currently, licensees are not required
to acknowledge shipments and receipts, or report inventory information
pertaining to the holding accounts to the NMMSS. MC&A safeguards would
be enhanced by this change because of the increased accuracy and
availability of inventory information to the NRC staff.
G. Reduction in Reporting Requirements for Export of Material Shipments
Currently, licensees who export reportable quantities of SNM or
source material file both the shipper's and receiver's information on
two separate forms when exporting nuclear material, as described in
NUREG/BR-0006. Based on the NRC inspector observations, the current
additional requirement to report a foreign facility description of the
same transactions has not been useful in assuring the accuracy of
domestic MC&A information and is not necessary to meet international
reporting requirements. Consequently, this requirement can be
eliminated to reduce burden without adverse effects on safety or
security. This change would be reflected in the revised NUREG/BR-0006
and in the proposed amendments to Sec. Sec. 40.64, 74.15 and 150.16.
In the proposed amendment, licensees would be required to file only
the shipper's information form unless a significant shipper/receiver
difference, or, a theft or diversion is identified. In this context
``significant'' refers to a difference, for SNM, that requires
resolution as described in Sec. Sec. 74.31, 74.43, or 74.59, as
applicable. For source material, the quantities delineated in Sec.
40.64(c)(1) involving a theft or unlawful diversion would be the
threshold quantity for additional reporting. This proposed change to
the reporting requirement would reduce the licensees reporting burdens
when shipping nuclear materials without significantly impacting the
quality of the information reported to the database.
H. Who Would This Action Affect?
Currently, licensees possessing more than 350 grams of SNM report
inventory and material balance information annually to the NMMSS. The
lowering of the threshold to one gram of SNM and one kilogram of source
material subject to treaty obligations would affect approximately 200
additional NRC and Agreement State licensees who presently possess
between one and 350 grams of SNM.
New requirements associated with source material reporting would
also apply to licensees that perform uranium enrichment services,
downblend material initially enriched in the U235 isotope to
10 percent or more, and mixed-oxide fuel fabrication. However, the
actual impact on these licensees would be minimal because much of the
source material used for these types of processes has associated treaty
obligations and is subject to the current reporting requirements.
Finally, the reduction in reporting requirements associated with
export of SNM and source material would impact approximately 17 NRC and
Agreement State licensees that export such materials. This change to
the current reporting requirements as specified in NUREG/BR-0006 would
result in a reduction of about 1,700 reports per year, from the current
number of 3400 reports per year to the NMMSS without impacting the
quality of information in the NMMSS database.
[[Page 5352]]
I. How Would the Information Be Reported?
Licensees may continue to submit foreign obligated source material
information pursuant to proposed Sec. 40.64(b) as a statement and may
submit the statement with other reports that the licensee is required
to submit, such as the SNM material balance report. However, source
material and SNM transaction reports must be submitted by filing
Nuclear Material Transaction Reports forms in computer-readable format
as specified in NRC NUREG/BR-0006. Additional source and SNM inventory
and material balance reports must be submitted in computer-readable
format as specified in the NRC NUREG/BR-0007. Specific details about
the forms and format for these reports are contained in the NRC NUREG/
BR-0006 and 0007. Additionally, reporting software is available to the
licensees free of charge from the NMMSS contractor.
III. Summary of Proposed Amendments by Section
Section 40.4 Definitions
Section 40.4 would be amended to add a definition of
``reconciliation.'' Reconciliation would be defined to mean the process
by which licensee inventory submittals are compared to values projected
by the NMMSS, and that the process is considered complete when the
licensee resolves any differences between the two values, including
foreign obligated materials.
Section 40.64 Reports
Section 40.64(a) would be amended to (1) require licensees who
utilize one kilogram or more of source material, regardless of
obligation, in enrichment services, downblending uranium that has an
initial enrichment of the U235 isotope of 10 percent or
more, or in the fabrication of mixed-oxide fuels, to complete and
submit a Nuclear Material Transaction Report; and (2) to require
licensees who export source material to complete only the licensee
portion of the transaction report unless there is an indication of
loss, theft, or diversion of the source material, in which case both
the licensee's and the foreign facility's information on the form would
have to be reported.
Section 40.64(b) would be amended to (1) lower reporting thresholds
for possession and reporting of inventory of foreign obligated source
material to one kilogram; (2) require each licensee who possesses one
kilogram or more of uranium or thorium source material in the operation
of enrichment services, downblending uranium that has an initial
enrichment of the U235 isotope of 10 percent or more, or in
the fabrication of mixed-oxide fuels, to complete and submit, in
computer-readable format, Material Balance and Physical Inventory
Listing Reports concerning all source material (both foreign obligated
and non-obligated) that the licensee has received, produced, possessed,
transferred, consumed, disposed of, or lost in the previous reporting
period; (3) resolve any inventory discrepancies identified by the NRC
within 30 calendar days of submission of the information; (4) require
inventory reporting not only in the (RIS) account but include material
held in all associated holding accounts; and (5) correct the NRC
address to obtain the reporting instructions.
Section 72.3 Definitions
Section 72.3 would be amended to add a definition of
``reconciliation.'' Reconciliation would be defined to mean the process
by which licensee submittals are compared to projected values developed
by the NMMSS, and that the process is considered complete when the
licensee resolves any differences between the two values, including
foreign obligated materials.
Section 72.72 Material Balance Inventory and Records Requirements for
Stored Materials
Section 72.72(a) would be amended to (1) correct the reference for
SNM to Sec. 74.13(a) (the current reference to Sec. 74.13(a)(1) is
incorrect because there is no paragraph (a)(1) in Sec. 74.13); and (2)
would require licensees to keep records showing the receipt, inventory,
disposal, acquisition, and transfer of source material in quantities as
specified in Sec. 40.64.
Section 72.76 Material Status Reports
Section 72.76(a) would be amended (1) to require reports on source
material as specified in Sec. 40.64; (2) require licensees to resolve
any discrepancies identified during the report review and
reconciliation process within 30 calendar days of submission of the
information; and (3) correct the NRC address to obtain the reporting
instructions.
Section 72.78 Nuclear Material Transfer Reports
The section heading would be revised to read, `` Nuclear Material
Transaction Reports.'' The amendment is consistent with the name of the
report (transaction report) and describes requirements for both receipt
and transfer of nuclear materials.
Section 72.78(a) would be amended (1) to add a reporting
requirement when a licensee adjusts the inventory of SNM as specified
by Sec. 74.15 or source material as specified by Sec. 40.64; and (2)
to correct the NRC address or obtaining the reporting instructions.
Section 74.2 Scope
Section 74.2(a) would be amended to lower the applicability of
general reporting and record keeping requirements of subpart B of Part
74 to each person who possesses one gram or more of SNM.
Section 74.4 Definitions
Section 74.4 would be amended to add a definition of
``reconciliation.'' Reconciliation would be defined to mean the process
by which licensee submittals are compared to projected values developed
by NMMSS, and that the process is considered complete when the licensee
resolves any differences between the two values, including foreign
obligated materials.
Section 74.13 Material Status Reports
Section 74.13(a) would be amended to (1) lower reporting thresholds
from authorization to possess more than 350 grams of SNM to possession
of one gram or more of SNM, or possession of one gram or more of SNM in
the inventory reporting period; (2) require inventory reporting to
include not only the primary Reporting Identification Symbol (RIS)
account but SNM in any associated holding accounts; (3) to require
licensees to resolve any discrepancies identified during the report
review and reconciliation process within 30 calendar days of
notification of a discrepancy identified by the NRC; (4) to require
licensee submission of material balance reports no later than March 31
of each year for reports not covered under Sec. Sec. 74.19,
74.31(c)(5), 74.33(c)(4), 74.43(c)(6), or 74.51; and (5) to correct the
NRC address to obtain the reporting instructions.
Section 74.15 Nuclear Material Transfer Reports
The section heading would be revised to read, ``Nuclear Material
Transaction Reports.'' The amendment is consistent with the name of the
report (transaction report) and describes requirements for both receipt
and transfer of nuclear materials.
Section 74.15(a) would be amended to (1) add a reporting
requirement when the inventory of SNM is adjusted in a quantity of one
gram or more; (2) specify that each licensee who transfers SNM to
submit a Nuclear Material Transaction Report no later than the close of
[[Page 5353]]
business the next working day, and each licensee who receives the
material to submit a Nuclear Material Transaction Report within ten
(10) days after the material is received; and (3) make a revision to
correct the NRC address to obtain the reporting instructions.
The current paragraph (c) would be redesignated as a new paragraph
(d). A new paragraph (c) would be added to Sec. 74.15 to require
licensees who export one gram or more of SNM to complete only the
supplier's portion of the form unless a significant shipper-receiver
difference as described in Sec. Sec. 74.31, 74.43, or 74.59 is
identified.
Section 150.3 Definitions
Section 150.3 would be amended to add a definition of
``reconciliation.'' Reconciliation would be defined to mean the process
by which licensee submittals are compared to projected values developed
by the NMMSS and that the process is considered complete when the
licensee resolves any differences between the two values, including
foreign obligated materials.
Section 150.8 Information Collection Requirements: OMB Approval
In Section 150.8 paragraph (c)(1) would be revised, paragraph
(c)(2) would be redesignated as a new paragraph (c)(3), and a new
paragraph (c)(2) would be added to describe that in Sec. 150.17, DOE/
NRC Form 742 and its computer-readable format are approved under
control number 3150-0004, and DOE/NRC Form 742C and its computer-
readable format are approved under control number 3150-0058.
Section 150.16 Submission to Commission of Nuclear Material Transfer
Reports
The section heading would be revised to read, ``Submission to the
Commission of nuclear material transaction reports.'' The amendment is
consistent with the name of the report (transaction report) and
describes requirements for both receipt and transfer of nuclear
materials.
Section 150.16(a) would be revised to add a new paragraph (a)(1)
that would generally retain the requirements of current paragraph (a),
but would be amended to (1) require reporting when the inventory of SNM
is adjusted in a quantity of one gram or more; (2) specify that for
transfer of SNM, the information be submitted no later than the close
of next business day; (3) would require completion of only the
licensee's portion of the form for exporting SNM unless a significant
shipper-receiver difference as described in Sec. Sec. 74.31, 74.43, or
74.59 is identified; and (4), correct the NRC address to obtain the
reporting instructions.
The new paragraph (a)(2) in Sec. 150.16 would describe the
material transaction reporting requirements for the source material.
Currently, source material transaction reporting requirements are
described in Sec. 150.17(a), under the heading ``Submission to
Commission of source material reports.'' Moving these requirements to
Sec. 150.16, would help licensees locate the material transaction
reporting requirements for both SNM and source material in Sec.
150.16.
The new Sec. 150.16(a)(2) would also (1) require a licensee who
utilizes any uranium or thorium source material, regardless of
obligation, in a quantity of one kilogram or more, in enrichment
services, downblending uranium that has an initial enrichment of the
U\235\ isotope of 10 percent or more, or in the fabrication of mixed-
oxide fuels, to submit source material transaction reports; (2) require
licensees to file only the licensee's portion of the form when
exporting one kilogram or more of source material, unless there is an
indication of theft or diversion as described in Sec. 40.64(c) of this
chapter, in which case both the receiver's and shipper's portion of the
form must be completed; (3) require the shipper's portion of the form
to be completed for imports; and (4) correct the NRC address to obtain
the reporting instructions.
Section 150.17 Submission to Commission of Source Material Reports
The section heading would be revised to read, ``Submission to
Commission of nuclear material status reports.'' This amendment would
help licensees locate the reporting requirements for material status
reports for both source material and SNM. This format is similar to the
reporting formats for source and SNM status reporting in 10 CFR Parts
40, 72, and 74.
Section 150.17(a) would be amended to require each licensee who is
in possession of, or had possessed in the previous reporting period,
SNM in a quantity of one gram or more, to annually complete and submit
in computer-readable format Material Balance and Inventory Reports
concerning special nuclear material that the licensee has received,
produced, possessed, transferred, consumed, disposed of, or lost. It
would also require licensees to resolve any discrepancies identified
during the report review and reconciliation process within 30 calendar
days of notification of a discrepancy identified by NRC.
Section 150.17 (b) would be amended to (1) lower the annual
inventory reporting threshold from the current 1000 kilogram of foreign
obligated source material to one kilogram; (2) add a reporting
requirement that a licensee who utilizes one kilogram or more of any
source material in enrichment services, downblend material initially
enriched in the U\235\ isotope to 10 percent or more, or mixed-oxide
fuel fabrication would be required to submit material balance and
physical inventory listing reports concerning source material that the
licensee has received, produced, possessed, transferred, consumed,
disposed, or lost; (3) require licensees to resolve any discrepancies
identified during the report review and reconciliation process within
30 calendar days of notification of a discrepancy identified by NRC;
and (4) correct the NRC address to obtain the reporting instructions.
IV. Criminal Penalties
For the purpose of Section 223 of the Atomic Energy Act (AEA), the
Commission is proposing to amend 10 CFR Parts 40, 72, 74, and 150 under
one or more of Sections 161b, 161i, or 161o of the AEA. Willful
violations of the rule would be subject to criminal enforcement.
V. Agreement State Compatibility
Under the ``Policy Statement on Adequacy and Compatibility of
Agreement State Programs'' approved by the Commission on June 30, 1997,
and published in the Federal Register on September 3, 1997 (62 FR
46517), this proposed rule would be designated Compatibility Category
``NRC.'' The Compatibility Categories for the sections amended in this
proposed rule would be the same as the sections in the current rule.
The revisions to Sec. Sec. 40.64, 72.72(a), 72.76, 72.78, 74.4, 74.13,
74.15, 150.16 and 150.17 are designated as Category ``NRC,'' because
these are areas of exclusive NRC regulatory authority. The following
new sections, Sec. Sec. 40.4, 72.3 and 150.3, are also designated
Compatibility Category ``NRC.'' Compatibility Category ``NRC'' are the
NRC program elements that address areas of regulation that cannot be
relinquished to Agreement States under the Atomic Energy Act or
provisions of Title 10 of the Code of Federal Regulations. Although an
Agreement State may not adopt program elements reserved to NRC, it may
wish to inform its licensees of certain requirements via a mechanism
that is consistent with the particular State's administrative procedure
laws, but does not confer regulatory authority on the State.
[[Page 5354]]
VI. Plain Language
The Presidential Memorandum dated June 1, 1998, entitled, ``Plain
Language in Government Writing'' directed that the Government's writing
be in plain language. NRC requests comments on this proposed rule
specifically with respect to the clarity and effectiveness of the
language used. Comments should be sent to the address listed under the
heading ``ADDRESSES'' of this document.
VII. Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995 (Pub.
L. 104-113) requires that Federal agencies use technical standards that
are developed or adopted by voluntary consensus standards bodies unless
the use of such a standard is inconsistent with applicable law or
otherwise impractical. In this proposed rule, the NRC would modify
current reporting requirements for source material and special nuclear
material to the Nuclear Materials Management and Safeguards System
(NMMSS). This action does not constitute the establishment of a
standard that establishes generally applicable requirements.
VIII. Environmental Impact: Categorical Exclusion
NRC has determined that this proposed rule is the type of action
described in categorical exclusion 10 CFR 51.22(c)(1) for the proposed
changes to Part 150 and as described in 10 CFR 51.22(c)(3)(iii) for the
changes to Parts 40, 72, and 74. Therefore, neither an environmental
impact statement nor an environmental assessment has been prepared for
this proposed rule.
IX. Paperwork Reduction Act Statement
This proposed rule contains new or amended information collection
requirements that are subject to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq). This rule has been submitted to the Office of
Management and Budget for review and approval of the information
collection requirements.
Type of submission, new or revision: Revision.
The title of the information collection: 10 CFR Parts 40, 72, 74,
and 150, ``Regulatory Improvements to Nuclear Materials Management and
Safeguards System,'' Proposed Rule.
The form number if applicable: DOE/NRC Form 741 ``Nuclear Material
Transaction Report,'' DOE/NRC Form 742, ``Material Balance Report,''
and DOE/NRC Form 742C, ``Physical Inventory Listing.''
How often the collection is required: Annually, or when a
transaction is made.
Who will be required or asked to report: Licensees who possess one
gram or more of special nuclear material, one kilogram or more of
foreign obligated source material and licensees who possess one
kilogram or more of source material used in uranium enrichment,
downblending of uranium enriched to 10 percent or more in U-235 and
mixed-oxide fuel fabrication activities.
An estimate of the number of annual responses: 33,065 (currently
33,860 total responses for Forms 741, 742 and 742C per year. Proposed
rule would decrease the responses to 33,065 per year because of a
reduction in the information collection for export of special nuclear
material and source material). The reduction was achieved by:
NRC Form 741: -1195 responses.
NRC Form 742: +200 responses.
NRC Form 742C: +200 responses.
The estimated number of annual respondents: 380. Currently, 180
licensees report information on Forms 741, 742 and 742C. Two hundred
additional respondents for each of the Forms 742 and 742C are expected
in the proposed rule as follows:
NRC Form 741: 180 respondents.
NRC Form 742: 380 respondents.
NRC Form 742C: 380 respondents.
An estimate of the total number of hours needed annually to
complete the requirement or request: A reduction of 695 hours (NRC Form
741: -1495 hours at 1.25 hours/response; NRC Form 742, +400 hours at
2hours/response; NRC Form 742C, +400 hours at 2hours/response).
Abstract: NRC is proposing to amend its regulations related to
current reporting requirements for source material and special nuclear
material to the NMMSS. The proposed amendments would require that all
licensees possessing one gram or more of special nuclear material (SNM)
or one kilogram or more of source material with foreign treaty
obligations to report and reconcile material balance and inventory
information at least annually. Additionally, inventory adjustments
would have to be reported. The proposed amendments would also reduce
the current reporting requirements associated with the export of source
material or SNM to require in most cases, only shipper information be
reported. The rule would require licensees who engage in certain
activities (i.e., enrichment, downblending, mixed-oxide fuel
fabrication) to report information on all source materials used for
those activities. These information collections are mandatory.
NRC is seeking public comment on the potential impact of the
information collections contained in this proposed rule and on the
following issues:
1. Is the proposed information collection necessary for the proper
performance of the functions of NRC, including whether the information
will have practical utility?
2. Is the estimate of burden accurate?
3. Is there a way to enhance the quality, utility, and clarity of
the information to be collected?
4. How can the burden of the information collection be minimized,
including the use of automated collection techniques?
A copy of the OMB clearance package may be viewed free of charge at
the NRC Public Document Room, One White Flint North, 11555 Rockville
Pike, Room O-1 F21, Rockville, MD 20852. The OMB clearance package and
rule are available at the NRC worldwide Web site: http://www.nrc.gov/public-involve/doc-comment/omb/index.html
for 60 days after the
signature date of this notice and are also available at the rule forum
site, http://ruleforum.llnl.gov.
Send comments on any aspect of these proposed information
collections, including suggestions for reducing the burden and on the
above issues, by March 8, 2007 to the Records and FOIA/Privacy Services
Branch (T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001, or by Internet electronic mail to INFOCOLLECTS@NRC.GOV and
to the Desk Officer, Margaret A. Malanoski, Office of Information and
Regulatory Affairs, NEOB-10202, (3150-0020, 3150-0003, 3150-0132, 3150-
0123, 3150-0032, 3150-0004, and 3150-0058), Office of Management and
Budget, Washington, DC 20503. Comments received after this date will be
considered if it is practical to do so, but assurance of consideration
cannot be given to comments received after this date. You may also e-
mail comments to Margaret_A._Malanoski@omb.eop.gov or comment by
telephone at (202) 395-3321.
X. Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
XI. Regulatory Analysis
The Commission has prepared a draft regulatory analysis on this
proposed
[[Page 5355]]
regulation. The analysis examines the costs and benefits of the
alternatives considered by the Commission. The Commission requests
public comment on the draft regulatory analysis. Comments on the draft
analysis may be submitted to the NRC as indicated under the ADDRESSES
heading of this document. The analysis is available for inspection in
the NRC Public Document Room, 11555 Rockville Pike, Rockville, MD.
Single copies of the regulatory analysis are available from Neelam
Bhalla, telephone (301) 415-6843, e-mail, nxb@nrc.gov of the Office of
Federal and State Materials and Environmental Management Programs.
XII. Regulatory Flexibility Certification
In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C.
605(b)), the Commission certifies that this rule would not, if
promulgated, have a significant economic impact on a substantial number
of small entities. The proposed rule would affect about 180 licensees
who are currently required to file reports and approximately 200
additional NRC and Agreement State licensees. Affected licensees
include enrichment facilities, fuel fabricators, laboratories,
reactors, universities, colleges, medical clinics, and hospitals, some
of which may qualify as small business entities as defined by 10 CFR
2.810. The proposed rule would result in annual savings for the 17
licensees subject to current reporting requirements because there would
be a reduction in the number of transaction forms submitted for certain
export transactions. However, for the licensees possessing 350 grams or
less of SNM, there would be an additional cost from the proposed
regulations. The annual time required by these licensees to complete
each inventory and material balance report is estimated at two hours.
No research or compilation is necessary because all information is
transcribed from in-house records kept for other purposes. The total
annual burden to perform the proposed reporting and reconciliation for
these 200 licensees would be 400 hours. Based on the draft regulatory
analysis conducted for this action, the annual costs of the proposed
amendments for affected licensees are estimated to be $34,800 total or
on average about $174 per affected licensee. NRC believes that the
selected alternative reflected in the proposed amendment is the least
burdensome, most flexible alternative that would accomplish the NRC's
regulatory objective.
XIII. Backfit Analysis
NRC has determined that the backfit rule (Sec. Sec. 50.109, 70.76,
72.62, or 76.76) does not apply to this proposed rule because this
amendment would not involve any provisions that would impose backfits
as defined in the backfit rule. Therefore, a backfit analysis is not
required.
List of Subjects
10 CFR Part 40
Criminal penalties, Government contracts, Hazardous materials
transportation, Nuclear materials, Reporting and recordkeeping
requirements, Source material, Uranium.
10 CFR Part 72
Administrative practice and procedure, Criminal penalties, Manpower
training programs, Nuclear materials, Occupational safety and health,
Penalties, Radiation protection, Reporting and recordkeeping
requirements, Security measures, Spent fuel, Whistleblowing.
10 CFR Part 74
Accounting, Criminal penalties, Hazardous materials transportation,
Material control and accounting, Nuclear materials, Packaging and
containers, Radiation protection, Reporting and recordkeeping
requirements, Scientific equipment, Special nuclear material.
10 CFR Part 150
Criminal penalties, Hazardous materials transportation,
Intergovernmental relations, Nuclear materials, Reporting and
recordkeeping requirements, Security measures, Source material, Special
nuclear material.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; and 5 U.S.C. 553; the NRC is proposing to
adopt the following amendments to 10 CFR parts 40, 72, 74, and 150.
PART 40--DOMESTIC LICENSING OF SOURCE MATERIAL
1. The authority citation for part 40 continues to read as follows:
Authority: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68
Stat. 932, 933, 935, 948, 953, 954, 955, as amended, secs. 11e(2),
83, 84, Pub. L. 95-604, 92 Stat. 3033, as amended, 3039, sec. 234,
83 Stat. 444, as amended (42 U.S.C. 2014(e)(2), 2092, 2093, 2094,
2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274,
Pub. L. 86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as
amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C.
5841, 5842, 5846); sec. 275, 92 Stat. 3021, as amended by Pub. L.
97-415, 96 Stat. 2067 (42 U.S.C. 2022); sec. 193, 104 Stat. 2835, as
amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C.
2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note).
Section 40.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat.
2951 (42 U.S.C. 5851). Section 40.31(g) also issued under sec. 122,
68 Stat. 939 (42 U.S.C. 2152). Section 40.46 also issued under sec.
184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 40.71 also
issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).
2. In Sec. 40.4, a new definition, Reconciliation, is added in
alphabetical order to read as follows:
Sec. 40.4 Definitions.
* * * * *
Reconciliation means the process of evaluating and comparing
licensee reports required under this part to the projected material
balances generated by the Nuclear Materials Management and Safeguards
System. This process is considered complete when the licensee resolves
any differences between the reported and projected balances, including
those listed for foreign obligated materials.
* * * * *
3. In Sec. 40.64, paragraphs (a) and (b) are revised to read as
follows:
Sec. 40.64 Reports.
(a) Except as specified in paragraphs (d) and (e) of this section,
each specific licensee who: transfers, receives, or adjusts the
inventory in any manner, of uranium or thorium source material with
foreign obligations by one kilogram or more; or who imports or exports
one kilogram or more of uranium or thorium source material; or who uses
one kilogram or more of any uranium or thorium source material in
enrichment services, downblending uranium that has an initial
enrichment of the U\235\ isotope of 10 percent or more, or in the
fabrication of mixed-oxide fuels, shall complete a Nuclear Material
Transaction Report in computer-readable format as specified in the
instructions in NUREG/BR-0006 and NMMSS Report D-24, ``Personal
Computer Data Input for NRC Licensees.'' Each licensee who exports one
kilogram or more of uranium or thorium source material shall complete
in the format listed above the licensee's portion of the Nuclear
Material Transaction Report unless there is indication of loss, theft,
or diversion as discussed under paragraph (d) of this section, in which
case both the licensee's and the foreign facility's
[[Page 5356]]
information must be reported. Licensees who import one kilogram or more
of uranium or thorium source material shall complete the supplier's and
the licensee's portion of the Nuclear Material Transaction Report.
Copies of the instructions may be obtained either by writing the U.S.
Nuclear Regulatory Commission, Division of Fuel Cycle Safety and
Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. Each licensee who transfers the material shall
submit a Nuclear Material Transaction Report in computer-readable
format as specified in the instructions no later than the close of
business the next working day. Each licensee who receives the material
shall submit a Nuclear Material Transaction Report in computer-readable
format in accordance with instructions within ten (10) days after the
material is received. The Commission's copy of the report must be
submitted to the address specified in the instructions. These
prescribed computer-readable forms replace the DOE/NRC Form 741
previously submitted in paper form.
(b) Except as specified in paragraphs (d) and (e) of this section,
each licensee who:
(1) Possesses, or had possessed in the previous reporting period,
at any one time and location, one kilogram or more of uranium or
thorium source material with foreign obligations as defined in this
part, shall document holdings as of September 30 of each year and
submit to the Commission within 30 days, a statement of its source
material inventory with foreign obligations as defined in this part.
Alternatively, this information may be submitted with the licensee's
material status reports on special nuclear material filed under parts
72 or 74 of this chapter, as a statement of its source material
inventory with foreign obligations as defined in this part. This
statement must be submitted to the address specified in the reporting
instructions in NUREG/BR-0007, and include the Reporting Identification
Symbol (RIS) assigned by the Commission to the licensee.
(2) Possesses, or had possessed in the previous reporting period,
one kilogram or more of uranium or thorium source material pursuant to
the operation of enrichment services, downblending uranium that has an
initial enrichment of the U\235\ isotope of 10 percent or more, or in
the fabrication of mixed-oxide fuels shall complete and submit, in
computer-readable format, Material Balance and Physical Inventory
Listing Reports concerning all source material that the licensee has
received, produced, possessed, transferred, consumed, disposed of, or
lost. Reports must be submitted for each Reporting Identification
Symbol (RIS) account including all holding accounts. Each licensee
shall prepare and submit these reports as specified in the instructions
in NUREG/BR-0007 and NMMSS Report D-24, ``Personal Computer Data Input
for NRC Licensees.'' These reports must document holdings as of
September 30 of each year and must be submitted to the Commission
within 30 days. Alternatively, these reports may be submitted with the
licensee's material status reports on special nuclear material filed
under parts 72 or 74 of this chapter. Copies of the reporting
instructions may be obtained either by writing to the U.S. Nuclear
Regulatory Commission, Division of Fuel Cycle Safety and Safeguards,
Washington, DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. Each
licensee required to report material balance, inventory, and/or foreign
obligation information, as detailed in this part, shall resolve any
discrepancies identified during the report review and reconciliation
process within 30 calendar days of notification of a discrepancy
identified by the NRC.
* * * * *
PART 72--LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF
SPENT NUCLEAR FUEL, HIGH-LEVEL RADIOACTIVE WASTE AND REACTOR-
RELATED GREATER THAN CLASS C WASTE
4. The authority citation for Part 72 continues to read as follows:
Authority: Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183,
184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953,
954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C.
2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233,
2234, 2236, 2237, 2238, 2282); sec. 274, Pub. L. 86-373, 73 Stat.
688, as amended (42 U.S.C. 2021); sec. 201, as amended, 202, 206, 88
Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846);
Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-
486, sec. 7902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 102, Pub. L.
91-190, 83 Stat. 853 (42 U.S.C. 4332); secs. 131, 132, 133, 135,
137, 141, Pub. L. 97-425, 96 Stat. 2229, 2230, 2232, 2241, sec. 148,
Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10151, 10152, 10153,
10155, 10157, 10161, 10168); sec. 1704, 112 Stat. 2750 (44 U.S.C.
3504 note); sec. 651(e), Pub. L. 109-58, 119 Stat. 806-10 (42 U.S.C.
2014, 2021, 2021b, 2111).
Section 72.44(g) also issued under secs. 142(b) and 148(c), (d),
Pub. L. 100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C. 10162(b),
10168(c), (d)). Section 72.46 also issued under sec. 189, 68 Stat.
955 (42 U.S.C. 2239); sec. 134, Pub. L. 97-425, 96 Stat. 2230 (42
U.S.C. 10154). Section 72.96(d) also issued under sec. 145(g), Pub.
L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10165(g)). Subpart J also
issued under secs. 2(2), 2(15), 2(19), 117(a), 141(h), Pub. L. 97-
425, 96 Stat. 2202, 2203, 2204, 2222, 2224 (42 U.S.C. 10101,
10137(a), 10161(h)). Subparts K and L are also issued under sec.
133, 98 Stat. 2230 (42 U.S.C. 10153) and sec. 218(a), 96 Stat. 2252
(42 U.S.C. 10198).
5. In Sec. 72.3, a new definition, Reconciliation, is added in
alphabetical order to read as follows:
Sec. 72.3 Definitions.
* * * * *
Reconciliation means the process of evaluating and comparing
licensee reports required under this part to the projected material
balances generated by the Nuclear Materials Management and Safeguards
System. This process is considered complete when the licensee resolves
any differences between the reported and projected balances, including
those listed for foreign obligated materials.
* * * * *
6. In Sec. 72.72, paragraph (a) is revised to read as follows:
Sec. 72.72 Material balance, inventory, and record requirements for
stored materials.
(a) Each licensee shall keep records showing the receipt, inventory
(including location), disposal, acquisition, and transfer of all
special nuclear material with quantities as specified in Sec. 74.13(a)
and for source material as specified in Sec. 40.64 of this chapter.
The records must include as a minimum the name of shipper of the
material to the ISFSI or MRS, the estimated quantity of radioactive
material per item (including special nuclear material in spent fuel and
reactor-related GTCC waste), item identification and seal number,
storage location, onsite movements of each fuel assembly or storage
canister, and ultimate disposal. These records for spent fuel and
reactor-related GTCC waste at an ISFSI or for spent fuel, high-level
radioactive waste, and reactor-related GTCC waste at an MRS must be
retained for as long as the material is stored and for a period of 5
years after the material is disposed of or transferred out of the ISFSI
or MRS.
* * * * *
7. In Sec. 72.76, paragraph (a) is revised to read as follows:
Sec. 72.76 Material status reports.
(a) Except as provided in paragraph (b) of this section, each
licensee shall complete in computer-readable format and submit to the
Commission a Material Balance Report and a Physical
[[Page 5357]]
Inventory Listing Report as specified in the instructions in NUREG/BR-
0007 and NMMSS Report D-24 ``Personal Computer Data Input for NRC
Licensees.'' Copies of these instructions may be obtained either by
writing to the U.S. Nuclear Regulatory Commission, Division of Fuel
Cycle Safety and Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. These reports, as specified by Sec. Sec. 74.13
or 40.64 of this chapter, provide information concerning the special
nuclear material and or source material possessed, received,
transferred, disposed of, or lost by the licensee. Each report must be
submitted within 60 days of the beginning of the physical inventory
required by Sec. 72.72(b) of this chapter. The Commission may, when
good cause is shown, permit a licensee to submit Material Balance
Reports and Physical Inventory Listing Reports at other times. Each
licensee required to report material balance and inventory information
as described in this part, shall resolve any discrepancies identified
during the report review and reconciliation process within 30 calendar
days of notification of a discrepancy identified by NRC. The
Commission's copy of this report must be submitted to the address
specified in the instructions. These prescribed, computer-readable
forms replace the DOE/NRC Forms 742 and 742C previously submitted in
paper form.
* * * * *
8. In Sec. 72.78 the section heading and paragraph (a) are revised
to read as follows:
Sec. 72.78 Nuclear material transaction reports.
(a) Except as provided in paragraph (b) of this section, whenever
the licensee transfers or receives or adjusts the inventory in any
manner, of special nuclear material as specified by Sec. 74.15 and or
source material as specified by Sec. 40.64 of this chapter, the
licensee shall complete in computer-readable format a Nuclear Material
Transaction Report as specified in the instructions in NUREG/BR-0006
and NMMSS Report D-24, ``Personal Computer Data Input for NRC
Licensees.'' Copies of these instructions may be obtained either by
writing to the U.S. Nuclear Regulatory Commission, Division of Fuel
Cycle Safety and Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. Each licensee who transfers the material shall
submit a Nuclear Material Transaction Report in computer-readable
format as specified in the instructions no later than the close of
business the next working day. Each licensee who receives the material
shall submit a Nuclear Material Transaction Report in computer-readable
format in accordance with instructions within ten (10) days after the
material is received. Each ISFSI licensee who receives spent fuel from
a foreign source shall complete both the supplier's and the receiver's
portion of the Nuclear Material Transaction Report, verify the identity
of the spent fuel, and indicate the results on the receiver's portion
of the form. These prescribed computer-readable forms replace the DOE/
NRC Form 741 which have been previously submitted in paper form.
* * * * *
PART 74--MATERIAL CONTROL AND ACCOUNTING OF SPECIAL NUCLEAR
MATERIAL
9. The authority citation for Part 74 continues to read as follows:
Authority: Secs. 53, 57, 161, 182, 183, 68 Stat. 930, 932, 948,
953, 954, as amended, sec. 234, 83 Stat. 444, as amended, sec. 1701,
106 Stat. 2951, 2952, 2953, (42 U.S.C. 2073, 2077, 2201, 2232, 2233,
2282, 2297f); secs. 201, as amended 202, 206, 88 Stat. 1242, as
amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112
Stat. 2750 (44 U.S.C. 3504 note).
10. In Sec. 74.2, paragraph (a) is revised to read as follows:
Sec. 74.2 Scope.
(a) The general reporting and recordkeeping requirements of subpart
B of this part apply to each person licensed under this chapter who
possesses special nuclear material in a quantity of one gram or more of
contained uranium-235, uranium-233, or plutonium; or who transfers or
receives a quantity of special nuclear material of one gram or more of
contained uranium-235, uranium-233, or plutonium. The general reporting
and recordkeeping requirements of subpart B of this part do not apply
to licensees whose MC&A reporting and recordkeeping requirements are
covered by Sec. Sec. 72.72, 72.76, and 72.78 of this chapter.
* * * * *
11. In Sec. 74.4, a new definition, Reconciliation, is added in
alphabetical order to read as follows:
Sec. 74.4 Definitions.
* * * * *
Reconciliation means the process of evaluating and comparing
licensee reports required under this part to the projected material
balances generated by the Nuclear Materials Management and Safeguards
System. This process is considered complete when the licensee resolves
any differences between the reported and projected balances, including
those listed for foreign obligated materials.
* * * * *
12. In Sec. 74.13, paragraph (a) is revised to read as follows:
Sec. 74.13 Material status reports.
(a) Each licensee, including nuclear reactor licensees as defined
in Sec. Sec. 50.21 and 50.22 of this chapter, possessing, or who had
possessed in the previous reporting period, at any one time and
location special nuclear material in a quantity totaling one gram or
more of contained uranium-235, uranium-233, or plutonium shall complete
and submit, in computer-readable format Material Balance Reports
concerning special nuclear material that the licensee has received,
produced, possessed, transferred, consumed, disposed, or lost. This
prescribed computer-readable report replaces the DOE/NRC form 742 which
has been previously submitted in paper form. The Physical Inventory
Listing Report must be submitted with each Material Balance Report.
This prescribed computer-readable report replaces the DOE/NRC Form 742C
which has been previously submitted in paper form. Reports must be
submitted for each Reporting Identification Symbol (RIS) account
including all holding accounts. Each licensee shall prepare and submit
the reports described in this paragraph as specified in the
instructions in NUREG/BR-0007 and NMMSS Report D-24 ``Personal Computer
Data Input for NRC Licensees.'' Copies of these instructions may be
obtained from the U.S. Nuclear Regulatory Commission, Division of Fuel
Cycle Safety and Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. Each licensee subject to the requirements of
Sec. 74.51 shall compile a report as of March 31 and September 30 of
each year and file it within 30 days after the end of the period
covered by the report. Licensees subject to the requirements of
Sec. Sec. 74.19(c), 74.31(c)(5), 74.33(c)(4), or 74.43(c)(6) shall
submit a report within 60 calendar days of the beginning of the
physical inventory. All other licensees shall submit a report no later
than March 31 of each year. The Commission may permit a licensee to
submit the reports at other times for good cause. Each licensee
required to report material balance, and inventory information, as
detailed in this part, shall resolve any discrepancies identified
during the report review and reconciliation process
[[Page 5358]]
within 30 calendar days of notification of a discrepancy identified by
NRC.
* * * * *
13. In Sec. 74.15 the section heading and paragraph (a) are
revised, paragraph (c) is redesignated as a new paragraph (d), and a
new paragraph (c) is added to read as follows:
Sec. 74.15 Nuclear material transaction reports.
(a) Each licensee who transfers, receives, or adjusts the inventory
in any manner of special nuclear material in a quantity of one gram or
more of contained uranium-235, uranium-233, or plutonium shall complete
in computer-readable format a Nuclear Material Transaction Report. This
shall be done as specified in the instructions in NUREG/BR-0006 and
NMMSS Report D-24, ``Personal Computer Data Input for NRC Licensees.''
Copies of these instructions NUREG/BR-0006 and NMMSS Report D-24,
``Personal Computer Data Input for NRC Licensees'' may be obtained
either by writing the U.S. Nuclear Regulatory Commission, Division of
Fuel Cycle Safety and Safeguards, Washington, DC 20555-0001, or by e-
mail to RidsNmssFcss@nrc.gov. Each licensee who transfers the material
shall submit a Nuclear Material Transaction Report in computer-readable
format as specified in the instructions no later than the close of
business the next working day. Each licensee who receives the material
shall submit a Nuclear Material Transaction Report in computer-readable
format in accordance with instructions within ten (10) days after the
material is received. This prescribed computer-readable format replaces
the DOE/NRC Form 741 which has been previously submitted in paper form.
* * * * *
(c) Each licensee who ships special nuclear material in a quantity
of one gram or more of contained uranium-235, uranium-233, or plutonium
to foreign recipient shall complete in computer-readable format the
supplier's portion of the Nuclear Material Transaction Report. The
licensee shall complete the receiver's portion of the Nuclear Material
Transaction Report only if a significant shipper-receiver difference as
described in Sec. Sec. 74.31, 74.43, or 74.59 of this part, as
applicable, is identified.
* * * * *
PART 150--EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN
AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274
14. The authority citation for Part 150 continues to read as
follows:
Authority: Sec. 161, 68 Stat. 948, as amended, sec. 274, 73
Stat. 688 (42 U.S.C. 2201, 2021); sec. 201, 88 Stat. 1242, as
amended (42 U.S.C. 5841); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504
note).
Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued
under secs. 11e(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84,
92 Stat. 3033, 3039 (42 U.S.C. 2014e(2), 2111, 2113, 2114). Section
150.14 also issued under sec. 53, 68 Stat. 930, as amended (42
U.S.C. 2073). Section 150.15 also issued under secs. 135, 141, Pub.
L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section
150.17a also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152).
Section 150.30 also issued under sec. 234, 83 Stat. 444 (42 U.S.C.
2282).
15. In Sec. 150.3, a new definition, Reconciliation, is added in
alphabetical order to read as follows:
Sec. 150.3 Definitions.
* * * * *
Reconciliation means the process of evaluating and comparing
licensee reports required under this part to the projected material
balances generated by the Nuclear Materials Management and Safeguards
System. This process is considered complete when the licensee resolves
any differences between the reported and projected balances, including
those listed for foreign obligated materials.
* * * * *
16. In Sec. 150.8, paragraph (c)(1) is revised, paragraph (c)(2)
is redesignated as a new paragraph (c)(3), and a new paragraph (c)(2)
is added to read as follows:
Sec. 150.8 Information collection requirements: OMB approval.
* * * * *
(c) * * *
(1) In Sec. 150.16, DOE/NRC FORM 741 and its computer-readable
format are approved under control number 3150-0003.
(2) In Sec. 150.17, DOE/NRC Form 742 and its computer-readable
format are approved under control number 3150-0004, and DOE/NRC Form
742C and its computer-readable format are approved under control number
3150-0058.
* * * * *
17. In Sec. 150.16, the section heading and paragraph (a) are
revised to read as follows:
Sec. 150.16 Submission to Commission of nuclear material transaction
reports.
(a)(1) Each person who transfers, receives, or adjusts the
inventory in any manner of special nuclear material in a quantity of
one gram or more of contained uranium-235, uranium-233, or plutonium
under an Agreement State license shall complete and submit in computer-
readable format Nuclear Material Transaction Reports as specified in
the instructions in NUREG/BR-0006 and NMMSS Report D-24, ``Personal
Computer Data Input for NRC Licensees.'' Each licensee who receives
special nuclear material in a quantity of one gram or more of contained
uranium-235, uranium-233, or plutonium from a foreign source, or who
ships special nuclear material in a quantity of one gram or more of
contained uranium-235, uranium-233, or plutonium to a foreign source,
shall submit the licensee portion of this information as specified in
the instructions in this part. The applicable foreign facility portion
of the form must be completed and submitted for imports. The foreign
facility portion of the form must be completed for exports only if a
significant shipper-receiver difference as described in Sec. Sec.
74.31, 74.43, or 74.59, of this part, as applicable, is identified.
Each person who transfers the material shall submit a Nuclear Material
Transaction Report in computer-readable format as specified in the
instructions no later than the close of business the next working day.
Each person who receives special nuclear material shall submit in the
computer-readable format as specified in the instructions within ten
(10) days after the special nuclear material is received. Copies of
these instructions may be obtained either by writing to the U.S.
Nuclear Regulatory Commission, Division of Fuel Cycle Safety and
Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. These prescribed computer-readable formats
replace the DOE/NRC Form 741s which have been previously submitted in
paper form.
(2) Except as specified in Sec. Sec. 150.17(d) and 150.17a, each
person who, under an Agreement State specific license: transfers,
receives, or adjusts the inventory in any manner, of uranium or thorium
source material with foreign obligations by one kilogram or more;
imports or exports one kilogram or more of uranium or thorium source
material; or uses one kilogram or more of any uranium or thorium source
material in enrichment services, downblending uranium that has an
initial enrichment of the U235 isotope of 10 percent or more, or in the
fabrication of mixed-
[[Page 5359]]
oxide fuels, shall complete and submit in computer-readable format
Nuclear Material Transaction Reports as specified in the instructions
in NUREG/BR-0006 and NMMSS Report D-24, ``Personal Computer Data Input
for NRC Licensees.'' Each person who, under an Agreement State specific
license exports one kilogram or more of uranium or thorium source
material shall complete in the format listed above the licensee's
portion of the Nuclear Material Transaction Report unless there is
indication of loss, theft, or diversion as discussed in Sec.
40.64(c)(1) of this chapter is identified, in which case both the
licensee's and the foreign facility's information shall be reported.
For imports, the shipper's portion of the form must also be completed.
Copies of the instructions may be obtained either by writing to the
U.S. Nuclear Regulatory Commission, Division of Fuel Cycle Safety and
Safeguards, Washington, DC 20555-0001, or by e-mail to
RidsNmssFcss@nrc.gov. Each licensee who transfers the material shall
submit a Nuclear Material Transaction Report in computer-readable
format as specified in the instructions no later than the close of
business the next working day. Each licensee who receives the material
shall submit a Nuclear Material Transaction Report in computer-readable
format in accordance with instructions within ten (10) days after the
material is received. The Commission's copy of the report must be
submitted to the address specified in the instructions. These
prescribed computer-readable forms replace the DOE/NRC Form 741 which
have been previously submitted in paper form.
* * * * *
18. In Sec. 150.17, the section heading and paragraphs (a) and (b)
are revised to read as follows:
Sec. 150.17 Submission to Commission of nuclear material status
reports.
(a) Except as specified in paragraph (d) of this section and Sec.
150.17a, each person possessing, or who had possessed in the previous
reporting period, at any one time and location, under an Agreement
State license, special nuclear material in a quantity totaling one gram
or more of contained uranium-235, uranium-233, or plutonium, shall
complete and submit, in computer-readable format Material Balance
Reports concerning special nuclear material that the licensee has
received, produced, possessed, transferred, consumed, disposed of, or
lost. This prescribed computer-readable report replaces the DOE/NRC
Form 742 which has been previously submitted in paper form. The
Physical Inventory Listing Report must be submitted with each Material
Balance Report. This prescribed computer-readable report replaces the
DOE/NRC Form 742C which has been previously submitted in paper form.
Each licensee shall prepare and submit the reports described in this
paragraph as specified in the instructions in NUREG/BR-0007 and NMMSS
Report D-24 ``Personal Computer Data Input for NRC Licensees.'' Copies
of these instructions may be obtained from the U.S. Nuclear Regulatory
Commission, Division of Fuel Cycle Safety and Safeguards, Washington,
DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. Each person
subject to this requirement shall submit a report no later than March
31 of each year. The Commission may, when good cause is shown, permit a
licensee to submit Material Balance Reports and Physical Inventory
Listing Reports at other times. Each licensee required to report
material balance, and inventory information, as described in this part,
shall resolve any discrepancies identified during the report review and
reconciliation process within 30 calendar days of notification of a
discrepancy identified by NRC.
(b) Except as specified in paragraph (d) of this section and Sec.
150.17a, each person possessing, or who had possessed in the previous
reporting period, at any one time and location, under an Agreement
State license:
(1) One kilogram or more of uranium or thorium source material with
foreign obligations, shall document holdings as of September 30 of each
year and submit to the Commission within 30 days. Alternatively, these
reports may be submitted with the licensee's material status reports on
special nuclear material filed under parts 72 or 74 of this chapter.
(2) One kilogram or more of uranium or thorium source material in
the operation of enrichment services, downblending uranium that has an
initial enrichment of the U235 isotope of 10 percent or more, or in the
fabrication of mixed-oxide fuels shall complete and submit, in
computer-readable format, Material Balance and Physical Inventory
Listing Reports concerning source material that the licensee has
received, produced, possessed, transferred, consumed, disposed of, or
lost. Reports must be submitted for each Reporting Identification
Symbol (RIS) account including all holding accounts. Each licensee
shall prepare and submit these reports as specified in the instructions
in NUREG/BR-0007 and NMMSS Report D-24, ``Personal Computer Data Input
for NRC Licensees.'' These reports must document holdings as of
September 30 of each year and be submitted to the Commission within 30
days. Alternatively, these reports may be submitted with the licensee's
material status reports on special nuclear material filed under parts
72 or 74 of this chapter. Copies of the reporting instructions may be
obtained by writing the to U.S. Nuclear Regulatory Commission, Division
of Fuel Cycle Safety and Safeguards, Washington, DC 20555-0001, or by
e-mail to RidsNmssFcss@nrc.gov. Each licensee required to report
material balance, and inventory information, as described in this part,
shall resolve any discrepancies identified during the report review and
reconciliation process within 30 calendar days of the notification of a
discrepancy identified by the NRC.
* * * * *
Dated at Rockville, Maryland, this 30th day of January 2007.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. E7-1867 Filed 2-5-07; 8:45 am]
BILLING CODE 7590-01-P