NUREG/CR-6669

Evaluation of Terminated Licenses 

Parts 30, 40, and 70: The Terminated 

License Tracking System 

Oak Ridge National Laboratory 

U.S. Nuclear Regulatory Commission 

Office of Nuclear Material Safety and Safeguards 

Washington, DC 20555-0001
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NUREG/CR-6669 

Evaluation of Terminated Licenses 

Parts 30, 40, and 70: The Terminated 

License Tracking System 

Manuscript Completed: November 2001 

Date Published: March 2002 

Prepared by 

R. N. Stewart, D. J. Thomas 

Oak Ridge National Laboratory 

1060 Commerce Park Drive 

Oak Ridge, TN 37830 

J. Buckley, NRC Project Manager 

Prepared for 

Divsion of Waste Management 

Office of Nuclear Material Safety and Safeguards 

U.S. Nuclear Regulatory Commission 

Washington, DC 20555-0001 

NRC Job Code L1596
NUREG/CR-6669, has been reproduced 

from the best available copy.
ABSTRACT

The purpose of this report is to document the progress made on the NRC Terminated License Tracking 

System from October 1', 1998 to December 31' , 1999. This system tracks the closure of licenses (Parts 

30, 40, and 70) identified as sources of potential concern by the Oak Ridge National Laboratory (ORNL). 

Specifically, this report provides an overview of the license tracking system, a description of associated 

databases, and a guide to the supporting web site. This web site serves as the primary tool for viewing and 

editing license results as well as documenting progress and methodologies. 

i1i NUJREG/CR-6669
CONTENTS 

ABSTRA CT .............................................................................................................................................. m 

CONTENTS ................................................................................................................................................ V 

LIST O F FIGURES ................................................................................................................................ VII 

EXECUTIVE SUM M ARY ...................................................................................................................... Ix 

A CK N O W LEDEM ENTS .......................................................................................................................... X 

1. IN TRODUCTIO N .................................................................................................................................. 1 

2. OVERVIEW OF THE NRC TERMINATED LICENSE TRACKING SYSTEM ....................... 2 

2.1 DATA SEARCHES (SECURITY LEVEL 1) .......................................................................................... 2 

2.1.1 Search the Actions D atabase .................................................................................................. 2 

2.1. 1.1 Search By License ............................................................................................................................... 3 

2.1.1.2 Search By Document ........................................................................................................................... 3 

2.1.2 Perform a General Search ....................................................................................................... 4 

2.2 DATA ENTRY (SECURITY LEVEL 2) .................................................................................................... 5 

2.2.1 Register New Inform ation ...................................................................................................... 5 

2.2.1.1 Register a New Docum ent ................................................................................................................... 5 

2.2.1.2 Register a New License ....................................................................................................................... 6 

2.2.2 Edit or Add Existing Records ................................................................................................. 7 

2.3 DOCUM ENTATION/COMMUNICATION FEATURES ............................................................................ 8 

2.3.1 Statistical Information .......................................................................................................... 8 

2.3.2 D atabase D esign ......................................................................................................................... 9 

2.3.3 What We're D oing ....................................................................................................................... 9 

2.4 QUALITY CONTR OL .......................................................................................................................... 10 

3. DATAB ASES ........................................................................................................................................ 11 

3.1 ACTIONS DATABASE .......................................................................................................................... 11 

3.2 INVENTORY DATAB ASE .................................................................................................................... 12 

3.3 EVALUATIONS DATABASE ................................................................................................................ 12 

4. ADAPTING THE SYSTEM FOR TRACKING ALL TERMINATIONS ................................... 12 

4.1 DATAB ASE ........................................................................................................................................ 13 

4.2 W EB SITE .......................................................................................................................................... 13 

4.3 DATA FLOW ...................................................................................................................................... 13 

5. REFERENCES ..................................................................................................................................... 13 

v 

NUJREG/CR-6669
LIST OF FIGURES 

FIGURE 1. SCHEMATIC OF THE NRC TERMINATED LICENSE TRACKING SYSTEM ....................................... 1 

FIGURE 2. NRC TERMINATED TRACKING SYSTEM HOME PAGE .............................................................. 2 

FIGURE 3. SELECT A REGION ........................................................................................................................ 3 

FIGURE 4. SELECT A LICENSE N UM BER .................................................................................................. 3 

FIGURE 5. SELECT A D OCUM ENT N UM BER ............................................................................................... 4 

FIGURE 6. A CTION RECORDS BY D OCUM ENT N UMBER ............................................................................ 4 

FIGURE 7. GENERAL SEARCH ....................................................................................................................... 5 

FIGURE 8. REGISTER A N EW D OCUM ENT ................................................................................................. 6 

FIGURE 9. REGISTER A N EW LICENSE ................................................................................................ 6 

FIGURE 10. EDIT EXISTING RECORDS ................................................................................................... 7 

FIGURE 11. EDIT QUALITY CATEGORIES ................................................................................................ 8 

FIGURE 12. STATISTICAL INFORM ATION ............................................................................................... 9 

FIGURE 13. DATABASE D ESIGN .................................................................................................................... 9 

FIGURE 14. W HAT W E'RE D OING ............................................................................................................... 10 

FIGURE 15. QUALITY CONTROL ................................................................................................................. 11 

vii

NUREG/CR-6669
EXECUTIVE SUMMARY

The NRC Terminated License Tracking System tracks closure of licenses for sites identified by the Oak 

Ridge National Laboratory (ORNL) as sources of potential concern. The tracking system is a 

combination web site/database design that accepts, manages, and summarizes information about each of 

the over 1200 licenses identified by ORNL in the previous phases of the project. The objectives of this 

web-based system are to: 

"* track each identified license as it is closed out by the region offices, maintaining the information in a 

relational database; 

"* create a user-friendly, efficient interface to the database; 

"* provide up-to-date, high quality information about identified terminated licenses; and 

"* serve as a communication and documentation tool providing information on both the licenses and 

the system. 

In addition to interfacing with the tracking database, the system also provides connections to previously 

created databases, such as LEADIS, over the web. This tracking system provides an excellent foundation 

for a more permanent tracking system for future terminated licenses. 

The Terminated License Tracking System provides a web-based interface to access three main NRC 

databases that contain information about terminated licenses. Through the web site, users may search for 

license actions by document number or license number or search for general license information (e.g., 

licensee name). An action indicates that there has been something performed on the license; this action 

may be anything from an initial inspection to a close-out statement. The web site also allows authorized 

users to register a new document, register a new license, or edit existing information. Additionally, the 

web site provides statistical information and a pictoral representation of the tracking system. Section 2 of 

this report provides detailed descriptions and instructions for the web site functions. 

Section 3 presents the three NRC databases that link to the NRC Terminated License Tracking System. 

The Action database provides information obtained from various documents (memos, reports, etc.), such 

as status of closure, date of closure, etc. The actions are associated with specific license numbers. The 

Inventory database provides all the general information about a license number, such as licensee name 

and address, site location, etc. The Evaluations database provides the original ORNL scores for each 

license number. 

The report concludes in section 4 with recommendations for future uses of the system. 

ix 

NUREG/CR-6669
ACKNOWLEDEMENTS 

The author of this report would like to acknowledge the valued support of John Buckley, NRC technical 

monitor, as well as the support of the four regional managers (ordered by Region): Craig Gordon (I), 

Brian Parker (I), Bill Snell (m1), and Robert Evans (IV). Their cooperation and fast response time in 

providing information on licenses made timely completion of the database possible. 

x 

NUREG/CR-6669
1. INTRODUCTION 

The Nuclear Regulatory Commission (NRC) Terminated License Tracking System is a web-based system 

of databases used to track the status of terminated licenses (Parts 30, 40, and 70) identified as a potential 

concern by the Oak Ridge National Laboratory (ORNL). The primary goal of this system is to detail and 

track the status of terminated licenses as they are brought to closure. This was achieved by establishing 

and maintaining communication with regional NRC managers, acquiring documentation, creating a 

database to warehouse the progress of each closure, and developing a web site interface to add and 

retrieve information and to serve as a documentation and communication tool. Figure 1 provides a 

schematic of the NRC Terminated License Tracking System. 

t I •

Figure 1. Schematic of the NRC Terminated License Tracking System 

As the review process of terminated licenses was carried out, information about the status of the licenses, 

typically taken from an official NRC memo or letter, was input into the tracking system. After each 

license action was entered, this license was assigned an information quality level. These quality levels 

served as a self evaluation tool as well as a driver for optimizing information requests and inquiries to the 

regions. 

Concurrently, a web-based interface was developed to facilitate data entry and information retrieval. The 

web site also summarizes license information quality, provides a communication tool between NRC and 

ORNL, and connects users to other previously constructed databases such as LEADIS. Various types of 

documentation about the web site, databases, and project plans can also be found there. The site has 

performed well since it was brought on line in early summer 1999 and is a beginning framework for 

tracking all terminated licenses in the future. 

The web-based system is protected by a two-tier security system. A user ID/password combination and 

security level is assigned to each user approved by the NRC. The level of security determines what web 

site pages the user can access and documents what changes were made to the system and when. 

1

NUREG/CR-6669
This report documents the tracking database, the web site, and provides some general recommendations 

about the future of tracking license closures. 

2. OVERVIEW OF THE NRC TERMINATED LICENSE TRACKING 

SYSTEM 

The Nuclear Regulatory Commission (NRC) Terminated License Tracking System web site is currently 

on-line and can be accessed from http://homer.hsr.oml.gov/nrc/. To view the web site, users must have an 

assigned ID/password with at least security Level 1. Level 1 security allows the user to perform any 

action that does not alter information in the database. Level 2 security permits users into areas where they 

may add, delete, or edit information. The user ED, password, and real name of the individual making a 

change is tracked with the change. 

Pointing a web browser (such as Netscape) to the above defined web location will access the Terminated 

License Tracking System home page. Users will then be prompted to login. 

From this system's home page, the following bullets are available (See Figure 2):

Search By License 

Search By Document 

General Search 

Register A New Document 

Register A New License 

Data Entry By License 

Data Entry By Document 

Statistical Information 

Database Design 

Quality Control 

What We're Doing 

Talk To Us

-

NRC Termninated License Tracking Syste 

lims•n ~ Welcome to the N RC Terminated License Tracking 

System! 

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Figure 2. NRC Terminated License Tracking 

System Home Page

These bullets may be generally classified as Search Links, Data Entry Links, or Documentation Links. 

These classifications require Level 1, 2, and 1 security, respectively. The following sections will describe 

these functions by their classification. 

2.1 Data Searches (Security Level 1) 

The first three bullets on the web site involve searching the database. Search By License and Search By 

Document search the Actions Database while the General Search searches the Inventory Database or the 

Actions Database. Begin a search by clicking on one of these links. 

2.1.1 Search the Actions Database 

An action indicates that there has been something performed on the license; this action may be anything 

from an initial inspection to a close-out statement. Actions are defined for a particular license number on 

documents. These documents may be memos, progress reports, etc., and each document may contain 

more than one action and/or more than one license number. 

NUREG/CR-6669

0 

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2.1.1.1 Search By License 

The Search By License link will allow the user to search the Actions Database for all the actions and 

documents associated with that particular license. The user begins by selecting a region to search from 

the drop-down list (see Figure 3). Next, the user selects a license number within that region from the 

drop-down list (see Figure 4).

Searching license Numbers in Region All 

Sektd Ekn

Figure 3. Select a Region Figure 4. Select a License Number 

After pressing the "Go" button, the following information will be returned: 

"* Site Name(s) and Address(es) 

"* General Data (e.g., region number, type of license, etc.) 

"* Action Records (documents) 

"* Licensee Address and Contact Information By Action 

"* Region Contact/Referral Information By Action 

"* State Contact/Referral Information By Action 

2.1.1.2 Search By Document 

The Search By Document link will allow the user to search the Actions Database for all the actions and 

license numbers associated with a particular document. This search begins by selecting a document 

number from the drop-down list seen in Figure 5. The search engine will then present the action records 

associated with that document number (see Figure 6). From this page, users may then select a particular 

license number or may select the pdf file for the document. 

3 

NURiEG/CR-6669
#h1~~~~~i NR emntdUese Tracking System 

iio c :Search By Document Number 

Figure 5. Select a Document Number

2.1.2 Perform a General Search 

In addition to searching by document or license number, users may obtain general information about a 

particular license (licensee name, site location, etc.) by selecting the General Search link. This link will 

search the Master Inventory database or the Actions Database (also called the Tracking License 

Database). The user begins by selecting a database to search. The Master Inventory Database contains 

the following information: 

"* License Number 

"* Job 

"* Box 

"* Licensee 

"* Licensee Address 

"* Site and State of Operation 

The Tracking License Database ("Actions Database") contains information about the close-out of site and 

sealed source licenses that were identified in the Oak Ridge National Laboratory (ORNL) review phases. 

Specifically, the following information may be searched: 

" Reference Number, Date, and Pdf Filename 

"* Action Date and Code 

"* Consolidated Code 

"* Status Code 

"* Close Out Code 

"* Closed Out Date 

"• Date Entered 

"* Comments 

Next, the user selects a field to search from the Field Name drop-down list. The available fields are 

automatically enabled depending on the selected database. The user must then type the phrase being 

searched in the Search Phrases box. If two phrases are entered for a field, the database assumes an OR 

relationship. In other words, the database will return records that match either phrase. The last item in 

the Field box is Search Style. If "All" is selected, the entire field must equal the entered phrase. If "Any 

Portion" is selected, records will be returned that contain the entered phrase anywhere within the selected 

field. 

4 

NUREG/CR-6669

NRC Terminated License Tracking System 

]I= Search By Document Number 

Fiur6 Action R e beds 

UWK 5 6360 2tI L __ _ _ 2SI 

Figure 6. A ction Records by Document Number
If two fields are being searched simultaneously, then the second Field box needs to be completed just like 

the first. The small drop-down box between the two Field boxes allows the user to select a relationship 

between the two searches. If "AND" is selected, only records that contain the entered phrases for BOTH 

fields will be returned. If "OR" is selected, records that match EITHER field search parameter will be 

returned. When only one field is being searched, this operator and the second Field box may be ignored. 

When all pertinent information have been selected or entered, the user must press the "Go" button to 

perform the search. Results will be returned on the next screen. See Figure 7 for a screen capture of the 

General Search. 

NRC Termhmasd Lkcenz Tracing System 

* h.J• S,•i 1...... h o. t.......... "" 

-, f .. . ... ,•....... • ....... b 

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Figure 7. General Search 

2.2 Data Entry (Security Level 2) 

The next four bullets on the home page allow for changes and/or additions to be made to the databases. 

These pages may only be accessed by authorized individuals who have change/edit privileges (level 2 

security). All other users will see a message stating that access is unauthorized. 

The basic source for new information is typically a document. This document may be an official 

memorandum, fax, or email from a regional or headquarters office. Each new information piece is linked 

to its origin by the database; however, before any new information may be entered, its source must be 

registered and assigned a formal document number. This is achieved through the Register a New 

Document link. 

Similarly, license information may only be entered after a license has been formally registered with the 

system. New licenses may be registered through the Register a New License link. 

If both the license and document numbers have been entered into they system, source information may be 

entered through the Data Entry By License and Data Entry By Document links. 

2.2.1 Register New Information 

Before any new information can be entered into the system, the document and license number must 

previously be registered in the system. If they are not already registered, the following functions are 

available. 

2.2.1.1 Register a New Document 

This link is used when a new document is received (e.g., memo, monthly report, etc.) that contains 

information to be entered into the database. Users will first enter the date of the document in the Date of 

5

NUREG/CR-6669
Reference box (see Figure 8). The date is one of the main pieces of information used to track documents; 

therefore, it must be entered in a consistent format. For this web site, the required format is mm/dd/yy 

where mm is a two digit month code, dd is the two digit day, and yy are the last two numbers of the year. 

This system is Y2K compliant, so the system will understand how to search for the year 2000. Once the 

date has been entered, the database will assign the document a unique tracking number and provide 

instructions for creating a pdf file for the document. After the number has been assigned, the user writes 

or types the number on the document and prepares to convert it into an electronic format (if not already). 

The electronic copy of the document is added to the directory of documents to be viewed from the web 

site. 

NCTerminated License Tr acking System , \ . . . . . . . .. . . . . .. . .. . . . .. .. 

Register a New Document 

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Figure 8. Register a New Document 

2.2.1.2 Register a New License 

This link is used when a document is received that contains a new license number. Users first enter 

information about the license as portrayed in Figure 9. Once this information has been entered, the 

database is now ready to track actions for this license. 

NRC Terminated License Tracking System 

FaaPim Register a New license 

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Figure 9. Register a New License 

6

NUREG/CR-6669
2.2.2 Edit or Add Existing Records 

The Data Entry By License and Data Entry By Document links are used to add new information or 

modify existing records. The process of choosing these links is similar to the Search By License or 

Search By Document; however additional links are provided to edit or add new information. 

Choosing Data Entry By License will prompt the user for a region of interest and then a license from that 

region. The user is presented with the current information about the license as in Search By License. 

Data entries are catalogued by a unique entry number. Under the Data Entry options, these entry 

numbers become hot links to the data entry page where corresponding action information may be edited 

or deleted. At the bottom of each table the Add More Information link is available. Click on this link to 

enter a new piece of information about this license number. The user is taken to a blank data entry page 

(See Figure 10), where a new entry number is automatically assigned. Once all the requested 

information has been entered, the data entry personnel clicks the "Update" button at the bottom of the 

page to enter the information into the system. 

• ';• • ......... ..... .......... .... ............ .. .. ---.. ...... 

•'• "-r- F - t r a.... ....... ............. ...... 

Figure 10. Edit Existing Records 

Data entry through Data Entry By Document is similar. Entry numbers are hyper-linked to the same page 

layout as in Data Entry by License. Currently, new information about a license may not be entered 

through this link. This option will be available soon. In the meantime, users must enter new information 

through Data Entry By License. 

After entering information about a license number, the user is required to reevaluate the quality status of 

information for that license. The link to these choices is found on the Data Entry By License page under 

"Information Rank" on the General Information Table. This links users to the License Information 

Quality Categories page (see Figure 11) where they can set the status of information as Excellent, Good, 

or Low. Previously, the definition of these categories were as follows: 

"* Excellent: Information is sufficient to classify the status of the site. Actions are in the correct order. 

"* Good: Information exists on the license but more is needed. 

"* Low: Insufficient information is available on the license. 

As of the creation of this report, these definitions have changed slightly to the following: 

"* Excellent: Information is up to date. 

"* Good: The amount of information is useful in determining what has occurred but is not up to date. 

"* Low: Little or no information exists. 

7

NUREG/CR-6669
NRC Terminated License Tracking System 

license Information Quality Categories 

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pr6onizA*tc I."w& nimu d WftoWl fa*wu.W 

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Figure 11. Edit Quality Categories 

2.3 Documentation/Communication Features 

Other important components of the web site are the documentation/communication and self-evaluation 

features. These components allow users to receive information about the contents of the database and 

understand how the system is designed. 

Documentation about the system and the project itself can be found on the Database Design and What 

We're Doing pages. The self-evaluation component is viewed at the Statistical Information page. This 

page summarizes critical characteristics, such as the quality of information in the system and the number 

of closed out licenses. 

Finally, direct links to the development team are available through the Talk To Us link as well as several 

other e-mail links on the bottom of each web page. These links allow emails to be written directly to the 

technical and managerial staff at ORNL. 

The documentation/communication features are described in detail in the following sections. 

2.3.1 Statistical Information 

This page provides a statistical summary about the information contained in the databases. For example, 

the General Statistics table presents the total number of entries, the total number of licenses, and the total 

number of licenses that have been closed out. The Information Quality Statistics table presents the total 

number of licenses for each quality rank. There are three quality ranks assigned to entries: excellent, 

good, and low. The quality levels are assigned depending on the amount and completeness of acquired 

information. The table also shows the number of entries that have not been reviewed and ranked. 

Additional tables and statistics will be provided as necessary. See Figure 12 for a screen capture of the 

Statistical Information page. 

8

NUREG/CR-6669
NRC:Trellinated License Tracking System 

StativdcaI Sumnaries 

C-tral S~tat• 

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Figure 12. Statistical Information 

2.3.2 Database Design 

This page presents a pictoral representation of the web site. Specifically, it portrays the databases that are 

maintained and accessed by this web tracking system and shows their relationships with one another. 

These databases will be hot linked to provide specific information and descriptions by clicking on each. 

See Figure 13.s

I 5 ),~ lI

IIl

Figure 13. Database Design 

2.3.3 What We're Doing 

The web site also has a page titled What We're Doing. This page provides a synopsis of the current 

activities related to this web site or its contents as well as a bulleted list of completed activities. These 

activities are arranged by what is being completed now, what was completed since this project phase 

began, and what will be completed next. This provides an opportunity for NRC to view the progress of 

the development team and provide technical input for what should occur next. This web page is 

continually changing; therefore, this list will be updated as new activities are completed. See Figure 14 

for a screen capture of this page. 

9

NUREG/CR-6669

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S-Y NRC Terminated License Tracking System 

What We Are Doing 

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Figure 14. What We're Doing

2.4 Quality Control 

The web site includes a Quality Control page that provides an overview of the quality assurance (QA) and 

quality control (QC) mechanisms for the site. These QA/QC mechanisms ensure that the information on 

the web site is accurate, complete, and up-to-date. Also, QA/QC ensures that the site is maintained under 

configuration control. Some of the QA/QC mechanisms are: 

"* Only authorized individuals have add/edit access. Access is controlled by a double password 

protection system. One level of individuals has access to view the information while another level 

has access to add/edit the information. All changes or additions to the system are tracked and 

maintained by the date and who made the changes. 

" All licenses and documents must be formally registered on the system before any relevant 

information can be entered into the database. This prevents duplication and allows for all entries to 

be tracked. For document registration, once a unique document number is assigned, the database 

expects a corresponding electronic copy to be placed in the directory of source documents. 

" Licenses are ranked after entry into the system. A relative ranking system quantifies the quality of 

information for each license and assigns a score of "excellent", "good", or "low" depending on the 

amount and completeness of information. Licenses may then be prioritized so that more time is spent 

retrieving information on "low" quality licenses. This relative ranking system helps ensure that the 

information presented on the tracking system is of the highest available quality. 

"* The web site is routinely reviewed and revised as necessary in order to maintain accuracy and the 

most up-to-date information. Additionally, routine back-ups are performed to protect the information 

content. 

10 

NUREG/CR-6669
Figure 15 presents a screen capture from the Quality Control page on the NRC Terminated License 

Tracking System. 

1 )NRC Terminated License Tracking Stesn 

Fi 

Quality 1 

Conro 

Ma. DA TABASES 

RP..k* LA &q.Oy.f d 

Figure 15. Quality Control 

3. DATABASES 

There are 3 NRC databases that link to the web site interface: Actions Database, Inventory Database, and 

Evaluations Database. The following sections will describe each database. The Actions Database is the 

main tracking database so more detail will be provided in its description. 

3.1 Actions Database 

The actions database logs the individual actions or information pieces occurring for each license. The 

primary objective is to provide a summary table of where each license exists in the closeout procedure. 

Auxiliary data can also be provided such as state contacts, regional contacts, address information, or site 

information. The actions database also contains several supporting tables existing only to provide web

driven codes and drop-down boxes. These tables are of no direct value to users and will therefore not be 

described in this section. Following are some of the main tables in this database: 

" ActionCodes - This table contains descriptions of action codes used to quantify the status of a 

license. Some common action codes are: 

- CO = Close Out 

- NA = No Action / Not Available 

- OP = Open File 

"* Authorization - This table contains passwords, user IDs, and security levels. 

"* dRegionReferral - This table contains information about a referral from a licensee to the region 

office. Some of the fields include region number, region office contact name and phone number, and 

dates of referral and response. 

"* dSiteInformation - This table contains site and contact addresses obtained from correspondences 

regarding the site. These addresses may be used to update the Master Inventory Database address 

information in the future. The addresses are all associated with a specific license number in the table. 

11

NUREG/CR-6669
" d dStateReferences - This table contains information regarding references to a state office to transfer a 

license or request information. Some of the fields include state office, contact name and phone 

number, and dates of referral and response. 

" dTrackingActions - This table contains the actions performed on the licenses. Actions are the core 

source of information in the database. 

" LicenseNumbersBeingTracked - This table contains license numbers that have been identified by the 

ORNL evaluation system as well as unidentified numbers contained in correspondence. Some of the 

fields include license number and region. 

" ORNLIdentifiedLicenseNumbers - This table contains site and sealed source license numbers that 

have been identified by the ORNL evaluation system and therefore require tracking. 

Communications about these licenses is considered ongoing. Some of the fields in the table include 

license number and date identified. 

" MasterSealedTableforTrackingPhase and MasterSiteTableforTrackingPhase - These tables contain all 

the ORNL identified license numbers and their scores. Some fields include license number, score, 

and date updated. 

" QualityReview - This table contains the current level of information by license number. Some of the 

fields in the table include license number, quality code, and if the license is open or closed. 

" RegisteredSources - This table contains all the documents registered into the database as official 

sources of information. Some of the fields include document ID#, pdf filename, and date registered. 

" UnidentifiedLicenseNumbersBeingTracked - This table contains all licenses that have not been 

identified by the ORNL evaluation process but are contained in correspondence or an officially 

registered resource. 

3.2 Inventory Database 

The inventory database provides general information about each license. While several tables are 

available within the database, access is only allowed to the Licensee Information Table. Access to the 

others could be opened in the near future. The Licensee Information table provides users with such 

information as company addresses, site of operation addresses, and the location of the license files by job 

and box number. Access to this database is available through the General Search (see Data Searches) 

link. Currently there are over 37,000 licenses in this database. 

3.3 Evaluations Database 

The evaluations database contains the results of the evaluation phase of this project. Scores and 

supplemental information are warehoused, as well. This database provides the final scores for each 

license. Currently, the other information types are not available via the web, but development plans are to 

allow access to these as well. 

4. ADAPTING THE SYSTEM FOR TRACKING ALL TERMINATIONS 

The current infrastructure provides an excellent start for evolving the system into a more permanent 

means of tracking all licenses terminated by the NRC. The web site, database, and method of 

12 

NUREG/CR-6669
communication with NRC personnel would need modification. The following modifications are 

recommended. 

4.1 Database 

For the database, all licenses not identified as sources of concern during the evaluation phase would be 

entered in a single transaction. Each license would receive the closed out status with a comment to the 

effect that they were not identified by the evaluation scheme as needing further review. 

4.2 Web Site 

The web site should be moved to a computer dedicated solely to serving this web site/database 

infrastructure. Currently, the web site is located on a machine providing several services and a number of 

other web sites. A dedicated machine would allow the system to be administered and configured 

according to the specific needs of this project. 

Another recommendation is to modify and improve the web pages. These pages could be altered to allow 

regional personnel to add information to the database. Currently, only the ORNL team is performing these 

actions. Note that under these circumstances, an electronic copy of the source document would still need 

to be sent to ORNL. 

A broader cross-referencing of information would improve the flow of data. Also adding many of the 

remaining database tables from the Master Evaluation and Master Inventory databases would provide 

useful information about the evaluation process of this phase of the project at little cost. 

4.3 Data Flow 

For the system as a whole to serve its purpose, it is imperative that communication from NRC to ORNL 

in the form of documenting sources be completely open. Specifically, ORNL should be carbon copied on 

any memo related to the closure of a terminated license. Whether NRC or ORNL enters the information 

into the system, the electronic copy or hardcopy file must be sent to the electronic repository at the web 

site. Electronic methods can be developed for placing the information in the repository by simple e-mail. 

These methods will require some more exploration as the project continues. 

If a successful channel of information is not maintained, it could become unnecessarily expensive to track 

these licenses and to quantify the state of terminated licenses across the agency as a whole. 

5. REFERENCES 

NRC Terminated Licenses Tracking System, December 1999. 

13 

NUREG/CR-6669
NRC FORM 335 U.S. NUCLEAR REGULATORY COMMISSION 1. REPORT NUMBER (2-89) (Assigned by NRC, Add Vol., Supp., Rev., NRCM 1102. BIBLIOA PHIC DATA SHEET and Addendum Numbers, If any.) 

(See instructions on the reverse) 

2. TITLE AND SUBTITLE NUREG/CR-6669 

Evaluation of Terminated Licenses Parts 30, 40, and 70: The Terminated License 

Tracking System 3. DATE REPORT PUBLISHED 

MONTH YEAR 

March 2002 

4. FIN OR GRANT NUMBER 

L1596 

5. AUTHOR(S) 6. TYPE OF REPORT 

R. N. Stewart, D. J. Thomas 

7. PERIOD COVERED (Inclusive Dates) 

10/1/1998 - 12/31/1999 

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, provide Division, Office or Region, U.S. Nuclear Regulatoiy Commission, and mailing address;ff contractor. provide name and mailing address.) 

Oak Ridge National Laboratory 

1060 Commerce Park Drive 

Oak Ridge, TN 37830

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type "Same as above'; if contractor, provide NRC Division, Office or Region, U.S. Nuclear Regulatory Commission, 

and mailing address.)

Division of Waste Management 

Office of Nuclear Material Safety and Safeguards 

U.S. Nuclear Regulatory Commission 

Washington, DC 20555-0001

10. SUPPLEMENTARY NOTES 

J. Buckley, NRC Project Manager

11. ABSTRACT (200 words or less) 

The purpose of this report is to document the progress made on the NRC Terminated License Tracking System from 

October 1st, 1998 to December 31st, 1999. This system tracks the closure of license (Parts 30, 40, and 70) identified as sources of potential concern by the Oak Ridge National Laboratory (ORNL). Specifically, this report provides an overview of the 

license tracking system, a description of associated databases, and a guide to the supporting web site. This web site serves as the primary tool for viewing and editing license results as well as documenting progress and methodologies.

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report) 13. AVAILABILITY STATEMENT 

Terminated License Tracking System Oak Ridge National Laboratory unlimited 

Terminated License Website Tracking Database 14. SECURITY CLASSIFICATION 

Terminated Licenses Actions Database (This Page) 

Part 30 Licenses Inventory Database unclassified 

Part 40 Licenses Evaluations Database (This Report) 

Part 70 Licenses unclassified 

15. NUMBER OF PAGES 

16. PRICE

NRC FORM 335 (2-89)

I I I
Federal Recycling Program
NUREG/CR-6669

MARCH 2002 EVALUATION OF TERMINATED LICENSES PARTS 30, 40, AND 70: THE TERMINATED 

LICENSE TRACKING SYSTEM

UNITED STATES 

NUCLEAR REGULATORY COMMISSION 

WASHINGTON, DC 20555-0001 

OFFICIAL BUSINESS 

PENALTY FOR PRIVATE USE, $300