EGM-14-001 

March 13, 2014 

MEMORANDUM TO: Those on the Attached List 

FROM: Roy P. Zimmerman, Director /RA/

Office of Enforcement

SUBJECT: ENFORCEMENT GUIDANCE MEMORANDUM 2014-001: INTERIM 

GUIDANCE FOR DISPOSITIONING 10 CFR PART 37 VIOLATIONS 

WITH RESPECT TO LARGE COMPONENTS OR ROBUST 

STRUCTURES CONTAINING CATEGORY 1 OR CATEGORY 2 

QUANTITIES OF MATERIAL AT POWER REACTOR FACILITIES 

LICENSED UNDER 10 CFR PARTS 50 AND 52 (RIN 3150-AI12) 

Purpose: 

This enforcement guidance memorandum (EGM) provides guidance for dispositioning violations 

associated with Part 37 of Title 10 of the Code of Federal Regulations (10 CFR), “Physical 

Protection of Category 1 and Category 2 Quantities of Radioactive Material,” with respect to 

large components containing category 1 or category 2 quantities of radioactive material, or 

category 1 and category 2 quantities of radioactive material stored in robust structures at power 

reactor facilities licensed under 10 CFR Parts 50 and 52. 

Background: 

On March 19, 2013 (78 FR 16921), the U.S. Nuclear Regulatory Commission (NRC) issued a 

final rule establishing 10 CFR Part 37, “Physical Protection of Category 1 and Category 2 

Quantities of Radioactive Material” (RIN 3150-AI12; NRC-2008-0120, NRC-2010-0194). The 

rule establishes physical protection requirements for licensees in possession of aggregated 

quantities of category 1 or category 2 radioactive material listed in Appendix A of 10 CFR Part 

37. These requirements are similar to those imposed by orders from the NRC and the 

Agreement States after September 11, 2001. The NRC licensees are required to be in 

compliance with the rule by March 19, 2014. 

For this EGM, a large component is defined as an item weighing 2,000 kilograms or more, but 

not containing either discrete sources or ion exchange resins. For the purpose of this 

definition, large components are limited to steam generators, steam dryers, turbine rotors, 

reactor vessels, reactor vessel heads, reactor coolant pumps, and shielding blocks. Due to their 

size and weight, these large components are not easily moved without cranes, rigging, and 

heavy equipment. In addition, these large components are not easily concealed during loading 

or when they are in motion, and the amount of time required to steal or divert these large 

components is such that it is reasonable to expect that the licensee would detect these 

activities. 

CONTACT: David Furst, OE/EB 

 (301) 415-7634
Those on the Attached List 2 

Also for this EGM, a robust structure is defined as a closed concrete bunker or modular vault, 

for which access to the radioactive materials contained within the structure, is gained only 

through the use of heavy equipment to remove structural components or large access blocks 

that weigh 2,000 kilograms or more. Access into these robust structures requires significant 

execution time. Typically, routine work activities, observation by licensees’ authorized 

individuals located within or proximal to these robust structures, and/or observation by 

licensees’ authorized individuals conducted in accordance with 10 CFR 73.55(i)(5)(ii) will 

provide the ability to detect actual or attempted theft and diversion considering the time needed 

to accomplish these activities. 

After review of how 10 CFR Part 37 applies to large components and category 1 or category 2 

quantities of radioactive material stored in robust structures, and after interaction with 

stakeholders in public meetings, the NRC has determined that enforcement discretion, under 

certain conditions, is appropriate for some violations of 10 CFR Part 37 at power reactor 

facilities while a long-term regulatory action is considered. 

 

The licensee may submit a request for a specific exemption, as described in 10 CFR 37.11(a), 

for material that may not be included in the definitions above. If the licensee submits such a 

request for a component weighing 2,000 kilograms or more, but not containing either discrete 

sources or ion exchange resins, or for a structure sufficiently robust that it would take significant 

time to access the material inside, and does so prior to the NRC inspection of the licensee’s 

facility, the NRC will withhold reaching an enforcement decision until the NRC staff completes 

its review of the exemption request. If the NRC grants the exemption request, it will also 

consider enforcement discretion for any prior violation that was remedied by the exemption. If 

the NRC denies, or the licensee withdraws, the exemption request, the NRC will disposition the 

violation through the normal enforcement process. 

Disposition of Violations: 

If an inspector identifies a potential 10 CFR Part 37 violation at a power reactor facility with 

respect to large components or category 1 or category 2 quantities of radioactive material stored 

in robust structures, the inspector should notify the appropriate Regional Branch Chief before 

conducting the exit meeting with the licensee. All potential violations shall be considered by the 

applicable Regional Office prior to disposition. 

The Regional Office shall evaluate each potential violation and consider which of the following 

three actions is appropriate: 

1. Use of ENFORCEMENT DISCRETION to not issue a notice of violation pursuant to 10 CFR 

37.11(c)(1) and (2), or Subparts B, C, and D of 10 CFR Part 37, except for violations of 10 

CFR 37.43(c), 37.45, 37.49(b) and (d), 37.57, and 37.81 with respect to robust structures 

containing category 1 or category 2 quantities of radioactive material, or to large 

components containing category 1 or 2 quantities of radioactive material, if the licensee 

meets the following conditions: 
Those on the Attached List 3 

a. The licensee has identified in writing those large components, and robust structures 

that contain category 1 or category 2 quantities of radioactive material, for which it is 

not in compliance with 10 CFR Part 37; and 

b. The licensee has an approved 10 CFR Part 73 security plan or a written 10 CFR Part 

37 security plan that provides security measures adequate to detect, assess, and 

respond to actual or attempted theft or diversion with a written analysis that 

considers the time needed to accomplish these activities given the proximity and 

mobility of the equipment available for those large components and robust structures 

identified in 1.a. above; and 

c. The licensee has a written analysis documenting that the measures above do not 

decrease the effectiveness of the 10 CFR Part 73 security plan. 

2. Decision on EXEMPTION REQUEST followed by consideration of ENFORCEMENT 

DISCRETION: If the licensee submits a request for a specific exemption as described in 

10 CFR 37.11(a) for a component weighing 2,000 kilograms or more, but not containing 

either discrete sources or ion exchange resins, or for a robust structure prior to the NRC 

inspection of the licensee’s facility, the NRC will withhold reaching an enforcement decision 

until the NRC staff completes its review of the exemption request. If the NRC finds that the 

exemption request should be granted, it will also consider enforcement discretion for any 

prior violation that was remedied by the exemption. If the NRC denies, or the licensee 

withdraws, the exemption request, the NRC will disposition the violation through the normal 

enforcement process. 

3. Use of NORMAL ENFORCEMENT process: The NRC will use the normal enforcement 

process to evaluate and disposition the violation in cases not described in paragraphs 1 or 2 

above. 

If the Regional Office determines that the noncompliance meets the criteria for using discretion, 

the Regional Office will disposition the violation through the Security Issues Forum process, or a 

modified enforcement panel process, or a Headquarters enforcement panel, as appropriate. 

The violation shall be assigned an enforcement action number to document the exercise of 

enforcement discretion and use of this EGM. This discretion is not limited to the initial 

inspection identifying the non-compliance and can be applied to subsequent inspections 

provided that all the criteria continue to be met. 

This EGM will remain effective until the underlying technical issue is dispositioned through 

rulemaking or other regulatory action. 

cc: M. Weber, DEDMRT 

 M. Johnson, DEDR 

 SECY 
Those on the Attached List 3 

a. The licensee has identified in writing those large components, and robust structures 

that contain category 1 or category 2 quantities of radioactive material, for which it is 

not in compliance with 10 CFR Part 37; and 

b. The licensee has an approved 10 CFR Part 73 security plan or a written 10 CFR Part 

37 security plan that provides security measures adequate to detect, assess, and 

respond to actual or attempted theft or diversion with a written analysis that 

considers the time needed to accomplish these activities given the proximity and 

mobility of the equipment available for those large components and robust structures 

identified in 1.a. above; and 

c. The licensee has a written analysis documenting that the measures above do not 

decrease the effectiveness of the 10 CFR Part 73 security plan. 

2. Decision on EXEMPTION REQUEST followed by consideration of ENFORCEMENT 

DISCRETION: If the licensee submits a request for a specific exemption as described in 

10 CFR 37.11(a) for a component weighing 2,000 kilograms or more, but not containing 

either discrete sources or ion exchange resins, or for a robust structure prior to the NRC 

inspection of the licensee’s facility, the NRC will withhold reaching an enforcement decision 

until the NRC staff completes its review of the exemption request. If the NRC finds that the 

exemption request should be granted, it will also consider enforcement discretion for any 

prior violation that was remedied by the exemption. If the NRC denies, or the licensee 

withdraws, the exemption request, the NRC will disposition the violation through the normal 

enforcement process. 

3. Use of NORMAL ENFORCEMENT process: The NRC will use the normal enforcement 

process to evaluate and disposition the violation in cases not described in paragraphs 1 or 2 

above. 

If the Regional Office determines that the noncompliance meets the criteria for using discretion, 

the Regional Office will disposition the violation through the Security Issues Forum process, or a 

modified enforcement panel process, or a Headquarters enforcement panel, as appropriate. 

The violation shall be assigned an enforcement action number to document the exercise of 

enforcement discretion and use of this EGM. This discretion is not limited to the initial 

inspection identifying the non-compliance and can be applied to subsequent inspections 

provided that all the criteria continue to be met. 

This EGM will remain effective until the underlying technical issue is dispositioned through 

rulemaking or other regulatory action. 

cc: M. Weber, DEDMRT 

 M. Johnson, DEDR 

 SECY 

DISTRIBUTION: See Next Page 

ADAMS Accession No.: ML14056A151 

OFFICE MSSA/SMPB MSSA/EC MSSA/SMPB NSIR NRR NRO

NAME JDeCicco MBurgess AGiantelli JWiggins JUhle, GTracy 

DATE 3/ 6 /2014 3/ 6 /2014 3/ 6 /2014 3/ 11 /2014 3/ 11 /2014 3/ 7 /2014

OFFICE NMSS RI/RA RII/RA RIII/RA RIV/RA ADM/DAS 

NAME CHaney WDean VMcCree 

LWert for 

CPederson 

DRoberts for 

MDapas CBladey

DATE 3/ 12 /2014 3/ 10 /2014 3/ 10 /2014 3/ 10 /2014 3/ 6 /2014 3/ 11 /2014

OFFICE FSME OE:ES OGC OE:BC OE:D 

NAME LDudes DFurst ACoggins NHilton RZimmerman 

DATE 3/ 11 /2014 3/ 11 /2014 3/ 10 /2014 3/ 12 /2014 3/ 13 /2014 

OFFICIAL RECORD COPY
MEMORANDUM TO THOSE ON THE ATTACHED LIST DATED: March 13, 2014 

SUBJECT: ENFORCEMENT GUIDANCE MEMORANDUM 2014-001: INTERIM GUIDANCE 

FOR DISPOSITIONING 10 CFR PART 37 VIOLATIONS WITH RESPECT TO 

LARGE COMPONENTS OR ROBUST STRUCTURES CONTAINING CATEGORY 

1 OR CATEGORY 2 QUANTITIES OF MATERIAL AT POWER REACTOR 

FACILITIES LICENSED UNDER 10 CFR PARTS 50 AND 52 (RIN 3150-AI12) 

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William M. Dean, Regional Administrator, Region I RidsRgn1MailCenter Resource 

Victor M. McCree, Regional Administrator, Region II RidsRgn2MailCenter Resource 

Cynthia D. Pederson, Regional Administrator, Region III RidsRgn3MailCenter Resource 

Marc L. Dapas, Regional Administrator, Region IV RidsRgn4MailCenter Resource 

Eric J. Leeds, Director, Office of Nuclear Reactor Regulation RidsNrrMailCenter Resource 

Glenn M. Tracy, Director, Office of New Reactors RidsNroMailCenter Resource 

Brian E. Holian, Acting Director, Office of Federal and RidsFsmeOd Resource 

 State Materials and Environmental Management Programs 

Catherine Haney, Director, Office of Nuclear Material Safety RidsNmssOd Resource 

 and Safeguards 

James T. Wiggins, Director, Office of Nuclear Security RidsNsirMailCenter Resource 

 and Incident Response 

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