Records and Postings

10 C.F.R. Part ..., Subpart H
in effectEffective: 2024-07-01

10 C.F.R. § 73.70 Records.

Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. Each licensee subject to the provisions of §§ 73.20, 73.25, 73.26, 73.27, 73.45, 73.46, 73.55, or 73.60 shall keep the following records: (a) Names and addresses of all individuals who have been designated as authorized individuals. The licensee shall retain this record of currently designated authorized individuals for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each license that authorizes the activity that is subject to the recordkeeping requirement and, for three years thereafter. Copies of superseded material must be retained for three years after each change. (b) Names, addresses, and badge numbers of all individuals authorized to have access to vital equipment or special nuclear material, and the vital areas and material access areas to which authorization is granted. The licensee shall retain the record of individuals currently authorized this access for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each license that authorizes the activity that is subject to the recordkeeping requirement and, for three years thereafter. Copies of superseded material must be retained for three years after each change. (c) A register of visitors, vendors, and other individuals not employed by the licensee pursuant to §§ 73.46(d)(13), 73.55(g)(7), or 73.60. The licensee shall retain this register as a record, available for inspection, for 3 years after the last entry is made in the register. (d) A log indicating name, badge number, time of entry, and time of exit of all individuals granted access to a vital area except those individuals entering or exiting the reactor control room. The licensee shall retain this log as a record for three years after the last entry is made in the log. (e) Documentation of all routine security tours and inspections, and of all tests, inspections, and maintenance performed on physical barriers, intrusion alarms, communications equipment, and other security related equipment used pursuant to the requirements of this part. The licensee shall retain the documentation for these events for three years from the date of documenting each event. (f) A record at each onsite alarm annunciation location of each alarm, false alarm, alarm check, and tamper indication that identifies the type of alarm, location, alarm circuit, date, and time. In addition, details of response by facility guards and watchmen to each alarm, intrusion, or other security incident shall be recorded. The license shall retain each record for three years after the record is made. (g) Shipments of special nuclear material subject to the requirements of this part, including names of carriers, major roads to be used, flight numbers in the case of air shipments, dates and expected times of departure and arrival of shipments, verification of communication equipment on board the transfer vehicle, names of individuals who are to communicate with the transport vehicle, container seal descriptions and identification, and any other information to confirm the means utilized to comply with §§ 73.25, 73.26, and 73.27. This information must be recorded prior to shipment. Information obtained during the course of the shipment such as reports of all communications, change of shipping plan, including monitor changes, trace investigations, and others must also be recorded. The licensee shall retain each record about a shipment required by this paragraph (g) for three years after the record is made. (h) Procedures for controlling access to protected areas and for controlling access to keys for locks used to protect special nuclear material. The licensee shall retain a copy of the current procedures as a record until the Commission terminates each license for which the procedures were developed and, if any portion of the procedure is superseded, retain the superseded material for three years after each change.

10 C.F.R. § 73.72 Requirement for advance notice of shipment of formula quantities of strategic special nuclear material, special nuclear material of moderate strategic significance, or irradiated reactor fuel.

(a) A licensee, other than one specified in paragraph (b) of this section, who, in a single shipment, plans to deliver to a carrier for transport, to take delivery at the point where a shipment is delivered to a carrier for transport, to import, to export, or to transport a formula quantity of strategic special nuclear material, special nuclear material of moderate strategic significance, or irradiated reactor fuel 1 required to be protected in accordance with § 73.37, shall: (1) Notify in writing by mail addressed to ATTN: Director, Office of Nuclear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555, or by using any appropriate method listed in § 73.4 of this part. Classified notifications shall be sent to the NRC headquarters classified mailing address listed in appendix A to this part. (2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipping facility; (3) Include the following information in the notification: (i) The name(s), address(es), and telephone number(s) of the shipper, receiver, and carrier(s); (ii) A physical description of the shipment: (A) For a shipment other than irradiated fuel, the elements, isotopes, enrichment, and quantity; (B) For a shipment of irradiated fuel, the physical form, quantity, type of reactor, and original enrichment; (iii) A listing of the mode(s) of shipment, transfer point(s), and route(s) to be used; (iv) The estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and (v) The estimated time and date of arrival of the shipment at the destination; (4) The NRC Headquarters Operations Center shall be notified about the shipment status by telephone at the phone numbers listed in appendix A to this part. Classified and safeguards notifications shall be made by secure telephone. The notifications shall take place at the following intervals: (i) At least 2 days before commencement of the shipment; (ii) Two hours before commencement of the shipment; and (iii) Once the shipment is received at its destination. (5) The NRC Headquarters Operations Center shall be notified by telephone of schedule changes of more than 6 hours at the phone numbers listed in appendix A to this part. Classified and safeguards notifications shall be made by secure telephone. (b) A licensee who conducts an on-site transfer of spent nuclear fuel that does not travel upon or cross a public highway is exempt from the requirements of this section for that transfer.

10 C.F.R. § 73.73 Requirement for advance notice and protection of export shipments of special nuclear material of low strategic significance.

(a) A licensee authorized to export special nuclear material of low strategic significance shall: (1) Notify in writing the Director, Office of Nuclear Security and Incident Response, by email (preferred method) to AdvanceNotifications.Resource@nrc.gov or by using any appropriate method listed in § 73.4; (2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipper's facility; (3) Include the following information in the notification: (i) The name(s), address(es), and telephone number(s) of the shipper, receiver, and carrier(s); (ii) A physical description of the shipment (the elements, isotopes, form, etc.); (iii) A listing of the mode(s) of shipment, transfer points, and routes to be used; (iv) The estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and (v) The estimated time and date of arrival of the shipment at the destination; (4) Assure that during transport outside the United States, the shipment will be protected in accordance with Annex I to the Convention on the Physical Protection of Nuclear Material (see appendix E of this part). (b) A licensee who needs to amend a written advance notification required by paragraph (a) of this section may notify the NRC Headquarters Operations Center by telephone at the numbers listed in appendix A to this part.

10 C.F.R. § 73.74 Requirement for advance notice and protection of import shipments of nuclear material from countries that are not party to the Convention on the Physical Protection of Nuclear Material.

(a) A licensee authorized to import special nuclear material of low strategic significance from a country not a party to the Convention on the Physical Protection of Nuclear Material (i.e., not listed in appendix F of this part) shall: (1) Notify in writing the Director, Office of Nuclear Security and Incident Response, by email (preferred method) to AdvanceNotifications.Resource@nrc.gov or by using any appropriate method listed in § 73.4; (2) Assure that the notification will be received at least 10 days before transport of the shipment commences at the shipper's facility; and (3) Include the following information in the notification: (i) The name(s), address(es) and telephone number(s) of the shipper, receiver, and carrier(s); (ii) A physical description of the shipment (the isotopes, enrichment, quantity, etc.); (iii) A listing of mode(s) of shipment, transfer points, and routes to be used; (iv) The estimated time and date that shipment will commence and that each country along the route is scheduled to be entered; and (v) The estimated time and date of arrival of the shipment at the destination. (b) A licensee who needs to amend a written advance notification required by paragraph (a) of this section may notify the NRC Headquarters Operations Center by telephone at the numbers listed in appendix A to this part. (c) A licensee authorized to import from a country not a party to the Convention on the Physical Protection of Nuclear Material (i.e., not listed in appendix F of this part) a formula quantity of special nuclear material, special nuclear material of moderate strategic significance, special nuclear material of low strategic significance, or irradiated reactor fuel shall assure that during transport outside the United States the shipment will be protected in accordance with Annex I to the Convention on the Physical Protection of Nuclear Material (see appendix E of this part).

10 C.F.R. § 73.75 Posting.

(a) This section applies to: (1) Production or utilization facilities; (2) High-level waste storage or disposal facilities and independent spent fuel storage installations; (3) Uranium enrichment, uranium conversion, or nuclear fuel fabrication facilities. (b)(1) Licensees or certificate holders operating facilities described in paragraph (a) of this section that have a protected area shall conspicuously post notices at every vehicle and pedestrian entrance to the protected area. (2) Licensees or certificate holders operating facilities described in paragraph (a) of this section that include buildings not within a protected area that nonetheless contain special nuclear material, byproduct material, or source material shall conspicuously post notices at the personnel and vehicle entrances to each such building, except with respect to buildings for which no security plan is required under this part. (3) The required notices must state: “The willful unauthorized introduction of any dangerous weapon, explosive, or other dangerous instrument or material likely to produce substantial injury or damage to persons or property into or upon these premises is a Federal crime. (42 U.S.C. 2278a.)” (4) Every notice posted under this section must be easily readable day and night by both pedestrian and vehicular traffic entering the facility or installation. (5) These notices may be combined with other notices. (c) This section does not apply to facilities that, in addition to being regulated by the NRC under a license or certificate of compliance issued by the Commission, are also covered by U.S. Department of Energy regulations imposing criminal penalties, and associated posting requirements, under section 229 of the Atomic Energy Act with respect to unauthorized introduction of dangerous weapons, explosives, or other dangerous instruments or materials likely to produce substantial injury or damage to persons or property.

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