Consolidated Guidance 

About Materials Licenses

Program-Specific Guidance About

Well Logging, Tracer, and Field Flood 

Study Licenses

Final Report 

Office of Nuclear Material Safety and Safeguards

NUREG-1556

Volume 14, Rev. 1
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SR-CR 10/2017
Consolidated Guidance 

About Materials Licenses

Program-Specific Guidance About

Well Logging, Tracer, and Field Flood 

Study Licenses

Final Report 

Manuscript Completed: April 2018

Date Published: April 2018

Prepared by:

K.J. Lambert

S.E. Mack

R.J. Torres

S.L. Wilson

Office of Nuclear Material Safety and Safeguards

NUREG-1556

Volume 14, Rev. 1

iii

ABSTRACT

This technical report contains information intended to provide program-specific guidance and 

assist applicants and licensees in preparing applications for materials licenses for well logging, 

tracer, and field flood studies. In particular, it describes the types of information needed to 

complete U.S. Nuclear Regulatory Commission (NRC) Form 313, “Application for Materials 

License.” This document describes both the methods acceptable to the NRC license reviewers 

in implementing the regulations and the techniques used by the reviewers in evaluating the 

application to determine if the proposed activities are acceptable for licensing purposes.

Paperwork Reduction Act Statement

This NUREG provides guidance for implementing mandatory information collections covered by 

the Title 10 of the Code of Federal Regulations (10 CFR) Parts 19, 20, 21, 30, 32, 37, 39, 40, 

51, 70, 71, and NRC Form 313 that are subject to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et. seq.). These information collections were approved by the Office of 

Management and Budget (OMB), approval numbers 3150-0044, 3150-0014, 3150-0035, 

3150-0017, 3150-0001, 3150-0214, 3150-0130, 3150-0020, 3150-0021, 3150-0009, 3150-0008, 

and 3150-0120. Send comments regarding this information collection to the Information 

Services Branch, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by 

e-mail to Infocollects.Resource@nrc.gov, and to the Desk Officer, Office of Information and

Regulatory Affairs, NEOB-10202, (3150-0044, 3150-0014, 3150-0035, 3150-0017, 3150-0001,

3150-0214, 3150-0130, 3150-0020, 3150-0021, 3150-0009, 3150-0008, and 3150-0120)

Office of Management and Budget, Washington, DC 20503.

Public Protection Notification

The NRC may not conduct or sponsor, and a person is not required to respond to, a collection 

of information unless the document requesting or requiring the collection displays a currently 

valid OMB control number.

v

FOREWORD

The U.S. Nuclear Regulatory Commission’s (NRC’s) NUREG–1556 technical report series 

provides a comprehensive source of reference information about various aspects of materials 

licensing and materials program implementation. These reports, where applicable, describe a 

risk-informed, performance-based approach to licensing consistent with the current regulations. 

The reports are intended for use by applicants, licensees, license reviewers, and other NRC 

personnel. The NUREG–1556 series currently includes the following volumes:

Volume No. Volume Title

1 Program-Specific Guidance About Portable Gauge Licenses

2 Program-Specific Guidance About Industrial Radiography Licenses

3 Applications for Sealed Source and Device Evaluation and Registration

4 Program-Specific Guidance About Fixed Gauge Licenses

5 Program-Specific Guidance About Self-Shielded Irradiator Licenses

6 Program-Specific Guidance About 10 CFR Part 36 Irradiator Licenses 

7 Program-Specific Guidance About Academic, Research and Development, and 

Other Licenses of Limited Scope Including Electron Capture Devices and X-Ray 

Fluorescence Analyzers

8 Program-Specific Guidance About Exempt Distribution Licenses

9 Program-Specific Guidance About Medical Use Licenses

10 Program-Specific Guidance About Master Materials Licenses

11 Program-Specific Guidance About Licenses of Broad Scope

12 Program-Specific Guidance About Possession Licenses for Manufacturing 

and Distribution

13 Program-Specific Guidance About Commercial Radiopharmacy Licenses

14 Program-Specific Guidance About Well Logging, Tracer, and Field Flood 

Study Licenses

15 Guidance About Changes of Control and About Bankruptcy Involving 

Byproduct, Source, or Special Nuclear Materials Licenses

16 Program-Specific Guidance About Licenses Authorizing Distribution to 

General Licensees

17 Program-Specific Guidance About Special Nuclear Material of Less Than 

Critical Mass Licenses

18 Program-Specific Guidance About Service Provider Licenses

19 Guidance for Agreement State Licensees About NRC Form 241 “Report of 

Proposed Activities in Non-Agreement States, Areas of Exclusive Federal 

Jurisdiction, or Offshore Waters” and Guidance for NRC Licensees Proposing to 

Work in Agreement State Jurisdiction (Reciprocity)

20 Guidance About Administrative Licensing Procedures

21 Program-Specific Guidance About Possession Licenses for Production of 

Radioactive Material Using an Accelerator
vi

The current document, NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance About 

Materials Licenses: Program-Specific Guidance About Well Logging, Tracer, and Field Flood 

Study Licenses,” is intended for use by applicants, licensees, and NRC staff. This revision 

provides a general update to the previous information contained in NUREG–1556, Volume 14, 

dated June 2000. 

This report takes a risk-informed, performance-based approach to licensing the use of sources 

in well logging, tracer, and field flood study applications. A team composed of staff from NRC 

headquarters, NRC regional offices, and Agreement States prepared this document, drawing on 

their collective experience in radiation safety in general and as specifically applied to well 

logging, tracer, and field flood study operations. 

NUREG–1556, Volume 14, Revision 1, is not a substitute for NRC or Agreement State 

regulations. The approaches and methods described in this report are provided for information 

only. Methods and solutions different from those described in this report may be acceptable if 

they include a basis for the staff to make the determinations needed to issue or renew a license.

The comments received during the public comment period for NUREG–1556, Volume 14,

Revision 1, were summarized and addressed in a document that can be located on the NRC’s

Agencywide Documents and Management System (ADAMS) under ML18023B550. Access to

ADAMS is available on the public Web site at: https://www.nrc.gov/reading-rm/adams.html.

The comments received by NRC included general corrections, comments on training, and 

comments on safety culture.

________________________________________

Daniel S. Collins, Director

Division of Materials Safety, Security, State, and Tribal Programs

Office of Nuclear Material Safety and Safeguards
vii

CONTENTS

ABSTRACT...............................................................................................................................iii

FOREWORD ..............................................................................................................................v

FIGURES...................................................................................................................................xi

TABLES ..................................................................................................................................xiii

ACKNOWLEDGMENTS...........................................................................................................xv

ABBREVIATIONS ..................................................................................................................xvii

1 PURPOSE OF REPORT ..............................................................................................1-1

2 AGREEMENT STATES ...............................................................................................2-1

2.1 Jurisdiction Determination.................................................................................2-1

2.2 Reciprocal Recognition of Specific Licenses.....................................................2-3

3 MANAGEMENT RESPONSIBILITY.............................................................................3-1

3.1 Commitments and Responsibilities ...................................................................3-1

3.2 Safety Culture...................................................................................................3-2

4 APPLICABLE REGULATIONS....................................................................................4-1

5 HOW TO FILE..............................................................................................................5-1

5.1 Application Preparation.....................................................................................5-1

5.2 Where to File ....................................................................................................5-1

5.3 Paper Applications............................................................................................5-2

5.4 Electronic Applications......................................................................................5-2

6 IDENTIFYING AND PROTECTING SENSITIVE INFORMATION.................................6-1

7 APPLICATION AND LICENSE FEES..........................................................................7-1

8 CONTENTS OF AN APPLICATION.............................................................................8-1

8.1 Item 1: License Action Type.............................................................................8-1

8.2 Item 2: Name and Mailing Address of Applicant...............................................8-2

8.2.1 Notification of Bankruptcy Proceedings ..............................................8-2

8.3 Item 3: Address(es) Where Licensed Material Will Be Used or 

Possessed ...........................................................................................8-2

8.4 Item 4: Person To Be Contacted About This Application..................................8-4

8.5 Item 5: Radioactive Material.............................................................................8-4

8.5.1 Sealed Radioactive Material ...............................................................8-6

8.5.2 Unsealed (Tracer) Radioactive Material..............................................8-8

8.5.3 Financial Assurance and Record Keeping for 

Decommissioning .............................................................................8-10

8.6 Item 6: Purpose(s) for Which Licensed Material Will Be Used.........................8-14

8.7 Item 7: Individual(s) Responsible for the Radiation Safety Program and 

Their Training and Experience.............................................................8-17

8.7.1 Radiation Safety Officer....................................................................8-17

8.8 Item 8: Training for Logging Supervisors and Logging Assistants ..................8-19

8.9 Item 9: Facilities and Equipment ....................................................................8-21

8.10 Item 10: Radiation Safety Program ................................................................8-24

8.10.1 Well Owner or Operator Agreements................................................8-25

8.10.2 Audit and Review Program...............................................................8-29

8.10.3 Radiation Monitoring Instruments .....................................................8-31
viii

8.10.4 Material Receipt and Accountability..................................................8-33

8.10.5 Occupational Dose ...........................................................................8-37

8.10.6 Public Dose ......................................................................................8-41

8.10.7 Operating and Emergency Procedures.............................................8-44

8.10.8 Leak Tests........................................................................................8-47

8.10.9 Maintenance.....................................................................................8-48

8.10.9.1 Maintenance Prior to Use...................................................8-49

8.10.9.2 Semi-Annual Visual Inspection and 

Routine Maintenance .........................................................8-49

8.10.9.3 Maintenance Requiring Special Authorization ....................8-50

8.10.10 Transportation ..................................................................................8-52

8.10.11 Minimization of Contamination..........................................................8-54

8.10.12 Sealed Sources ................................................................................8-56

8.10.12.1 Use of Sealed Sources in Drill-To-Stop 

(Wireline) Operations .........................................................8-56

8.10.12.2 Use of Sealed Sources in Measurement While 

Drilling or Logging While Drilling Well 

Logging Operations............................................................8-58

8.10.12.3 Energy Compensation Sources..........................................8-58

8.10.12.4 Use of Sealed Sources and/or Neutron Generators 

in Fresh Water Aquifers.....................................................8-60

8.10.13 Subsurface Tracer Studies ...............................................................8-60

8.10.13.1 Tracer Studies in Single Well Applications .........................8-61

8.10.13.2 Field Flood and Secondary Recovery Applications 

(Tracer Studies in Multiple Wells).......................................8-62

8.10.13.3 Tracer Studies in Fresh Water Aquifers..............................8-63

8.10.13.4 Frac-tagging Operations ....................................................8-64

8.10.14 Radioactive Collar and Subsidence or Depth Control Markers..........8-66

8.10.15 Neutron Accelerators Using Licensed Material .................................8-66

8.10.16 Depleted Uranium Sinker Bars .........................................................8-68

8.10.17 Security Program for Category 1 and Category 2 Radioactive 

Materials...........................................................................................8-69

8.11 Item 11: Waste Management .........................................................................8-71

8.12 Item 12: License Fees....................................................................................8-78

8.13 Item 13: Certification......................................................................................8-79

9 LICENSE AMENDMENTS AND RENEWALS..............................................................9-1

9.1 Timely Notification of Transfer of Control ..........................................................9-1

10 APPLICATIONS FOR EXEMPTIONS ........................................................................10-1

11 TERMINATION OF ACTIVITIES ................................................................................11-1
ix

APPENDICES

APPENDIX A U.S. NUCLEAR REGULATORY COMMISSION FORM 313............... A–1

APPENDIX B SUGGESTED FORMAT FOR PROVIDING INFORMATION 

REQUESTED IN ITEMS 5 THROUGH 11 OF NRC FORM 313 .......... B–1

APPENDIX C CHECKLIST FOR LICENSE APPLICATION ...................................... C–1

APPENDIX D FIELD FLOOD STUDIES/ENHANCED RECOVERY OF OIL 

AND GAS WELLS .............................................................................. D–1

APPENDIX E SUGGESTED WELL LOGGING AND SUBSURFACE TRACER

STUDIES AUDIT CHECKLIST.............................................................E–1

APPENDIX F WELL LOGGING SUPERVISOR AND LOGGING ASSISTANT

TRAINING REQUIREMENTS ..............................................................F–1

APPENDIX G ANNUAL INTERNAL JOB PERFORMANCE INSPECTION

CHECKLIST FOR WELL LOGGING SUPERVISORS AND WELL

LOGGING ASSISTANTS....................................................................G–1

APPENDIX H RADIATION MONITORING INSTRUMENT SPECIFICATIONS

AND MODEL SURVEY INSTRUMENT

CALIBRATION PROGRAM ................................................................ H–1

APPENDIX I GUIDANCE FOR DEMONSTRATING THAT UNMONITORED 

INDIVIDUALS ARE NOT LIKELY TO EXCEED 10 PERCENT 

OF THE ALLOWABLE LIMITS.............................................................I–1

APPENDIX J GUIDANCE FOR DEMONSTRATING THAT INDIVIDUAL 

MEMBERS OF THE PUBLIC WILL NOT RECEIVE DOSES

EXCEEDING THE ALLOWABLE LIMITS............................................J–1

APPENDIX K NOTIFICATION OF PROPER PERSONS IN THE EVENT OF 

AN ACCIDENT.................................................................................... K–1

APPENDIX L MODEL LEAK TEST PROGRAM ........................................................L–1

APPENDIX M TRANSPORTATION—MAJOR DEPARTMENT OF

TRANSPORTATION REGULATIONS; SAMPLE SHIPPING 

DOCUMENTS, PLACARDS, AND LABELS.......................................M–1

APPENDIX N MODEL WASTE MANAGEMENT PROCEDURES............................. N–1

APPENDIX O ACTIONS TO BE TAKEN IF A SEALED SOURCE IS 

RUPTURED OR IF LICENSED MATERIALS HAVE 

CAUSED CONTAMINATION..............................................................O–1

APPENDIX P MODEL DELEGATION OF AUTHORITY ............................................P–1

APPENDIX Q CHECKLIST FOR REQUESTS TO WITHHOLD PROPRIETARY

INFORMATION FROM PUBLIC DISCLOSURE 

(UNDER 10 CFR 2.390)......................................................................Q–1

APPENDIX R SAFETY CULTURE STATEMENT OF POLICY.................................. R–1

xi

FIGURES

Figures Page

2-1 U.S. Map: Locations of NRC Offices and Agreement States........................................2-1

8-1 Location of Use or Possession .....................................................................................8-3

8-2 Types of Records That Must be Maintained for Decommissioning..............................8-13

8-3 RSO Responsibilities—Typical Duties and Responsibilities of the RSO .....................8-18

8-4 Features of a Typical Source Abandonment...............................................................8-27

8-5 Permanent Identification Plaque.................................................................................8-28

8-6 Types of Radiation Surveys........................................................................................8-32

8-7 Material Receipt and Accountability............................................................................8-36

8-8 Annual Dose Limits for Adult Radiation Workers ........................................................8-37

8-9 Steps Used to Calculate Public Dose .........................................................................8-43

8-10 Maintenance, Cleaning, and O-ring Replacement ......................................................8-51

8-11 Transportation ............................................................................................................8-53

8-12 Transport Container....................................................................................................8-54

8-13 Personnel Radiation Surveys .....................................................................................8-56

8-14 Drill-to-Stop Well Logging Operations.........................................................................8-57

8-15 Double Encapsulated ECS Sealed Source .................................................................8-59

J–1 Bird’s-Eye View of Office ............................................................................................ J–5

J–2 Down-Hole Storage Array ........................................................................................... J–6

xiii

TABLES

Tables Page

2-1 Who Regulates the Activity?.........................................................................................2-2

3-1 Traits of a Positive Safety Culture.................................................................................3-3

8-1 Types of Radioactive Material ......................................................................................8-5

8-2 Types of Radioactive Materials Used in Field Flood Studies and 

Single Well Tracer Operations......................................................................................8-8

8-3 Commonly Used Licensed Materials Requiring Financial 

Assurance and Decommissioning Funding Plan.........................................................8-12

8-4 Sample Format for Providing Information About Requested Radionuclides ................8-15

8-5 Record Maintenance ................................................................................................. 8-35

8-6 Guidance on Personnel Monitoring and Bioassay ..................................................... 8-40

H–1 Typical Survey Instruments ........................................................................................ H–1

I–1 Dosimetry Evaluation....................................................................................................I–2

J–1 Standard Occupancy Factors ......................................................................................J–4

J–2 Information Known About Dose at the Shield of the Cs-137 Source ............................J–7

J–3 Calculational Method, Part 1: Hourly and Annual Doses Received from a 

Logging Source Stored in Above Ground Transportation Container ............................J–7

J–4 Calculational Method, Part 2: Annual Dose Received from a Logging Source

Stored in Above Ground Transportation Container......................................................J–8

xv

ACKNOWLEDGMENTS

The working group thanks the individuals listed below for assisting in the review and update of 

the report. All participants provided valuable insights, observations, and recommendations.

The working group would like to thank the staff in the regional offices of the U.S. Nuclear 

Regulatory Commission and all of the States who provided comments and technical information 

that assisted in the development of this report.

The working group also thanks Lisa Dimmick, John O’Donnell, Monica Ford, Tara Weidner, and 

Duane White for developing the formatting and language used in many parts of the report.

The Participants for this Revision

Bielecki, Jessica

Gilman, Joseph

Lambert, Kenneth

Mack, Steve

Park, James

Price, Sarah

Torres, Roberto J.

Wilson, Scott

xvii

ABBREVIATIONS

ADAMS Agencywide Documents Access and Management System

AEA Atomic Energy Act

ALARA as low as is reasonably achievable

ALI annual limit on intake

ANSI American National Standards Institute

bkg background 

Bq becquerel

CDE committed dose equivalent

CEDE committed effective dose equivalent

CFR Code of Federal Regulations

Ci curie

cpm counts per minute

DFP decommissioning funding plan

DIS decay-in-storage

DOT U.S. Department of Transportation

dpm disintegrations per minute

DTS drill-to-stop

DU depleted uranium

EA environmental assessment

ECS energy compensation source

FA financial assurance

FR Federal Register

ft foot

GM Geiger-Mueller

GBq gigabecquerel

Gy Gray

h hour

IN information notice

LLEA local law enforcement agency

LLW low level radioactive waste

LSA low specific activity

LWD logging while drilling

MBq megabecquerel

MC manual chapter

μCi microcurie

mCi millicurie

MDA minimum detectable activity

mR milliroentgen

mrem millirem

μR microRoentgen

μSv microSievert

mSv milliSievert

MWD measurement while drilling

NCRP National Council on Radiation Protection and Measurements

NIST National Institute of Standards and Technology

NMSS Office of Nuclear Material Safety and Safeguards

NRC U.S. Nuclear Regulatory Commission

NSTS National Source Tracking System

NSTTR National Source Tracking Transaction Report
xviii

NVLAP National Voluntary Laboratory Accreditation Program

OGC Office of the General Counsel

OMB Office of Management and Budget

OSL optically stimulated luminescence

Q quality factor

PII Personally Identifiable Information 

RG regulatory guide

RIS regulatory issue summary

RQ reportable quantities

RSO radiation safety officer

RSRM risk significant radioactive material

SA State Agreement

SI International System of Units 

SSD sealed source and device

std standard

Sv Sievert

T1/2 radioactive material half-life

TAR technical assistance request

TEDE total effective dose equivalent

TVD True Vertical Depth

TI transportation index

TLD thermoluminescent dosimeters

U.S.C. United States Code

yr year
1-1

1 PURPOSE OF REPORT

This NUREG provides guidance to an applicant in preparing a well logging, tracer, and field 

flood study license application as well as U.S. Nuclear Regulatory Commission (NRC) staff with 

the criteria for evaluating the corresponding license application. Chapter 8 of this NUREG, 

“Contents of an Application,” identifies the information needed to complete NRC Form 313, 

“Application for Materials License,” (see Appendix A of this NUREG) for the use of sealed 

byproduct materials in well logging and unsealed byproduct materials in tracer and field flood 

study applications. The information collection requirements in Title 10 of the Code of Federal 

Regulations (10 CFR) Parts 19, 20, 21, 30, 32, 39, 40, 51, 70, and NRC Form 313 have been 

approved under the Office of Management and Budget (OMB) Control Numbers 3150-0044, 

3150-0014, 3150-0035, 3150-0130, 3150-0017, 3150-0001, 3150-0020, 3150-0021, 3150-0009, 

and 3150-0120.

Byproduct material, as defined in 10 CFR 30.4, “Definitions,” depleted uranium, as defined in 

10 CFR 40.4, “Definitions,” and special nuclear material, as defined in 10 CFR 70.4, 

“Definitions,” are used for a variety of purposes to include well logging and tracer applications 

involving both single or multiple well bores; conventional well logging and tracer operations; 

and, in some cases, research and development. Examples include the following applications:

• Sealed sources are used in cased and uncased boreholes.

• Tracer materials are used in single well applications.

• Tracer materials are used in multiple well applications (field flood study) for enhanced 

recovery of oil and gas wells.

• Sealed sources are used for calibration of applicant’s radiation survey instruments and 

well logging tools.

• Sealed sources and tracer materials are used in the research and development of new 

techniques and equipment.

The format within this NUREG for each item of technical information is as follows:

• Regulations—references the regulations applicable to the item

• Criteria—outlines the criteria used to evaluate the applicant’s response

• Discussion—provides additional information about the topic 

• Response from Applicant—provides suggested response or responses, offers the option 

of an alternative reply, or indicates that no response is needed on that topic during the 

licensing process

Notes and references are self-explanatory and may not be found for each item on NRC 

Form 313. Sentences in this NUREG containing “must” and “will” are usually associated with

NRC regulations. If these sentences are not tied to a regulatory requirement, they likely refer to 

a license condition or other obligation associated with the license. See NUREG–1556, 

Volume 20, “Consolidated Guidance About Materials Licenses: Guidance About Administrative 

Licensing Procedures,” for further information on license conditions. 
1-2

NRC Form 313 does not have sufficient space for applicants to provide full responses to 

Items 5 through 11, as indicated on the form. Applicants should address those items on 

separate sheets of paper and submit them along with the completed NRC Form 313. For the 

convenience and streamlined handling of well logging, tracer, or field flood study applications, 

Appendix B of this NUREG, “Suggested Format for Providing Information Requested in Items 5 

through 11 of NRC Form 313,” may be used to provide supporting information. Appendix C of 

this NUREG also contains a checklist for the completion of a license application for well logging, 

tracer, or field flood study applications. Appendices D through R contain additional information 

on various radiation safety topics. 

In this NUREG, “dose” or “radiation dose” means absorbed dose, dose equivalent, effective 

dose equivalent, committed dose equivalent, committed effective dose equivalent, or total 

effective dose equivalent (TEDE), as defined in 10 CFR Part 20, “Standards for protection 

against radiation.” To describe units of radiation exposure or dose, rem and its International 

System of Units equivalent, Sievert (Sv) (1 rem = 0.01 Sv), are used. This is done because 

10 CFR Part 20 sets dose limits in terms of rem (Sv), rather than rad (Gray). When the 

radioactive material emits beta and gamma rays, 1 roentgen is assumed to equal 1 rad, which is 

assumed to equal 1 rem. For alpha and neutron-emitting radioactive material, 1 rad is not equal 

to 1 rem. Determination of dose equivalent (rem) from absorbed dose (rad) from alpha particles 

and neutrons requires the use of an appropriate quality factor (Q) value. These Q values are 

used to convert absorbed dose (rad) to dose equivalent (rem). Tables 1004(b).1 and .2 in 

10 CFR 20.1004, “Units of radiation dose,” address the Q values for alpha particles 

and neutrons.

Appendix D of this NUREG provides specific guidance for licensing field flood activities.
2-1

2 AGREEMENT STATES

2.1 Jurisdiction Determination

Certain States, called Agreement States (see Figure 2–1), have entered into agreements with 

the U.S Nuclear Regulatory Commission (NRC) that give them the authority to license and 

inspect byproduct, source, and special nuclear materials, in quantities not sufficient to form a 

critical mass, which are used or possessed within their borders. Any applicant, other than a 

Federal entity, who wishes to possess or use licensed material in one of these Agreement 

States should contact the responsible officials in that State for guidance on preparing an 

application. These applications should be filed with State officials, not with the NRC. In areas 

under exclusive Federal jurisdiction within an Agreement State, NRC continues to be the 

regulatory authority.

Figure 2–1. U.S. Map: Locations of NRC Offices and Agreement States
2-2

In the special situation of work at federally controlled sites in Agreement States, it is necessary 

to ascertain the jurisdictional status of the area to determine whether the NRC or the Agreement 

State has regulatory authority. These areas can also include Tribal lands of federally 

recognized Indian Tribes.

2

The NRC has regulatory authority over land determined to be “exclusive Federal jurisdiction,” 

while the Agreement State may have jurisdiction over nonexclusive Federal jurisdiction land. 

Applicants are responsible for determining, in advance, the jurisdictional status of the specific 

areas where they plan to conduct licensed operations. Additional guidance on determining 

jurisdictional status is found in the Office of Nuclear Material Safety and Safeguards (NMSS) 

procedures in the State Agreement (SA) series, SA-500, “Jurisdiction Determination,” which is 

available at https://scp.nrc.gov/. Once on the Web site, use the link for “NMSS Procedures” in 

the left-hand column under “Resources & Tools.”

Table 2–1 provides a quick way to evaluate whether the NRC or an Agreement State has 

regulatory authority.

Table 2–1. Who Regulates the Activity?

Applicant and Proposed Location of Work

Regulatory 

Agency

Federal agency regardless of location (except that the U.S. Department of 

Energy and, under most circumstances, its prime contractors are exempt 

from licensing, in accordance with Title 10 of the Code of Federal 

Regulations (10 CFR) 30.12, “Persons using byproduct material under 

certain Department of Energy and Nuclear Regulatory Commission 

contracts;” also, see 10 CFR 40.11, and/or 10 CFR 70.11, if applicable)

NRC

Non-Federal entity in non-Agreement State, District of Columbia, 

U.S. territory, or possession, or in offshore Federal waters

NRC

Federally recognized Indian Tribe or Tribal member on Indian Tribal land NRC

Non-Federal entity on federally recognized Indian Tribal land NRC3

Federally recognized Indian Tribe or Tribal member outside of Indian 

Tribal land in Agreement State

Agreement State

Non-Federal entity in Agreement State Agreement State4

Non-Federal entity in Agreement State at federally controlled site not

subject to exclusive Federal jurisdiction

Agreement State4

 

2For the purposes of this guidance, an “Indian Tribe” is defined as an Indian or Alaska Native tribe, band, nation, pueblo, village, or 

community that the Secretary of the Interior acknowledges to exist as an Indian Tribe, pursuant to the Federally Recognized Indian 

Tribe List Act of 1994. A list of federally recognized tribes is available at www.bia.gov.

3

The NRC can exercise jurisdiction as the regulatory authority on Tribal land of a federally recognized Indian Tribe. Section 274b. 

Agreements do not give States the authority to regulate nuclear material in these areas. However, there may be States that 

exercise regulatory authority over these areas based on treaties or agreements with specific tribes. Companies owned or operated 

by federally recognized Indian Tribe members or non-Indians that wish to possess or use licensed material on Tribal lands should 

contact the appropriate NRC regional office to determine the jurisdictional status of the Tribal lands and identify the appropriate 

regulatory agency for licensing and reciprocity.

4

Section 274m. of the Atomic Energy Act (AEA) withholds to the NRC regulatory authority over radioactive materials covered under 

the Section 274b. agreements when the activity can affect the Commission’s authority to protect the common defense and security, 

to protect restricted data, or guard against the loss or diversion of special nuclear material. (This is an uncommon situation that 

NRC usually evaluates on a case-by-case basis.) Individuals or companies wishing to possess or use licensed material should 

contact the licensee to determine the jurisdictional status for specific AEA radioactive materials they intend to possess or use. 
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Table 2–1. Who Regulates the Activity?

Applicant and Proposed Location of Work

Regulatory 

Agency

Non-Federal entity in Agreement State at federally controlled site subject 

to exclusive Federal jurisdiction

NRC

Non-Federal entity in Agreement State using radioactive materials (except 

industrial radiography) directly connected with Part 50 or 52 reactor 

operations or needed during the construction, and pre-operational phases

of a reactor

NRC

Non-Federal entity in Agreement State using radioactive materials not

directly connected with Part 50 or 52 reactor operations or needed during 

the construction and preoperational phases of a reactor.

Agreement State4

Reference: A current list of Agreement States (including names, addresses, and telephone 

numbers of responsible officials) is available at https://scp.nrc.gov. A request for the list can 

also be made to an NRC regional office.

2.2 Reciprocal Recognition of Specific Licenses

Performing licensed activities in other jurisdictions is possible through reciprocal recognition of 

specific licenses (i.e., reciprocity). Agreement States have reciprocity provisions that permit 

NRC licensees to perform licensed activities under circumstances when an Agreement State is 

the regulatory authority (see Section 2.1). NRC licensees and Agreement State licensees are 

subject to the regulations of the regulatory authority, as indicated in Section 2.1. To ensure 

compliance with an Agreement State’s reciprocity requirements, licensees are advised to 

request authorization from the appropriate Agreement State radiation control program office well 

in advance of the scheduled use of licensed material. 

Agreement State licensees that wish to conduct licensed activities in areas under NRC 

jurisdiction must either obtain a specific NRC license or file for reciprocity with the appropriate 

NRC regional office for the Agreement State that issued their license. Failure to file for 

reciprocity or obtain a specific NRC license before working in areas under NRC jurisdiction can 

result in NRC enforcement action, which may include civil penalties. The reciprocity filing must 

be renewed annually.

Specific guidance regarding NRC licensees filing for reciprocity in Agreement States and 

Agreement State licensees filing for reciprocity with the NRC or another Agreement State are 

provided in NUREG–1556, Volume 19, “Consolidated Guidance About Materials 

Licenses: Guidance for Agreement State Licensees About NRC Form 241, “Report of Proposed 

Activities in Non-Agreement States, Areas of Exclusive Federal Jurisdiction, or Offshore 

Waters” and Guidance for NRC Licensees Proposing to Work in Agreement State 

Jurisdiction (Reciprocity).”

3-1

3 MANAGEMENT RESPONSIBILITY

The U.S Nuclear Regulatory Commission (NRC) recognizes that effective management of 

radiation safety programs is vital to achieving safe, secure, and compliant operations. 

Consistent compliance with NRC regulations provides reasonable assurance that licensed 

activities will be conducted safely and that effective management will result in increased safety, 

security, and compliance. 

“Management,” as used in this volume, refers to the processes for conduct and control of a 

radiation safety program and to the individuals who are responsible for those processes and 

who have authority to provide necessary resources to achieve regulatory compliance.

3.1 Commitments and Responsibilities

Pursuant to Title 10 of the Code of Federal Regulations (10 CFR) 30.32(c), 40.31(b), and 

70.22(d), each application must be signed by the applicant or licensee or a person duly 

authorized to act for and on behalf of the applicant or licensee. If it is not clear whether the 

application was signed by someone duly authorized to act for and on behalf of the applicant or 

licensee, NRC license reviewers may ask for additional assurances that the individual who 

signed the application is duly authorized to act for and on the behalf of the applicant or licensee. 

The signature on an application acknowledges the applicant’s or licensee’s commitments and 

responsibilities, including the following:

• Ensure radiation safety, security, and control of radioactive materials and compliance 

with regulations.

• Ensure that radiation safety records and all information provided to the NRC are 

complete and accurate (10 CFR 30.9, 40.9, and 70.9, “Completeness and accuracy of 

information”).

• Affirm the licensee’s knowledge about the contents of the license and application.

• Compliance with current NRC and U.S. Department of Transportation (DOT) 

regulations; the licensee’s operating, emergency, and security procedures; and NRC 

license commitments.

• Commitment to provide adequate resources (including space, equipment, personnel, 

time, and, if needed, contractors) to the radiation protection program to ensure that the 

public and workers are protected from radiation hazards and compliance with regulations 

is maintained.

• Commitment to report defects, noncompliance, or reportable events in accordance 

with regulations.

• Selection and assignment of a qualified individual to serve as the radiation safety officer 

(RSO) for licensed activities and confirmation that the RSO has independent authority to 

stop unsafe operations and will be given sufficient time to fulfill radiation safety duties 

and responsibilities.

• Commitment to ensure that radiation workers have adequate training.
3-2

• Prevention of discrimination of employees engaged in protected activities and

commitment to provide information to employees about the employee protection

provisions (10 CFR 30.7, 40.7, and 70.7, “Employee protection”).

• Commitment to provide information to employees about deliberate misconduct

provisions in (10 CFR 30.10, 40.10, and 70.10 “Deliberate misconduct”).

• Commitment to obtain the NRC’s prior written consent before transferring control of the

license (see Section 9.1, “Timely Notification of Transfer of Control,” of this NUREG).

• Notification of the appropriate NRC Regional Administrator, in writing, immediately

following the filing of a petition for voluntary or involuntary bankruptcy [10 CFR 30.34(h),

40.41(f), 70.32(a)(9)], as discussed further in Section 8.2.1, “Notification of Bankruptcy

Proceedings,” of this NUREG.

For information on NRC inspection, investigation, enforcement, and other compliance programs, 

see the current version of the NRC’s Enforcement Policy and Inspection Procedures available in 

the NRC’s online library, under “Document Collections,” at https://www.nrc.gov/reading-rm.html. 

3.2 Safety Culture 

Individuals and organizations performing regulated activities are expected to establish and 

maintain a positive safety culture commensurate with the safety and security significance of 

their activities and the nature and complexity of their organizations and functions. This applies 

to all licensees, certificate holders, permit holders, authorization holders, holders of quality 

assurance program approvals, vendors and suppliers of safety-related components, and

applicants for a license, certificate, permit, authorization, or quality assurance program approval, 

subject to NRC authority.

“Nuclear safety culture” is defined in the NRC’s safety culture policy statement (76 FR 34773; 

June 14, 2011) as “the core values and behaviors resulting from a collective commitment by 

leaders and individuals to emphasize safety over competing goals to ensure protection of 

people and the environment.” Individuals and organizations performing regulated activities bear 

the primary responsibility for safely handling and securing these materials. Experience has 

shown that certain personal and organizational traits are present in a positive safety culture. A 

trait, in this case, is a pattern of thinking, feeling, and behaving that emphasizes safety, 

particularly in goal-conflict situations (e.g., production versus safety, schedule versus safety, 

and cost of the effort versus safety). Refer to Table 3–1 for the traits of a positive safety culture 

from NRC’s safety culture policy statement.

Organizations should ensure that personnel in the safety and security sectors have an 

appreciation for the importance of each, emphasizing the need for integration and balance to 

achieve both safety and security in their activities. Safety and security activities are closely 

intertwined. While many safety and security activities complement each other, there may be 

instances in which safety and security interests create competing goals. It is important that 

consideration of these activities be integrated so as not to diminish or adversely affect either; 

thus, mechanisms should be established to identify and resolve these differences. A safety 

culture that accomplishes this would include all nuclear safety and security issues associated 

with NRC-regulated activities.
3-3

The NRC, as the regulatory agency with an independent oversight role, reviews the 

performance of individuals and organizations to determine compliance with requirements and 

commitments through its existing inspection and assessment processes. However, NRC’s 

safety culture policy statement and traits are not incorporated into the regulations. Safety 

culture traits may be inherent to an organization’s existing radiation safety practices and 

programs. For instance, during the daily visual inspection of logging equipment, a well logging 

supervisor identifies damaged threads on a well logging tool, removes the defective tool from 

service, and notifies management so the tool can be repaired or replaced. The requirement for 

daily visual inspections of logging equipment may correspond with the safety culture trait 

specified in Table 3–1 as “Personal Accountability” (all individuals take personal responsibility 

for safety). However, licensees should be aware that this is just an example and should 

consider reviewing their radiation safety programs in order to develop and implement a safety 

culture commensurate with the nature and complexity of their organizations and functions.

Refer to Appendix R of this NUREG for the NRC’s safety culture policy statement. More 

information on NRC activities relating to safety culture can be found at: 

https://www.nrc.gov/about-nrc/safety-culture.html. 

Table 3–1. Traits of a Positive Safety Culture

Leadership Safety Values

and Actions

Problem Identification and 

Resolution Personal Accountability

Leaders demonstrate a 

commitment to safety in their 

decisions and behaviors. 

Issues potentially impacting 

safety are promptly identified, 

fully evaluated, and promptly 

addressed and corrected 

commensurate with their 

significance.

All individuals take personal 

responsibility for safety. 

Work Processes Continuous Learning

Environment for Raising 

Concerns

The process of planning and 

controlling work activities is 

implemented so that safety is 

maintained. 

Opportunities to learn about 

ways to ensure safety are 

sought out and implemented. 

A safety conscious work 

environment is maintained 

where personnel feel free to 

raise safety concerns without 

fear of retaliation, 

intimidation, harassment, or 

discrimination.

Effective Safety 

Communications

Respectful Work 

Environment Questioning Attitude

Communications maintain a 

focus on safety. 

Trust and respect permeate 

the organization. 

Individuals avoid 

complacency and 

continuously challenge 

existing conditions and 

activities in order to identify 

discrepancies that might 

result in error or inappropriate 

action.

4-1

4 APPLICABLE REGULATIONS

It is the applicant’s or licensee’s responsibility to obtain and have available up-to-date copies of 

applicable regulations, to read and understand the requirements of each of these regulations, 

and to comply with each applicable regulation. The following parts of Title 10 of the Code of 

Federal Regulations (10 CFR) contain regulations applicable to well logging, tracer, and field 

flood studies. Some of these parts are specific to one type of license, while others are general 

and will apply to many, if not all, licensees.

The current versions of these 10 CFR regulations can be found under the “Basic References” 

link at the U.S. Nuclear Regulatory Commission’s (NRC’s) online library at 

https://www.nrc.gov/reading-rm.html. For viewing in a browser, the following list includes direct 

links to the rules:

• 10 CFR Part 2 “Agency Rules of Practice and Procedure”

• 10 CFR Part 19 “Notices, Instructions and Reports to Workers: Inspection 

and Investigations”

• 10 CFR Part 20 “Standards for Protection Against Radiation”

• 10 CFR Part 21 “Reporting of Defects and Noncompliance”

• 10 CFR Part 30 “Rules of General Applicability to Domestic Licensing of 

Byproduct Material”

• 10 CFR Part 32 “Specific Domestic Licenses to Manufacture or Transfer 

Certain Items Containing Byproduct Material”

• 10 CFR Part 33 “Specific Domestic Licenses of Broad Scope for 

Byproduct Material”

• 10 CFR Part 37 “Physical Protection of Category 1 and Category 2 Quantities of

Radioactive Material”

• 10 CFR Part 39 “Licenses and Radiation Safety Requirements for Well Logging”

• 10 CFR Part 40 “Domestic Licensing of Source Material”

• 10 CFR Part 70 “Domestic Licensing of Special Nuclear Material”

• 10 CFR Part 71 “Packaging and Transportation of Radioactive Material”

• 10 CFR Part 110 “Export and Import of Nuclear Equipment and Material”

• 10 CFR Part 150 “Exemptions and Continued Regulatory Authority in Agreement

States and in Offshore Waters under Section 274”

• 10 CFR Part 170 “Fees for Facilities, Materials, Import and Export Licenses, and

Other Regulatory Services under the Atomic Energy Act of 1954,

as Amended”
4-2

• 10 CFR Part 171 “Annual Fees for Reactor Licenses and Fuel Cycle Licenses and

Materials Licenses, Including Holders of Certificates of

Compliance, Registrations, and Quality Assurance Program

Approvals and Government Agencies Licensed by the NRC”

Copies of the above documents may be obtained by calling the Government Publishing Office 

Customer Contact Center toll-free at 866-512-1800, in Washington, DC; calling 202-512-1800;

or ordering online at https://bookstore.gpo.gov.

In addition, 10 CFR Parts 1 through 199 can be found on the NRC’s Web site at 

https://www.nrc.gov/reading-rm/doc-collections/ under “Regulations (10 CFR).” 

NRC regulations and amendments also can be accessed from the “NRC Library” link on the 

NRC’s public Web site at https://www.nrc.gov. Regulations are periodically amended, and the 

NRC (as well as all other Federal agencies) is required to publish notice of such amendments in 

the Federal Register. 
5-1

5 HOW TO FILE

5.1 Application Preparation

Applicants for a materials license should do the following:

• Use the most recent guidance in preparing an application.

• Complete U.S. Nuclear Regulatory Commission (NRC) Form 313 (Appendix A of this 

NUREG), Items 1 through 4, 12, and 13, on the form itself. A link to the form is available 

at https://www.nrc.gov/reading-rm/doc-collections/forms/.

• Complete NRC Form 313, Items 5 through 11, on supplementary pages or use 

Appendix B of this NUREG.

• Provide sufficient detail for the NRC to determine that the equipment, facilities, training, 

experience, and radiation safety program are adequate to protect health and safety and 

minimize danger to life and property.

• For each separate sheet other than NRC Form 313 and Appendix B pages, as 

applicable, identify and cross-reference submitted information to the item number on the 

application or the topic to which it refers.

• Avoid submitting proprietary information and personally identifiable information. If 

submitted, proprietary, personal privacy, security-related, and other sensitive information 

should be clearly identified according to Title 10 of the Code of Federal Regulations

(10 CFR) 2.390, “Public inspections, exemptions, requests for withholding” 

(see Chapter 6, “Identifying and Protecting Sensitive Information”). 

5.2 Where to File

Applicants wishing to possess or use licensed material in any State, U.S. territory, or 

U.S. possession subject to NRC jurisdiction must file an application with the NRC regional office 

for the locale in which the material will be possessed or used. Figure 2–1 identifies the NRC’s 

four regional offices and their respective areas for licensing purposes and the Agreement 

States. Note that all materials applications are submitted to Regions I, III, or IV. All applicants 

for materials licenses located in the Region II geographical area should send their applications 

to Region I.

In general, applicants wishing to possess or use licensed material in Agreement States must file 

an application with the Agreement State and not with the NRC. However, if work will be 

conducted at federally controlled sites, or federally recognized Indian Tribal lands, in Agreement 

States, applicants must first determine the jurisdictional status of the land in order to determine 

whether the NRC or the Agreement State has regulatory authority. See Chapter 2, “Agreement 

States,” for additional information.
5-2

5.3 Paper Applications

Paper applications received by the NRC are scanned through an optical character reader and 

converted to an electronic format. To ensure a smooth transfer to an electronic format, 

applicants should do the following:

• Submit all documents, typed, on 81⁄2 × 11-inch or legal-sized paper that will feed easily 

into a document scanner.

• Choose typeface designs that are sans serif, such as Arial, Helvetica, or Futura.

• Use 11-point or larger font.

• Avoid stylized characters, such as script or italics.

• Ensure that the print is clear and sharp.

• Ensure that there is high contrast between the ink and paper (black ink on white paper 

is best).

Applications should be signed by the applicant, licensee, or a person duly authorized as 

required by 10 CFR 30.32(c), 40.31(b), and 70.22(d) (see Section 8.13, “Certification”).

5.4 Electronic Applications

Applications may be submitted in electronic form via the NRC’s Electronic Information 

Exchange, or CD-ROM. Detailed guidance on making electronic submissions can be obtained 

by visiting the NRC’s Web site at https://www.nrc.gov/site-help/e-submittals.html. The guidance 

discusses, among other topics, the formats the NRC can accept, the use of electronic 

signatures, and the treatment of nonpublic information.
6-1

6 IDENTIFYING AND PROTECTING SENSITIVE INFORMATION

All licensing applications, except for portions containing sensitive information, will be made 

available for review in the U.S. Nuclear Regulatory Commission (NRC) Public Document Room 

and electronically at the NRC Library. For more information on the NRC Library, visit 

https://www.nrc.gov.

The applicant or licensee should identify, mark, and protect sensitive information against 

unauthorized disclosure to the public. License applications that contain sensitive information 

should be marked as indicated in the list that follows in accordance with Title 10 of the Code of 

Federal Regulations (10 CFR) 2.390 before the information is submitted to the NRC. Key 

examples are as follows:

• Proprietary Information and Trade Secrets: If it is necessary to submit proprietary 

information or trade secrets, follow the procedure in 10 CFR 2.390(b). Failure to follow 

this procedure could result in disclosure of the proprietary information to the public or 

substantial delays in processing the application. Appendix Q of this NUREG provides a 

checklist for requests for withholding proprietary information from public disclosure.

• Personally Identifiable Information: Personally identifiable information (PII) about 

employees or other individuals should not be submitted unless specifically requested by 

the NRC. Examples of PII are social security number, home address, home telephone 

number, date of birth, and radiation dose information. If PII is submitted, a cover letter 

should clearly state that the attached documents contain PII, and the top of every page 

of a document that contains PII should be clearly marked as follows: “Privacy Act 

Information—Withhold under 10 CFR 2.390.” For further information, see Regulatory 

Issue Summary (RIS) 2007-04, “Personally Identifiable Information Submitted to the 

U.S. Nuclear Regulatory Commission,” dated March 9, 2007, and Information Notice (IN)

2013-22, “Recent Licensing Submittals Containing Personally Identifiable Information,” 

dated November 15, 2013, which can be found on the NRC’s Generic Communications 

Web page under “Regulatory Issue Summaries” and “Information Notices,” respectively

at https://www.nrc.gov/reading-rm/doc-collections/gen-comm/.

• Security-Related Information: Following the events of September 11, 2001, the NRC 

changed its procedures to avoid the release of information that terrorists could use to 

plan or execute an attack against facilities or citizens in the United States. As a result, 

certain types of information are no longer routinely released and are treated as sensitive 

unclassified information. For example, certain information about the quantities and 

locations of radioactive material at licensed facilities, and associated security measures, 

are no longer released to the public. Therefore, a cover letter should clearly state that 

the attached documents contain sensitive security-related information, and the top of 

every page of a document that contains such information should be clearly marked: 

“Security-Related Information—Withhold under 10 CFR 2.390.” For the pages having 

security-related sensitive information, an additional marking should be included (e.g., an 

editorial note box) adjacent to that material. For further information, see RIS 2005-31,

Rev. 1, “Control of Security-Related Sensitive Unclassified Non-Safeguards Information 

Handled by Individuals, Firms, and Entities Subject to NRC Regulation of the Use of 

Source, Byproduct, and Special Nuclear Material,” dated December 26, 2017, which can 

be found on the NRC’s Generic Communications Web page under “Regulatory Issue 

Summaries” at https://www.nrc.gov/reading-rm/doc-collections/gen-comm/. 
6-2

Additional information on procedures with any updates is available at 

https://www.nrc.gov/reading-rm/sensitive-info.html.

The regulations list various forms of information that can be protected from public disclosure. 

These include

• trade secrets and commercial or financial information

• interagency or intra-agency memoranda or letters that would not be available by law to a 

party other than an agency in litigation with NRC

• certain records or information compiled for law enforcement purposes

• geological and geophysical information and data, including maps, or information 

concerning wells

• personnel, medical, and other information, the disclosure of which would constitute a 

clearly unwarranted invasion of personal privacy

In 10 CFR 2.390, NRC specifies the procedures and requirements for persons to submit 

sensitive information to NRC so that it may be properly protected from disclosure. This 

regulation is available electronically on the NRC Web site at https://www.nrc.gov/readingrm/doc-collections/cfr.

Except for personal privacy information, which is not subject to the affidavit requirement, if NRC 

determines that the application or affidavit is deficient (i.e., does not contain the required 

information as outlined in 10 CFR 2.390), the applicant will be notified that additional information 

is needed and that the review will continue when the required information is received.

If the request is denied, in whole or in part, NRC will give the applicant the option of withdrawing 

the information or application, as permitted in 10 CFR 2.390. If the applicant decides not to 

withdraw the information or application, NRC will notify the applicant in writing that the request 

for withholding has been denied and that NRC will disregard any references concerning the 

proprietary status of the information.

Any part of a license application or information provided by a licensee or applicant that the NRC 

determines should be withheld from public disclosure will be handled in accordance with 

Management Directive 12.6, “NRC Sensitive Unclassified Information Security Program,” and 

the licensee or applicant will be notified in writing that NRC plans to honor the request. 

Management Directive 12.6 is available electronically on the NRC Web site at

https://www.nrc.gov/reading-rm/doc-collections/management-directives/.
6-3

Anyone submitting a request to withhold information from public disclosure should thoroughly 

review 10 CFR 2.390 and be familiar with its requirements and limitations.

Withholding from public inspection will not affect the right, if any, of persons properly and 

directly concerned to inspect the documents. If the need arises, NRC may send copies of this 

information to NRC consultants working in that area. NRC will ensure that the consultants 

have signed the appropriate agreements for handling proprietary information.

If the basis for withholding this information from public inspection should change in the future, 

such that the information could then be made available for public inspection, the licensee or 

applicant should promptly notify the NRC. The licensee or applicant also should understand 

that NRC may have cause to review this determination in the future (e.g., if the scope of a 

Freedom of Information Act request includes the information in question. In all review 

situations, if NRC makes a determination adverse to the above, the licensee or applicant will 

be notified in advance of any public disclosure. Anyone submitting commercial or financial 

information they believe to be privileged, confidential, or a trade secret must remember that 

the NRC’s policy is to achieve an effective balance between legitimate concerns for the 

protection of competitive positions and the right of the public to be fully apprised of the basis 

for, and the effects of, licensing or rulemaking actions. It is within NRC’s discretion to withhold 

such information from public disclosure.

7-1

7 APPLICATION AND LICENSE FEES

Each application for which a fee is specified must be accompanied by the appropriate fee. 

Refer to Title 10 of the Code of Federal Regulations (10 CFR) 170.31, “Schedule of fees for 

materials licenses and other regulatory services, including inspections, and import and export 

licenses,” to determine the amount of the fee. The U.S. Nuclear Regulatory Commission (NRC) 

will not issue a license until the fee is received. Consult 10 CFR 170.11, “Exemptions,” for 

information on exemptions from these fees. Once the technical review of an application has 

begun, no fees will be refunded. Application fees will be charged regardless of the NRC’s 

disposition of an application or the withdrawal of an application.

Most NRC licensees are also subject to annual fees; refer to 10 CFR 171.16, “Annual fees: 

Materials licensees, holders of certificates of compliance, holders of sealed source and device 

registrations, holders of quality assurance program approvals, and government agencies 

licensed by the NRC.” Consult 10 CFR 171.11 for information on exemptions from annual fees 

and 10 CFR 171.16(c) on reduced annual fees for licensees that qualify as “small entities.” 

Note, that in order to pay reduced fees, a licensee that qualifies as a “small entity” must provide 

proper certification of this status to the NRC each year along with its annual fee payment.

Direct all questions about the NRC’s fees or completion of Item 12 of NRC Form 313 to the 

Office of the Chief Financial Officer at NRC Headquarters in Rockville, Maryland, 301-415-7554. 

Information about fees may also be obtained by calling NRC’s toll-free number, 800-368-5642, 

extension 415-7554. The e-mail address is Fees.Resource@nrc.gov.

8-1

8 CONTENTS OF AN APPLICATION

The following information applies to the indicated items on U.S. Nuclear Regulatory Commission 

(NRC) Form 313 (Appendix A of this NUREG).

All items in the application should be completed in enough detail for the NRC to determine 

whether the proposed equipment, facilities, training and experience, and radiation safety and 

security program satisfy regulatory requirements and are adequate to protect public health and 

safety and minimize danger to life and property. Consideration should be given, when 

developing the application, to the concepts of keeping exposure as low as is reasonably 

achievable (ALARA), minimizing contamination, and maintaining control of radioactive materials.

Title 10 of the Code of Federal Regulations (10 CFR) 20.1101(b) states, “The licensee shall 

use, to the extent practical, procedures and engineering controls based upon sound radiation 

protection principles to achieve occupational doses and doses to members of the public that are 

as low as is reasonably achievable (ALARA).” Regulatory Guide 8.10, Rev. 2, “Operating 

Philosophy for Maintaining Occupational Radiation Exposures as Low as Is Reasonably 

Achievable,” discusses the ALARA concept and philosophy. The application should 

document ALARA considerations, including establishing administrative action levels and 

monitoring programs.

10 CFR 20.1406, “Minimization of contamination,” requires applicants for licenses to describe 

how facility design and procedures for operation will minimize, to the extent practicable, 

contamination of the facility and the environment; facilitate eventual decommissioning; and 

minimize, to the extent practicable, the generation of radioactive waste. As with ALARA 

considerations, applicants should address these concerns for all aspects of their programs.

The application should include information on how the licensee will implement the security 

requirements in 10 CFR 20.1801, “Security of stored material,” and 10 CFR 20.1802, “Control of 

material not in storage.”

All information submitted to the NRC during the licensing process may be incorporated as part 

of the license and will be subject to review during inspection.

8.1 Item 1: License Action Type

Item 1 of NRC Form 313 states the following:

This is an application for (check appropriate item):

Type of Action License No.

[ ] A. New License Not Applicable

[ ] B. Amendment XX-XXXXX-XX

[ ] C. Renewal XX-XXXXX-XX

Check Box A for a new license request. Note that a prelicensing visit may be required prior to

issuance of the license. Also note that an initial security review may be conducted in 

accordance with NRC Inspection Manual Chapter 2800, “Material Inspection Program,” before 

issuance of the license.
8-2

Check Box B for an amendment to an existing license and provide the license number.

Check Box C for a renewal of an existing license and provide the license number. See “License 

Amendments and Renewals” in Chapter 9 of this NUREG.

8.2 Item 2: Name and Mailing Address of Applicant

List the legal name of the applicant’s corporation or other legal entity with direct control over use 

of the radioactive material. A division or department within a legal entity may not be a licensee. 

An individual may be designated as the applicant only if the individual is acting in a private 

capacity and the use of the radioactive material is not connected with employment in a 

corporation or other legal entity. Provide the mailing address where correspondence should be 

sent. A post office box number is an acceptable mailing address.

Notify the NRC of changes in mailing address. These changes do not require a fee.

Note: The NRC must be notified and the transfer approved before control of the license is 

transferred (see Section 9.1, “Timely Notification of Transfer of Control”). The NRC must also 

be notified when bankruptcy proceedings have been initiated (see Section 8.2.1, “Notification of 

Bankruptcy Proceedings”). 

8.2.1 Notification of Bankruptcy Proceedings

Regulation: 10 CFR 30.34(h), 10 CFR 40.41(f)(1), 10 CFR 70.32(a)(9)(i)

Criteria: Immediately following the filing of a voluntary or involuntary petition for bankruptcy by

or against a licensee, the licensee must notify the appropriate NRC Regional Administrator in 

writing, identifying the bankruptcy court in which the petition was filed and the date of filing.

Discussion: Even though a licensee may have filed for bankruptcy, the licensee remains 

subject to all applicable NRC requirements. The NRC must be notified when licensees are in 

bankruptcy proceedings in order to determine whether all licensed material is accounted for and 

adequately controlled and whether there are any public health and safety concerns 

(e.g., contaminated facility). The NRC shares the results of its determinations with other 

involved entities (e.g. trustee), so that health and safety issues can be resolved before 

bankruptcy actions are completed, and the NRC may request that the U.S. Department of 

Justice represent the NRC’s interests in the bankruptcy proceeding.

Response from Applicant: None is required at the time of application for a new license. 

Licensees must immediately notify the NRC in writing, following the filing of a voluntary or 

involuntary petition for bankruptcy by or against the licensee.

Reference: See NUREG–1556, Volume 15, “Consolidated Guidance About Materials 

Licenses: Guidance About Changes of Control and About Bankruptcy Involving Byproduct, 

Source, or Special Nuclear Materials Licenses.”

8.3 Item 3: Address(es) Where Licensed Material Will Be Used or 

Possessed

Specify the street address, city, and State or other descriptive address {e.g., Highway 10, 

5 miles [8 kilometers] east of the intersection of Highway 10 and State Route 234, Anytown, 
8-3

State} for each facility at which licensed material will be used or stored. The descriptive address 

should be sufficient to allow an NRC inspector to find the facility location. A post office box 

address is not acceptable (see Figure 8-1). In addition, applicants are encouraged to provide 

global positioning system coordinates, as appropriate, for each permanent storage or use facility 

located in a remote area. If devices will not be stored at a dispatch site, the applicant should 

indicate this. The applicant should also state whether a location will be used to perform well 

logging operations or only for storage of sources and devices. 

A license amendment is required before receiving, using, or storing licensed material at an 

address or location not already listed on the license. 

To conduct operations at temporary job sites (i.e., locations where work is conducted for 

limited periods of time), the address may be stated as “temporary job sites anywhere in the 

United States where the NRC maintains jurisdiction.” See Table 2-1 to determine the 

appropriate regulatory jurisdiction.

An acceptable location of use or possession specifies street address, city, state,

and zip code and does not include a post office box number.

Figure 8–1. Location of Use or Possession

If an applicant submits documents that give the exact location of use and storage for any 

amount of radioactive material, the applicant should mark these documents as 

“Security-Related Information—Withhold under 10 CFR 2.390.” See Chapter 6, “Identifying and 

Protecting Sensitive Information,” for more details.

Note: As discussed in Section 8.5.3, “Financial Assurance and Recordkeeping for 

Decommissioning,” licensees must maintain permanent records describing where licensed 

material was used or stored while the license was in effect. This is important for making future 

determinations about the release of these locations for unrestricted use (e.g., before the license 

is terminated). Acceptable records are sketches, written descriptions of the specific locations or 

An NRC license does not relieve a licensee from complying with other applicable Federal, 

State, or local regulations (e.g., local zoning requirements).
8-4

room numbers where licensed material is used or stored, and any records of leaking radioactive 

sources or other unusual occurrences involving the possible spread of contamination in or 

around the licensee’s facilities.

8.4 Item 4: Person To Be Contacted About This Application

Identify the individual who can answer questions about the application, and include a telephone 

number where the individual may be contacted as well as business cell phone numbers and 

e-mail addresses. This individual, usually the radiation safety officer (RSO), will serve as the 

point of contact during the review of the application. If this individual is not a full-time employee 

of the licensed entity, his or her position and relationship to the licensee should be specified. 

The NRC should be notified if the person assigned to this function changes or if his or her 

telephone number, cell phone number, or e-mail address changes. Notification of a contact 

change is only provided for informational purposes and would not be considered an application 

for license amendment, unless the notification involves a change in the contact person who is 

also the RSO.

As indicated on NRC Form 313 (see Appendix A of this NUREG), Items 5 through 11 should 

be submitted on separate sheets of paper. Applicants may use Appendix B of this NUREG for 

this purpose and should note that using the suggested wording of responses and committing 

to use the model procedures in this NUREG will facilitate the NRC’s review.

8.5 Item 5: Radioactive Material

Regulations: 10 CFR 30.3, 10 CFR 30.18, 10 CFR 30.32(g), 10 CFR 30.32(i), 

10 CFR 30.33(a)(2), 10 CFR 32.210, 10 CFR 39.13, 10 CFR 40.3, 10 CFR 40.13, 

10 CFR 40.22, 10 CFR 40.25, 10 CFR 70.3, 10 CFR 70.17, 

Criteria: An application for a specific license will be approved if the requirements of 

10 CFR 30.33, “General requirements for issuance of specific licenses,” and 10 CFR 39.13, 

“Specific licenses for well logging,” are met. In addition, licensees will be authorized to possess 

and use only those sealed sources and devices that are specifically approved or registered by 

the NRC or an Agreement State.

Discussion: The applicant should list each requested radionuclide by its element name and 

mass number (e.g., cesium-137), specify whether the material will be acquired and used in 

unsealed or sealed form, and list the maximum activity requested [include units 

milliSieverts/Sieverts (mSv/Sv), millicuries/curies (mCi/Ci)]. Table 8–1, “Types of Radioactive 

Materials,” below provides examples of the different types of radioactive materials. Some, not 

all, are addressed in this NUREG.

Note: Additional safety equipment and precautions are required when handling and using 

unsealed free-form volatile radioactive materials. (Volatile means that a liquid becomes a gas at 

a relatively low temperature when the sealed container within which the liquid is stored is left 

open to the environment.)
8-5

Table 8–1. Types of Radioactive Material

Type of Material

Covered by this 

NUREG Examples

Byproduct material, as 

defined in 10 CFR 20.1003

Yes H-3, C-14, Na-22, S-35, Sc-46, Ca-45, 

Fe-55, Co-57, Co-58, Co-60, Ni-63, 

Zn-65, Br-82, Sr-85, Sr-90, Ag-110m, 

I-125, Sb-124, I-131, Xe-133, Cs-137, 

La-140, Ir-192, Au-198, Am-241, 

discrete sources of Ra-226

Source material Yes uranium, depleted uranium

Special nuclear material Yes Pu-238/Be sealed source

Naturally occurring 

radionuclides

No Ra-226 (nondiscrete sources), Th-232, 

Th-natural

Maximum activity should be specified in megabecquerels (MBq) [(mCi)] or gigabecquerels 

(GBq) [(Ci)] for each radionuclide. Applicants should include in the maximum activity requested,

the total estimated inventory planned for use in NRC jurisdictions, including licensed material in 

storage and maintained as radioactive waste. The requested maximum activity for any 

radionuclide should be commensurate with the applicant’s needs and facilities for safe handling. 

Applicants, when establishing the maximum activity being requested for radioactive materials 

with half-lives greater than 120 days, should review the requirements for submitting a 

certification for financial assurance for decommissioning. These requirements are discussed in 

Section 8.5.3, “Financial Assurance and Record Keeping for Decommissioning.” NUREG–1757, 

Volume 3, “Consolidated Decommissioning Guidance: Financial Assurance, Recordkeeping, 

and Timeliness” provides additional guidance on the requirements for financial assurance for 

decommissioning and the recordkeeping requirements related to decommissioning.

Applicants requesting an authorization to use volatile radioactive material must provide 

appropriate facilities, handling equipment, and radiation safety procedures for using 

such material.

If a dose evaluation indicates, because of a release of radioactive materials, that the potential 

dose to a person off-site would exceed 0.01 Sieverts (Sv) [1 rem] effective dose equivalent or 

.05 Sv [5 rems] to the thyroid, an emergency plan for responding to a release should be 

included with the application [10 CFR 30.32(i)]. For example: 370 GBq [10 Ci] of iodine-131 

is a quantity requiring an emergency plan.

Licensees should consult with the proposed supplier, manufacturer, or distributor to ensure that 

requested sources and devices, where applicable, are compatible with and conform to the 

sealed source and device designations registered with the NRC or an Agreement State.
8-6

A safety evaluation of sealed sources and devices is performed by the NRC or an Agreement 

State before authorizing a manufacturer (or distributor) to distribute them to specific licensees. 

The safety evaluation is documented in a Sealed Source and Device (SSD) registration 

certificate. SSD registration certificates may be obtained through the device manufacturer or 

vendor. Applicants must provide the manufacturer’s name and model number for each 

requested SSD (e.g., instrument calibrator) registration certificate so that the NRC can verify 

that each, when applicable, has been evaluated in an SSD registration certificate. 

8.5.1 Sealed Radioactive Material

Regulation: 10 CFR 20.2207, 10 CFR 30.32(g), 10 CFR Part 37, 10 CFR 39.41, 10 CFR 39.53

Criteria: Any sealed source used for well logging that contains more than 3.7 MBq 

[100 microcuries (μCi)] of byproduct or special nuclear material and is used downhole in well 

bores of gas wells, oil wells, or in mineral deposits, must satisfy the requirements of 

10 CFR 39.41, “Design and performance criteria for sources.”

Sealed sources used for well logging should have an SSD registration certificate designating the 

use of the sealed source for “well logging.”

Licensees must also protect aggregated Category 1 and Category 2 quantities of radioactive 

material, as defined in 10 CFR 37.5, from theft, diversion, and sabotage.

Discussion: The NRC or an Agreement State performs a safety evaluation of sealed sources 

before authorizing a manufacturer or distributor to distribute sources to specific licensees. The 

safety evaluation is documented in an SSD registration certificate. 

Applicants must provide the manufacturer’s name and model number for each requested sealed 

source. This information is necessary to ensure that each sealed source requested in the 

application is evaluated and approved by the NRC or an Agreement State, included in an SSD 

registration certificate, approved under the provisions granted by the NRC in 10 CFR 39.41, or 

is identified on an NRC or Agreement State license and authorized for well logging. Applicants 

should consult with the proposed suppliers or vendors to ensure that sealed sources, and if 

applicable, devices, conform to information contained in SSD registration certificates. 

Licensees should ensure that their uses of sealed sources, and, if applicable, associated 

equipment, are in accordance with registration certificates. Licensees may not make any 

changes to the sealed source, device, or source/device combination that would alter the 

description or specifications from those indicated in the respective registration certificates, 

without obtaining NRC’s prior permission in a license amendment. Applicants may elect to 

obtain copies of applicable SSD registration certificates from the manufacturer for future 

reference. If the manufacturer and distributor are no longer in service, a copy of the SSD 

registration certificate may be requested from the NRC or the issuing Agreement State.

For sealed sources used for well logging applications, NRC licenses only authorize possession 

of individual sealed sources approved for well logging. To allow flexibility, licenses do not 

authorize specific sealed source/well logging tool combinations. Applicants should consult with 

the manufacturer of the sealed sources before using associated equipment (e.g., well logging 

tools, transport containers, handling tools). Conferring with the vendor or manufacturer before 

use helps ensure that the associated equipment selected is compatible with sealed sources 

requested in the application.
8-7

Applicants must provide the manufacturer’s name and model number for each requested energy 

compensation source. Energy compensation sources are small sealed sources, with an activity 

not exceeding 3.7 MBq [100 μCi], used within a logging tool to provide a reference standard to 

maintain the tool’s calibration when in use. These sources are not required to meet the design 

and performance criteria in 10 CFR 39.41.

The regulations in 10 CFR Part 37 apply to licensees that possess an aggregated “Category 1 

quantity of radioactive material” or “Category 2 quantity of radioactive material.” These terms 

are defined in 10 CFR 37.5, and the radionuclides referenced in these 10 CFR 37.5 definitions 

are listed in Appendix A to 10 CFR Part 37. See Section 8.10.17, “Security Program for 

Category 1 and Category 2 Radioactive Material,” of this NUREG for more information on the 

applicability and requirements of 10 CFR Part 37.

Response from Applicant:

• Complete the table in Appendix B of this NUREG to support the request for byproduct, 

source, or special nuclear material used in well logging operations and radioactive 

materials used for purposes other than well logging (e.g., radiation survey 

instrument calibrators).

AND

• Include the following information to support the request for each sealed source:

— Identify each radionuclide (element name and mass number) that will be used in 

each sealed source within the NRC’s jurisdiction.

— Provide the manufacturer’s or distributor’s name and model number for each 

sealed source and, if applicable, device requested.

— Confirm that the activity per source and maximum activity in each device will not 

exceed the maximum activity listed on the approved certificate of registration 

issued by the NRC or by an Agreement State.

— Confirm that each sealed source, device, and source and device combination is 

registered as an approved sealed source or device by the NRC or an Agreement 

State, and will be possessed and used in accordance with the conditions 

specified in the registration certificate. Provide the SSD registration certificate 

number, if available.

— Identify each sealed source or energy compensation source by the 

manufacturer’s name, model number, radionuclide (element name and mass 

number), maximum activity per source, and total activity requested.

— Identify any sealed sources or corresponding devices not used in well logging 

that contain byproduct, special nuclear, or source material, and specify the

manufacturer’s name, model number, and radionuclide (element name and mass 

number). Examples of such devices are calibration devices used for radiation 

survey instruments and pocket dosimeters, and sources used above ground for 

calibrating well logging tools.
8-8

— Identify the manufacturer’s name and model number of depleted uranium 

sinker bars.

Note: An applicant should contact the device or source manufacturer or vendor for information 

on SSD registration certificates.

8.5.2 Unsealed (Tracer) Radioactive Material

Regulation: 10 CFR 30.32(i), 10 CFR 30.33, 10 CFR 30.72, 10 CFR 39.2, 10 CFR 39.13

Criteria: An application for a license will be approved if the requirements of 10 CFR 30.33, 

“General requirements for issuance of specific licenses,” and 10 CFR 39.13, “Specific licenses

for well logging,” are satisfied.

Discussion: Each authorized radionuclide tracer is listed on the NRC license by its element 

name, chemical and/or physical form, maximum amount authorized (possession limit), and the 

maximum amount of each radionuclide (identified by physical or chemical form) used in each 

type of tracer study requested. The following definitions are provided to clarify single and 

multiple well tracer operations addressed in this NUREG:

• Tracer Materials: Radionuclides in liquid, solid, or gas form that are injected into single 

well bores or underground reservoirs to monitor the movement of fluids or gases. Tracer 

studies involve a single well and require the use of an electronic well logging tool to 

detect the radionuclides injected into the well.

• Field Flood Studies or Enhanced Oil and Gas Recovery Studies: Tracer studies 

involving multiple wells where one or more radionuclides are injected and multiple oil or 

gas samples containing radioactive material are collected from each of the wells to 

determine the direction and rate of flow through the formation. Field flood tracer 

operations would not normally involve the use of an electronic well logging tool to detect 

the radionuclides in the well. 

• Labeled Frac Sands: Radionuclide(s) in liquid or solid forms that is (are) chemically 

bonded to glass or resin beads and injected into a single well in a density-controlled 

solution. Frac sand operations require the use of an electronic well logging tool to 

assess the amount of radionuclide(s) remaining in the underground reservoir formation.

Refer to Section 8.10.13.4 for additional information.

Table 8-2. Types of Radioactive Materials Used in Field Flood Studies and Single 

Well Tracer Operations

Field Flood or Enhanced Oil And Gas Recovery Study Applications Tracers

Used In Multiple Wells

Gas H-3, Kr-85, C-14, I-131, Br-82

Liquid H-3, C-14, Na-22, S-35, Ca-45, Co-60, 

Ni-63, Zn-65, Sr-85, Sc-46, Sr-90, 

Ag-110m, I-125, I-131, La-140, Ir-192
8-9

Table 8-2. Types of Radioactive Materials Used in Field Flood Studies and Single 

Well Tracer Operations

Well Logging Tracer Applications Tracers Used In A Single Well

Gas Br-82, I-131, I-125

Liquid Fe-59, I-125, I-131, Sb-124, Au-198, 

Ag-110m

Labeled Frac Sand Sc-46, Br-82, Ag-110m, Sb-124, Ir-192

Note: Some licensees who inject labeled frac sands into a well may use portable/fixed gauging 

devices containing radioactive sealed sources (e.g., flow density gauges) that are used to 

measure the amount of solution that is being pumped into a well. The possession and use of 

these gauging devices may be authorized either under the terms of a specific license or a 

general license.

• If the applicant is proposing to use specific licensed gauges then follow the licensing 

guidance described in NUREG‒1556, Volume 4, “Consolidated Guidance About 

Materials Licenses: Program-Specific Guidance About Fixed Gauge Licenses,” and 

include this information with the well logging license application.

• If the applicant is proposing to use general licensed devices, then refer to 10 CFR 31.5, 

“Certain detecting, measuring, gauging, or controlling devices and certain devices for 

producing light or an ionized atmosphere,” to identify the regulatory requirements that 

need to be met. One such requirement is the registration and payment of a fee for 

certain generally licensed devices.

Response from Applicant:

• For unsealed nonvolatile and volatile (e.g., iodine-125, iodine-131, hydrogen-3, 

bromine-82) tracer materials

— Provide element name with mass number, chemical and/or physical form, and 

maximum requested possession limit.

— Provide information for volatile materials, if known, on the anticipated rate of 

volatility or dispersion. This information may be obtained from the tracer material

vendor, supplier, or manufacturer.

— Identify each chemical and/or physical form (e.g., liquid, gas, or labeled frac 

sands) requested for each type of tracer study.

— Specify the maximum amount of each radionuclide tracer that will be used in 

each type of tracer study by its physical or chemical form. Identifying the forms 

as “any” is unacceptable.

— Specify the maximum amount of each radionuclide tracer material that will be 

possessed at any one time. Possession limits should also include any materials 

that may be stored as waste.
8-10

— Specify the purpose for which each radionuclide will be used.

• Provide an Emergency Plan (if required) 

— Emergency plans are not routinely required for tracer materials with half-lives of 

less than 120 days and for quantities authorized in well logging and tracer 

licenses. See Regulatory Guide 3.67 for additional guidance on developing 

emergency plans.

Applicants should refer to 10 CFR 30.32(i) and 30.72, Schedule C, “Quantities of 

radioactive materials requiring consideration of the need for an emergency plan for 

responding to a release,” to determine the quantities of radioactive material requiring an 

emergency plan for responding to a release of radioactive materials. In addition, 30.32(i) 

provides the information required to develop an Emergency Plan.

8.5.3 Financial Assurance and Record Keeping for Decommissioning

Regulations: 10 CFR 30.34(b), 10 CFR 30.35, 10 CFR 30.36, 10 CFR 30.51, 

10 CFR 70.22(a)(9), 10 CFR 70.25, 10 CFR 70.36, 10 CFR 70.38, 10 CFR 70.51 

Criteria: Well logging licensees authorized to possess sealed sources or unsealed byproduct 

material with a half-life greater than 120 days and in excess of the limits specified in 

10 CFR 30.35, “Financial assurance and recordkeeping for decommissioning,” must provide 

evidence of financial assurance for decommissioning. 

Well logging licensees authorized to possess sealed sources containing special nuclear material 

with a half-life greater than 120 days and in excess of the limits specified in 10 CFR 70.25, 

“Financial assurance and recordkeeping for decommissioning,” must provide evidence of 

financial assurance for decommissioning. 

In addition, each decommissioning funding plan must contain a cost estimate for 

decommissioning and a means for adjusting the decommissioning cost estimate periodically 

over the life of the facility. Cost estimates must be adjusted at intervals not to exceed 3 years,

in accordance with 10 CFR 30.35(e) and 10 CFR 70.25(e).

The regulations in 10 CFR 30.35(g) require each licensee to maintain, in an identified location, 

decommissioning records related to facilities where licensed material is used, stored, or 

dispatched, regardless of the material half-life, until the site or any area, is released for 

unrestricted use. Decommissioning records described above are not required at temporary 

jobsites. Under 10 CFR 30.51(f) and 10 CFR 70.51(a), before terminating the license, licensees 

must transfer records important to decommissioning required by 10 CFR 30.35(g) and 70.25(g), 

to the appropriate NRC regional office.

Additionally, under 10 CFR 30.35(g) and 10 CFR 70.51(b), before licensed activities are 

transferred or assigned in accordance with 10 CFR 30.34(b) and 70.36, licensees must transfer 

records important to decommissioning to the new proposed licensee.

Discussion: The NRC’s primary objective is to ensure that decommissioning will be carried out 

with minimum impact on the health and safety of the public, occupationally exposed individuals, 

and the environment. NRC regulations, when applicable, require the applicant to provide 

Certification of Financial Assurance (FA) or a Decommissioning Funding Plan (DFP). This is to 
8-11

provide reasonable assurance that, after the technical and environmental components of 

decommissioning are carried out, unrestricted use of the facilities is possible at the termination 

of licensed activities. These regulatory requirements specify that a licensee either set aside 

funds for decommissioning activities or provide a guarantee through a third party that funds will

be available. Methods of certification of financial assurance for decommissioning accepted 

under 10 CFR 30.35 and 10 CFR 70.25 may include the following:

• surety bond

• prepayment of trust fund

• statement of intent (in the case of Federal, State, or local government licensees

• letter of credit

• self or parent company guaranty

• an external sinking fund

Before a license is issued, applicants are required to submit the Certification of Financial 

Assurance or a DFP when requesting authorization to possess any sealed or unsealed 

radioactive material with a half-life greater than 120 days and exceeding the limits in 

10 CFR 30.35 or 10 CFR 70.25. Criteria for determining whether an applicant must submit a 

DFP or has an option of submitting either a DFP or FA are described in 10 CFR 30.35 and

10 CFR 70.25.

There are two parts to 10 CFR 30.35 and 10 CFR 70.25: financial assurance that applies 

to some licensees and record keeping that applies to all licensees.

Licensing guidance for demonstrating compliance with financial assurance, recordkeeping, and 

timeliness criteria is described in NUREG‒1757, Volume 3, “Consolidated Decommissioning

Guidance: Financial Assurance, Recordkeeping, and Timeliness.” The applicant or licensee 

should refer to this document and provide the requested information if financial assurance is 

required based on the proposed maximum possession limits that will be listed in the license.

Table 8-3 provides a partial list of sealed and unsealed radionuclides with half-lives greater than 

120 days and the corresponding limits in excess of which an FA or a DFP is required. However, 

it is the NRC’s experience that most well logging, tracer, and field flood study licensees use only 

a few of these radionuclides. The most frequently used radionuclides with a half-life greater 

than 120 days that require financial assurance in unsealed form are hydrogen-3, carbon-14, and 

silver-110 metastable, and for sealed sources, americium-241. Radionuclides with a half-life 

greater than 120 days are listed in Column 1. Column 2 lists the corresponding possession 

limits of radionuclides requiring FA. Column 3 lists the corresponding possession limits of 

unsealed radionuclides requiring the submittal of a DFP. These limits apply when only one of 

these radionuclides is possessed.

Applicants can use the data from Table 8-3 to determine if FA is required and the amount that is 

required when more than one of these radionuclides is requested.
8-12

Table 8-3. Commonly Used Licensed Materials Requiring Financial Assurance and 

Decommissioning Funding Plan

Column 1: Radionuclide

Column 2: Limit for FA

(millicuries*)

Column 3: Limit for DFP

(millicuries*)

Unsealed Materials

H-3 1,000 100,000

C-14 100 10,000

Ag-110m 1 100

Sealed Materials

Am-241 100,000 10,000,000

Pu-239 100,000 10,000,000

Cf-252 100,000 10,000,000

Ra-226 100,000 10,000,000

Cs-137 100,000,000 10,000,000,000

*1 millicurie = 37 MBq

The following unsealed radionuclides with a half-life less than or equal to 120 days used in well 

logging, tracer, and field flood studies, need not be considered for financial assurance purposes. 

Examples of these radionuclides include iodine-131, scandium-46, bromine-82, zirconium-95, 

antimony-124, iridium-192, and gold-198.

NUREG–1757, Volume 3, contains approved wording for each mechanism authorized by the 

regulation to guarantee or secure funds. The requirements for maintaining records important to 

decommissioning, including the type of information required, are stated in 10 CFR 30.35(g) and

10 CFR 70.25(g). All licensees are required to maintain these records in an identified location 

until the site is released for unrestricted use (see Figure 8-2). In the event that the licensed 

activities are transferred to another person or entity, these records will be transferred to the new 

licensee before transferring the licensed activities. The new licensee is responsible for 

maintaining these records until the license is terminated. Before the license is terminated, these 

records will be transferred to the NRC.

Licensees must maintain permanent records on locations where licensed materials are used or 

stored while the license is in force. These permanent records are important for making future 

determinations about the release of these locations for unrestricted use (e.g., before the license 

is terminated). Acceptable permanent records include but are not limited to: sketches, written 

descriptions of specific locations where radioactive material is used or stored, and records of 

any leaking sealed sources, tracer material spills, contaminated waste storage areas, burial 

sites, or other unusual occurrences involving the spread of contamination in or around the 

licensee’s facilities or field stations, and decommissioning cost estimates and funding method. 

See 10 CFR 30.35(g) and 10 CFR 70.25(g). Permanent decommissioning records described 

above are not required for temporary job site locations.
8-13

Figure 8-2. Types of Records That Must be Maintained for Decommissioning

The regulations in 10 CFR 30.35(g) and10 CFR 70.51(b)(3) require that records important to 

decommissioning are 

• transferred to the new proposed licensee before licensed activities are transferred or 

assigned, according to 10 CFR 30.34(b) and 10 CFR 70.36, respectively 

AND

The regulations in 10 CFR 30.35(g) and 10 CFR 70.25(g) require that records important to 

decommissioning are

• transferred to the appropriate NRC regional office before the license is terminated,

according to 10 CFR 30.51(f) and 10 CFR 70.51(a)(3), respectively

Response from Applicants:

• State the following: “Pursuant to 10 CFR 30.35(g) and 10 CFR 70.25(g) and 

10 CFR 70.51(b)(3), as appropriate, we will maintain records important to 

decommissioning and will transfer these records to an NRC or Agreement State licensee 

before licensed activities are transferred or assigned, in accordance with 

10 CFR 30.34(b) and 10 CFR 70.36, as appropriate. Furthermore, pursuant to 

10 CFR 30.51(f) and 10 CFR 70.51(a)(3), as appropriate, we will forward the records 

required by 10 CFR 30.35(g) and 10 CFR 70.25(g), as appropriate, to the appropriate 

NRC regional office before the license is terminated.
8-14

AND

• If financial assurance or a decommissioning funding plan is required, submit the required 

documents following the guidance described in NUREG–1757, Volume 3.

8.6 Item 6: Purpose(s) for Which Licensed Material Will Be Used

Regulations: 10 CFR 30.33(a)(1), 10 CFR 39.41, 10 CFR 39.45, 10 CFR 39.47, 

10 CFR 39.49, 10 CFR 39.51, 10 CFR 39.63, 10 CFR 51.21, 10 CFR 51.22, 10 CFR 40.25, 

10 CFR 70.22(a)(2)

Criteria: An application for a license will be approved if the proposed activity is authorized by 

the Atomic Energy Act of 1954, as amended. The applicant must specify the purpose for which 

each radionuclide or sealed source listed in Item 5 is to be used, as well as specifying the type 

of wells in which each type of material will be used (e.g., oil, gas, mineral, geophysical). In 

addition, the licensee should describe the type of mineral or geophysical logging to be 

conducted (e.g., coal, salt domes). Sealed sources used in well logging devices must be used 

only for the purposes for which they were designed, in accordance with the manufacturer’s and 

distributor’s written recommendations and instructions, as specified in an approved SSD 

registration certificate, unless otherwise authorized in the license. The licensee should specify 

the manufacturer and model number of each device.

Discussion: The applicant’s request to use sealed sources and radionuclides in well logging, 

tracer, and field flood studies should clearly specify the purpose for which each type of material 

will be used. Applicants should include a description that is sufficiently detailed to allow the 

NRC to determine the potential for exposure to occupationally exposed individuals or members 

of the public.

Note: Traditionally, only Federal or State authorities have been authorized to conduct logging in 

potable water wells in fresh water aquifers. Approval to conduct these operations requires that 

applicants justify the need and to provide assurance that sealed sources, in case of accidental 

loss in a potable water zone, could be recovered.

Applicants requesting authorization to perform any of the hazardous operations listed below 

should clearly indicate their intent and provide specific instructions for conducting such activities 

in their operating and emergency procedures:

• removing a sealed source from a source holder of a logging tool and maintenance on 

sealed sources or holders

• using destructive techniques to remove a stuck sealed source from a source holder

• opening, repairing, or modifying any sealed source

• knowingly injecting licensed radioactive tracer material into a fresh water aquifer

• using a sealed source in a well without a surface casing to protect fresh water aquifers

Applicants may use the format given in Table 8-4 or Appendix B of this NUREG to provide the 

requested information.
8-15

Table 8-4. Sample Format for Providing Information About Requested Radionuclides

Radionuclide

Chemical/Physical 

Form

Maximum Possession 

Limit Proposed Use

Americium-241 Sealed neutron source

(XYZ Inc., Model 10)

Provide the maximum 

activity per individual 

source and total 

possession limit for 

each source model.

Oil, gas, and 

mineral logging

Cesium-137 Sealed source

(Acme Inc., Model 36)

Provide the maximum 

activity per individual 

source and total 

possession limit for 

each source model

Oil, gas, and 

mineral logging

Hydrogen-3 Gas, titanium tritide 

neutron generator tube 

(ABC Inc., Model 3)

Provide the maximum 

activity per individual 

tube and total 

possession limit for 

each tube model.

Neutron activation 

logging in oil and 

gas wells in 

downhole 

accelerator

Iodine-131 Gas Include the maximum 

activity per injection 

and the total activity to 

be possessed.1

Subsurface tracer 

operations

Iodine-131 Liquid Include the maximum 

activity per injection 

and the total activity to 

be possessed.1

Subsurface tracer 

operations

Iridium-192 “Labeled” frac sand Include the maximum 

activity per injection 

and the total activity to 

be possessed.1

Subsurface tracer 

operations

 

1When providing the information above, the maximum amounts of radioactive material possessed as unsealed 

radioactive material should include the radioactive materials to be used for the licensed purpose as well as any 

material possessed as waste or for decay-in-storage.
8-16

Table 8-4. Sample Format for Providing Information About Requested Radionuclides

Radionuclide

Chemical/Physical 

Form

Maximum Possession 

Limit Proposed Use

Cobalt-60 Metal wire Include the maximum 

activity per individual 

unit and the total 

activity to be 

possessed.1

Pipe joint collar 

markers, 

subsidence 

markers, depth 

determination

Silver-110m Liquid Include the maximum 

activity per injection 

and the total activity to 

be possessed.1

Field flood tracer 

studies

Depleted Uranium (DU) Sinker Bars Include the total 

kilograms of DU to be 

possessed.

Sinker weights 

(concentrated 

mass)

Applicants should note that authorization granted by the NRC to use licensed material in tracer 

or field flood studies does not relieve them of their responsibilities to comply with any other 

applicable Federal, State, or local regulatory requirements.

Response from Applicant: For each sealed source and radionuclide requested in the 

application, state the purpose for the licensed material using the following list:

• Oil and gas well logging

• Mineral well logging

• Geophysical well logging

• Tracer studies in single wells

• Field flood or enhanced recovery studies in multiple wells

OR

Specify the purposes for which the sources and device(s) will be used other than those included 

in the manufacturer’s recommendations, and as specified on the SSD registration certificate.

AND

• If applicable, provide a statement that, “We plan to perform the following activities in 

fresh water aquifers:

— Tracer studies

— Well logging using sealed sources

— Well logging using neutron generator”
8-17

8.7 Item 7: Individual(s) Responsible for the Radiation Safety Program 

and Their Training and Experience

8.7.1 Radiation Safety Officer

Regulations: 10 CFR 20.1101, 10 CFR 30.33(a)(3), 10 CFR Part 37, 10 CFR 40.25,

10 CFR 70.22(a)(6), 10 CFR 70.23(a)(2)

Criteria: Though there are no specific training requirements, RSOs must have adequate 

training and experience to implement the radiation safety program. In the past, the NRC has 

found successful completion of one of the following to be evidence of adequate training 

and experience:

• well logging course for users and RSOs, with hands-on experience with equipment 

and sources

• equivalent course that meets the logging supervisor criteria specified in Appendix F of 

this NUREG

Discussion: The person responsible for the radiation protection program is the RSO. The

RSO is the key to overseeing and ensuring safe and secure operation of the licensee’s radiation 

safety program. The RSO should have independent authority to stop operations that he or she 

considers unsafe. He or she should have sufficient time, support, and commitment from

management to fulfill certain duties and responsibilities to ensure that radioactive materials are

used in a safe and secure manner. This management support includes resource allocation. For 

licensees possessing an aggregated Category 1 or Category 2 quantity of radioactive material, 

the RSO should participate in the development and implementation of a security program for 

radioactive material in accordance with 10 CFR Part 37. A “Category 1 quantity of radioactive 

material” and a “Category 2 quantity of radioactive material” are defined terms in 10 CFR 37.5, 

and the radionuclides referenced in these 10 CFR 37.5 definitions are listed in Appendix A to 

10 CFR Part 37. The RSO is typically listed as the point of contact for NRC and licensee 

communications in Item 4 of the NRC Form 313 (see Section 8.4 of this NUREG). Appendix P 

of this NUREG also provides a model Delegation of Authority, which should be used to further 

emphasize the agreement on duties and responsibilities of the RSO by management and the 

designated RSO. The RSO may delegate certain day-to-day tasks of the radiation protection 

program to other responsible individuals (potential designees). For example, a large well 

logging firm with multiple field stations or temporary job sites may appoint individuals designated 

as “site RSOs” who assist the RSO and are responsible for the day-to-day activities at the field 

stations or temporary job sites. Licensees may also appoint other individuals who may “step in” 

as an emergency contact when the RSO is unavailable. Designees should have the same 

management support and decision-making authority as the RSO necessary to manage daily 

program activities. Please note that only the primary RSO is named on an NRC license.

Note: Notify the NRC and obtain a license amendment before making changes in the 

designation of the RSO listed on the license. Applicants should review the regulations for 

specific program areas that have specific requirements regarding changes in the RSO.

Typical RSO duties are illustrated in Figure 8-3. The NRC requires the name of the RSO on the 

license to ensure that licensee management has always identified a responsible, qualified 

person and that the named individual knows of his or her designation as RSO. The NRC will 

request a copy of an organizational chart showing the RSO (and other designated responsible 
8-18

individuals) to demonstrate that he or she has sufficient independence and direct 

communication with responsible management officials.

To be considered eligible for the RSO position, the applicant must submit for NRC review the 

specific training and experience of the proposed RSO and detail his or her duties and 

responsibilities. The proposed RSO should have had a minimum of 1 year of experience in the 

conduct of a radiation safety program of comparable size and scope; or formal training in the 

establishment and maintenance of a radiation protection program. This should be a course 

specifically designed to provide training in managing and implementing a radiation safety 

program; a basic radiation safety course is not acceptable. Acceptable training programs would 

be a classroom course typical of those provided through universities or commercial training 

facilities. The RSO is expected to coordinate the safe use of licensed materials and to ensure 

compliance with the applicable requirements of the 10 CFR (e.g., Parts 19, 20, 21, 30, 39). 

The RSO should possess a thorough knowledge of management policies, company 

administrative and operating procedures, and safety procedures related to protection against 

radiation exposures.

Figure 8-3. RSO Responsibilities—Typical Duties and Responsibilities of the RSO

Receipt, transfer, disposal

Transportation

Audits

Personnel Monitoring

Stop unsafe licensed activities

Proper use and maintenance of

approved sources and devices

Personnel training

Monitor emergency events

Device security

Material disposal

Device security

Interaction with NRC, other authorities

Records maintenance

Six-month worker audits

Radiation survey meter calibration and

maintenance
8-19

Response from Applicant: Provide the following:

• Provide the name of the proposed RSO who will be responsible for ensuring that 

the licensee’s radiation safety program is implemented in accordance with 

approved procedures.

AND

• Demonstrate that the RSO has sufficient independence and direct communication with 

responsible management officials by providing a copy of an organization chart with 

positions demonstrating day-to-day oversight of the radiation safety activities.

AND 

• Provide documentation demonstrating that the proposed RSO is qualified by training and 

experience (e.g., certificate of completion of a well logging RSO or authorized user’s 

course or an equivalent course that meets the logging supervisor criteria specified in 

Appendix F of this NUREG).

OR

• Provide alternative information demonstrating that the proposed RSO is qualified by 

training and experience (e.g., Board Certification by the American Board of Health 

Physicists; completion of a bachelor’s or master’s degree in the sciences with at least 

1 year of experience in the conduct of a radiation safety program of comparable size 

and scope; or formal training in the establishment and maintenance of a radiation 

protection program).

OR

• Provide alternative information demonstrating that the proposed RSO is qualified by 

training and experience (e.g., listed by name as an authorized user or the RSO on an 

NRC or Agreement State license that requires a radiation safety program of comparable 

size and scope).

8.8 Item 8: Training for Logging Supervisors and Logging Assistants

Regulations: 10 CFR 19.12, 10 CFR 19.13, 10 CFR 30.33, 10 CFR 37.43, 10 CFR 39.2,

10 CFR 39.13, 10 CFR 39.61, 10 CFR 70.23(a)(2)

Criteria: Well logging supervisors and well logging assistants must have adequate training and 

experience as outlined in 10 CFR 19.12, “Instruction to workers,” 10 CFR 30.33(a)(3), and 

10 CFR 39.61, “Training.” Although persons engaged in field flood studies operations are not 

specifically addressed in 10 CFR Part 39, “Licenses and radiation safety requirements for well 

logging,” NRC staff has historically accepted classroom training for tracer studies to be an 

appropriate guide for individuals engaged in field flood studies.

Any licensee that possesses an aggregated Category 1 or Category 2 quantity of radioactive 

material (as defined in 10 CFR 37.5) must implement a training program for those individuals 

implementing the security program.
8-20

Discussion:

• Logging supervisor is an individual who uses licensed material or provides personal 

supervision in the use of licensed material at a temporary jobsite and who is responsible 

to the licensee for assuring compliance with the requirements of the Commission's 

regulations and the conditions of the license.

• Logging assistant is any individual who, under the personal supervision of a logging 

supervisor, handles sealed sources or tracers that are not in logging tools or shipping 

containers or who performs radiation surveys required by 10 CFR 39.67.

• Personal supervision means guidance and instruction by a logging supervisor, who is 

physically present at a temporary jobsite, who is in personal contact with logging 

assistants, and who can give immediate assistance. 

Formal training and testing requirements, performance requirements, annual refresher training, 

and annual audit requirements for logging supervisors and logging assistants are outlined in 

10 CFR 39.61.

Refer to Appendix F of this NUREG as an aid in determining the specific training requirements 

for logging supervisors, logging assistants, and individuals authorized to conduct field flood 

study/tracer applications. The applicant must submit a description of its training program for 

logging supervisors, logging assistants, and individuals authorized to conduct field flood 

study applications in accordance with 10 CFR 39.13.

Because 10 CFR Part 39 contains different requirements for logging supervisors and logging 

assistants, applicants must include training programs for each category. When describing the 

training programs for these positions, include the sequence of events from the time of hiring 

through the designation of individuals as logging supervisors or logging assistants. Experienced 

logging supervisors who have worked for another well logging, tracer, or field flood study 

licensee should receive formal instruction similar to that given to prospective logging assistants.

Instructors who provide classroom training to individuals in the principles of radiation and 

radiation safety should have knowledge and understanding of these principles beyond those 

obtainable in a course similar to the one given to prospective logging supervisors. Individuals 

who provide instruction in the hands-on use of well logging and handling equipment should be 

qualified logging supervisors with at least 1 year of experience in performing well logging 

operations or should possess a thorough understanding of the operation of well logging and 

handling equipment (e.g., a manufacturer’s service representative).

A safety review (audit) of the job performance of each logging supervisor and logging assistant 

ensures that the Commission’s regulations, license requirements, and the licensee’s operating 

and emergency procedures are followed. The audit must include observation of the 

performance of each logging supervisor annually [10 CFR 39.13(d)]. The audit may include 

observation of each logging assistant as part of the annual safety review (10 CFR 39.13, 

“Specific licenses for well logging”). Audits should be conducted during an actual well logging 

operation. If a logging supervisor or logging assistant has not participated in a well logging 

operation for more than 12 months since the last safety review, an audit should be conducted

the first time the individual engages in well logging operations.
8-21

In accordance with 10 CFR Part 37, any licensee that possesses an aggregated Category 1 or 

Category 2 quantity of radioactive material must implement a training program in accordance 

with 10 CFR 37.43, “General security program requirements,” and specifically, must comply 

with 10 CFR 37.43(c), “Training,” to ensure that those individuals who may have a 

responsibility to implement portions of the security program possess and maintain the 

knowledge, skills, and abilities to carry out their assigned duties and responsibilities effectively. 

Additionally, in accordance with 10 CFR 37.43(c)(3), refresher training must be provided at a 

frequency not to exceed 12 months and when significant changes have been made to the 

security program. For additional guidance on implementing 10 CFR Part 37 requirements, 

see NUREG–2155, “Implementation Guidance for 10 CFR Part 37, “Physical Protection of 

Category 1 and Category 2 Quantities of Radioactive Material.”” Additional information 

regarding best practices for protection of risk-significant radioactive material is available in 

NUREG–2166, “Physical Security Best Practices for the Protection of Risk-Significant 

Radioactive Material.” 

Please note, under 10 CFR Part 37, security plans are not to be submitted to the NRC, 

but may be subject to review and inspection.

Response from Applicant:

• Submit the training program to be given to new logging supervisors and 

logging assistants.

• Provide a copy of a typical examination and the correct answers to the examination 

questions. Indicate the passing grade.

• Specify the qualifications of the instructors for radiation safety principles and describe 

their experience with well logging activities. If training will be conducted by someone 

outside the applicant’s organization, identify the course by title, provide the name, 

address, and telephone number of the company providing the training, and provide a 

course outline (if available).

• Describe the field (practical) examination that will be given to prospective logging 

supervisors and logging assistants.

• Describe the annual refresher training program, including topics to be covered and how 

the training will be conducted.

• Submit a description of the program for annual safety reviews of the job performance of 

each well logging supervisor as described in 10 CFR 39.13(d).

Note: The NRC suggests using the checklist in Appendix G of this NUREG as a source of 

potential areas to review during the field (practical) examination.

8.9 Item 9: Facilities and Equipment

Regulations: 10 CFR 20.1101(b), 10 CFR 20.1301, 10 CFR 20.1406, 10 CFR 20.1703, 

10 CFR 20.1801, 10 CFR 20.1802, 10 CFR 30.33(a)(2), 10 CFR 30.35(g), 10 CFR Part 37,

10 CFR 37.5, 10 CFR 37.49, 10 CFR 37.53, 10 CFR 39.31(b)(1), 10 CFR 39.45(a), 

10 CFR 39.71, 10 CFR 40.32(c), 10 CFR 70.23(a)(3)
8-22

Criteria: Facilities and equipment must be adequate to protect health, minimize danger to life 

or property, minimize the possibility of contamination, and keep exposure to occupationally 

exposed workers and the public ALARA. Facilities and equipment must also provide enhanced 

physical protection of aggregated Category 1 and Category 2 quantities of radioactive material, 

as defined in 10 CFR 37.5.

Discussion: Applicants must demonstrate that proposed facilities and equipment provide 

adequate storage capabilities, ensure that appropriate shielding is available to protect the health 

and safety of the public and employees, keep exposures to radiation and radioactive materials 

ALARA, and minimize the possibility of contamination from the uses, types, and quantities of 

radioactive materials requested.

Applicants may delay completing facilities and acquiring equipment until after the application 

review is completed and the licensee is issued, in case changes are required as a result of the 

application review. In all cases, the applicant cannot possess or use licensed material until after 

the facilities are completed in accordance with the license, equipment is procured, and a 

prelicensing assessment has been performed by the NRC. 

A field station is a facility where licensed material may be stored or used and from which

equipment may be dispatched. 

A temporary jobsite is a location where well logging operations are conducted and where 

material may be stored, other than the locations of use authorized on the license. Well logging 

equipment cannot be dispatched from a temporary jobsite to perform work at a different 

temporary jobsite. If equipment is dispatched from a temporary jobsite, then the location must 

be authorized as a field station on the license.

Note: Diagrams, drawings, or sketches should provide exact locations of materials or depict 

specific locations of safety or security equipment. Dimensions or a scale should be included.

Each drawing or sketch should be marked as “Security-Related Information—Withhold under 

10 CFR 2.390.” See Chapter 6 “Identifying and Protecting Sensitive Information” of this 

NUREG for more information.
8-23

In accordance with 10 CFR Part 37, any licensee that possesses an aggregated Category 1 or 

Category 2 quantity of radioactive material must, among other things,

• implement the physical protection requirements in 10 CFR Part 37 for material in use and 

storage, at both permanent and temporary jobsites; and

• in accordance with 10 CFR 37.49, be able to monitor, detect without delay, assess, and 

respond to any unauthorized entries into security zones, including those surrounding 

mobile devices, and immediately detect any unauthorized removal of Category 1 quantities 

of radioactive material from the security zone. (Monitoring and detection systems may 

include, among other methods, monitored video surveillance systems and electronic 

devices for intrusion detection alarms.)

• for mobile devices containing Category 1 or Category 2 quantities of radioactive material, 

have two independent physical controls to secure the material from unauthorized removal 

when the device is not under direct control and constant surveillance in accordance with 

10 CFR 37.53. “Mobile device” is defined in 10 CFR 37.5.

For additional guidance on implementing 10 CFR Part 37 requirements, see NUREG–2155, 

“Implementation Guidance for 10 CFR Part 37, “Physical Protection of Category 1 and 

Category 2 Quantities of Radioactive Material.”” Additional information regarding best 

practices for protection of risk-significant radioactive material is available in NUREG–2166, 

“Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material.”

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.

Response from Applicant:

• Submit a diagram, drawing, or sketch of the proposed facility, identifying areas where 

radioactive materials, including radioactive wastes, will be used or stored.

— Drawings should show, where applicable, adjacent buildings, boundary lines, 

security fences, and lockable storage areas.

— Illustrate area(s) where explosive, flammable, or other hazardous materials may 

be stored.

— Drawings should also show the relationship and distance between restricted 

areas and adjacent unrestricted areas.

— Drawings should specify shielding materials (e.g., concrete, lead) and means for 

securing radioactive materials from unauthorized removal.

• Submit a drawing or sketch of the proposed tracer material storage facilities, including 

rooms, buildings, below ground bunker storage areas, or containers used for storage of 

both tracer and tracer waste materials, if appropriate. Specify the types and amount of 

shielding materials (e.g., concrete, lead) and means for securing tracer materials from 

unauthorized removal.
8-24

• Describe items such as protective clothing (e.g., rubber gloves, coveralls, respirators, 

and face shields), auxiliary shielding, absorbent materials, injection equipment, 

secondary containers for waste water storage for decontamination purposes, and plastic 

bags for storing contaminated items, which will be available at well sites when using 

tracer materials.

• Describe proposed laundry facilities, if applicable, used for contaminated protective 

clothing. Specify how the contaminated waste water from the laundry machines or sinks 

is disposed. Operating and emergency procedures should address decontamination of 

the laundry area and equipment.

• Describe proposed decontamination facilities for trucks, tracer injection tools, or other 

equipment contaminated by tracer materials, if applicable. Specify how the 

contaminated waste water for these decontamination facilities is disposed. Operating 

and emergency procedures should address decontamination of these types of 

equipment and facilities.

• Describe, if applicable, equipment for “repackaging” gaseous, volatile, or finely divided 

tracer material. Most tracer users do not repackage materials and acquire their 

injections in precalibrated amounts or “ready-to-use” forms. However, should an 

applicant request the ability to repackage tracer, volatile, or finely divided material, 

consider the following equipment when repackaging tracer materials: sinks, trays with 

absorbent material, glove boxes, fume hoods with charcoal filtration, filtered exhaust, 

special handling equipment including special tools, rubber gloves, etc. 

• State the physical location(s) where the NRC regulatory required records will be stored 

and available for review during NRC inspections.

Reference: For further information on facility design, see Chapter 4 of NCRP Report No. 127, 

“Operational Radiation Safety Program.”

8.10 Item 10: Radiation Safety Program

Regulations: 10 CFR 20.1101, 10 CFR 30.33, 10 CFR 39.13, 10 CFR 40.32, 10 CFR 70.31, 

10 CFR 70.32

Criteria: A radiation safety program must be established in accordance with 10 CFR 20.1101

and submitted to the NRC as part of the application. The program must be commensurate with 

the scope and extent of activities for the use of licensed materials in well logging, tracer, and 

field flood study operations.

Each applicant must develop, document, and implement a radiation protection program 

containing the following elements:

• steps to keep radiation exposures ALARA

• description of equipment and facilities adequate to protect personnel, the public, and 

the environment

• commitment that licensed activities will be conducted by individuals qualified by training 

and experience
8-25

• written operating and emergency procedures or an outline or summary of the procedures 

that includes the important radiation safety aspects of the procedures

• program for the annual inspection of the job performance of well logging personnel 

• description of organizational structure and individuals responsible for ensuring 

implementation of the radiation safety program

• records management

Discussion: The specific components of an applicant’s radiation safety program are detailed in 

the subsections found under this section. Some of these subsections will not require the 

applicant to submit information as part of an application but simply provide the applicant with 

guidance to comply with a specific NRC requirement.

For Field Flood Studies

Applicants who plan to conduct well logging operations using sealed sources, tracer materials, 

or tracer materials in field flood study operations are required to submit for NRC approval their 

Operating and Emergency procedures or, optionally, to provide either an outline or summary of 

each procedure that includes the important radiation safety aspects of each individual 

procedure. Radiation safety programs including tracer materials must assure that they address 

these additional concerns:

• methods or procedures for preventing the release of contaminated material, equipment,

or vehicles to unrestricted use from tracer or field flood study operations

• radiation safety procedures and the well logging supervisors’ responsibilities unique to 

tracer and field flood study operations

• tracer and field flood study equipment, techniques, and corresponding radiation safety 

procedures associated with use of tracer materials.

• information on the appropriate handling, control/security and disposal of any unused 

tracer materials.

• commitment that the licensee will implement a security, control, and accountability 

program for radioactive materials located at field stations and temporary job sites.

Note: Appendix D of this NUREG includes a description of procedures for using tracer 

materials in field flood study operations.

Response from Applicant: The applicant is required to establish and submit its radiation 

protection program. Each bulleted item listed above should be addressed, as applicable, to the 

licensed activities requested.

8.10.1 Well Owner or Operator Agreements

Regulations: 10 CFR 39.15(a), 10 CFR 39.15(d), 10 CFR 39.55(b), 10 CFR 39.69(c), 

10 CFR 39.77(c), 10 CFR 39.77(d)
8-26

Criteria: Well logging conducted with a sealed source or with unsealed material should only be 

performed if a written agreement with the employing well owner or operator is executed prior to 

the start of well logging operations. 

Discussion (sealed sources): Well logging operations conducted using sealed sources are

performed only after a written agreement is executed with the employing well owner or operator. 

A master service agreement may be established when a well owner or operator possesses 

multiple wells. Written agreements must identify a responsible party for ensuring that the 

following steps will be taken if a source becomes lodged in a hole:

• A reasonable effort will be made to recover the source, following current industry 

standards and safe practices.

• A person will not attempt to recover a lodged sealed source in a manner that, in the 

licensee’s opinion, could result in its rupture.

• During efforts to recover a sealed source, a licensee must continuously monitor the 

circulating fluids in the well bore, as required in 10 CFR 39.69(c).

• Contaminated equipment, personnel, or environment must be decontaminated prior 

to release, as required in 10 CFR 39.15(a)(4) and 10 CFR 39.69.

• If a sealed source is classified by the licensee as irretrievable after reasonable efforts at 

recovery have been expended, the following must be implemented within 30 days, as 

shown in Figure 8-3 and required under 10 CFR 39.15(a)(5):

— The source must be immobilized and sealed in place with a cement plug.

— The licensee must provide a means to prevent inadvertent intrusion on the 

source, unless the source is not accessible to any subsequent drilling operations.

— The licensee must install a permanent identification plaque at the surface of the 

well, unless mounting of a plaque is not practical. Figure 8-5 provides an 

example diagram of a permanent identification plaque. The information that 

should be included are the following: 

(1) the word “CAUTION”

(2) the radiation symbol

(3) the date the source was abandoned

(4) the name of the well owner or well operator, as appropriate 

(5) the well name and well identification number(s) or other designation

(6) the True Vertical Depth (TVD) and surface Global Positioning System 

coordinates, especially for horizontal drilling source abandonment

(7) the sealed source’s radionuclide and activity [in standard and 

International System of Units (SI) units]
8-27

(8) the depth the source was abandoned and depth to the top of the plug 

(9) an appropriate warning, such as “DO NOT RE-ENTER THIS WELL”

(10) a statement of the Federal or State authorities to contact if additional well 

entrance is required 

Figure 8-4. Features of a Typical Source Abandonment

Notify the appropriate NRC regional office by telephone when it is apparent that a well logging 

source has become stuck and is declared irretrievable, and obtain NRC approval to implement 

abandonment procedures. However, the NRC is aware that in some circumstances, such as 

high well pressures that could lead to fires or explosions, the delay required to obtain NRC 

approval to abandon the well may introduce an immediate threat. Under such 

circumstances, immediate abandonment may proceed without prior NRC approval, if a 

delay could cause an immediate threat to public health and safety. The NRC would then 

be notified as soon as possible after the abandonment. See 10 CFR 39.77(c)(1) and (d).

1556-007.ppt

041300

Top of Tool and Bottom of 

Cement Plug 15214’ MD

Tool

1.5 CiCs-137 Source 

15219’ MD

Top of Cement 

15000’ MD

Kickoff Device Consisting of Heavy 

Weight Drill Pipe Over Well Depth 

From 15000’ to 14256’ MD

Bottom of 2nd Cement Plug 12996’ MD

Base of 9 5/8” Liner 133316’ MD Bottom of 7” Liner 

14185’ MD

Top of 7” Liner 

12746’ MD

Bridge Plug 12696’ MD Also 

Top of 2nd Cement Plug

SIDETRACKED HOLE

ORIGINAL HOLE 

ABANDONED

Plugback and Kickoff 

14925’ MD

Cement

Sidetrack

Top of Fish and 

Bottom of Cement 

15125’ MD

Cesium -137 Source 

15121’ MD

Tool

Casing

1556-007.ppt

041300

Top of Tool and Bottom of 

Cement Plug 15214’ MD

Tool

1.5 CiCs-137 Source 

15219’ MD

Top of Cement 

15000’ MD

Kickoff Device Consisting of Heavy 

Weight Drill Pipe Over Well Depth 

From 15000’ to 14256’ MD

Bottom of 2nd Cement Plug 12996’ MD

Base of 9 5/8” Liner 133316’ MD Bottom of 7” Liner 

14185’ MD

Top of 7” Liner 

12746’ MD

Bridge Plug 12696’ MD Also 

Top of 2nd Cement Plug

SIDETRACKED HOLE

ORIGINAL HOLE 

ABANDONED

Plugback and Kickoff 

14925’ MD

Cement

Sidetrack

Top of Fish and 

Bottom of Cement 

15125’ MD

Cesium -137 Source 

15121’ MD

Tool

Casing

Top of Tool and Bottom of 

Cement Plug 15214’ MD

Tool

1.5 CiCs-137 Source 

15219’ MD

Top of Cement 

15000’ MD

Kickoff Device Consisting of Heavy 

Weight Drill Pipe Over Well Depth 

From 15000’ to 14256’ MD

Bottom of 2nd Cement Plug 12996’ MD

Base of 9 5/8” Liner 133316’ MD Bottom of 7” Liner 

14185’ MD

Top of 7” Liner 

12746’ MD

Bridge Plug 12696’ MD Also 

Top of 2nd Cement Plug

Top of Tool and Bottom of 

Cement Plug 15214’ MD

Tool

1.5 CiCs-137 Source 

15219’ MD

Top of Cement 

15000’ MD

Kickoff Device Consisting of Heavy 

Weight Drill Pipe Over Well Depth 

From 15000’ to 14256’ MD

Bottom of 2nd Cement Plug 12996’ MD

Base of 9 5/8” Liner 133316’ MD Bottom of 7” Liner 

14185’ MD

Top of 7” Liner 

12746’ MD

Bridge Plug 12696’ MD Also 

Top of 2nd Cement Plug

SIDETRACKED HOLE

ORIGINAL HOLE 

ABANDONED

Plugback and Kickoff 

14925’ MD

Cement

Sidetrack

Top of Fish and 

Bottom of Cement 

15125’ MD

Cesium -137 Source 

15121’ MD

Tool

Casing

SIDETRACKED HOLE

ORIGINAL HOLE 

ABANDONED

Plugback and Kickoff 

14925’ MD

Cement

Sidetrack

Top of Fish and 

Bottom of Cement 

15125’ MD

Cesium -137 Source 

15121’ MD

Tool

Casing
8-28

Figure 8-5. Permanent Identification Plaque

Note: A written agreement is not required if the licensee and well owner or operator are part of 

the same corporate structure or otherwise similarly affiliated. However, all other requirements 

described in 10 CFR 39.15(a)(1) through (a)(5) must still be met. See 10 CFR 39.15(d).

• If the requirement for a written agreement does not apply to the applicant or licensee, 

then applicant should include a statement in the application that the applicant or licensee

will only log holes where the well owner or operator is part of the corporate structure or 

otherwise similarly affiliated, and the applicant or licensee should describe the 

corporate affiliation.

Response from Applicant: Provide the following:

A statement that: “We will obtain a written agreement that meets the requirements specified in 

10 CFR 39.15 prior to well logging: (i) with a sealed source; (ii) with a neutron generator 

exceeding 30 Ci; or (iii) with a neutron generator in a well without a surface casing, and will 

provide an example of an agreement to the NRC.”

CAUTION

ONE 20 CURIE AM -241/BE RADIOACTIVE SOURCE

ABANDONED 10 APRIL 96 AT 4901 FT

PLUGBACK DEPTH 3870 FT

DO NOT RE-ENTER THIS WELL BEFORE CONTACTING

MICHIGAN DEPARTMENT OF ENVIRONMENTAL QUALITY

& U.S. NUCLEAR REGULATORY COMMISSION

HILDEN OIL COMPANY

BROOKLYN, MICHIGAN

DANN NO. 1-1A

API NO. 21-075-50569

JACKSON COUNTY, MICHIGAN

SECT 1 TWP 4S RGE 3W

COMPANY:

WELL:

LOCATION:

1556-008.ppt

041300

CAUTION

ONE 20 CURIE AM -241/BE RADIOACTIVE SOURCE

ABANDONED 10 APRIL 96 AT 4901 FT

PLUGBACK DEPTH 3870 FT

DO NOT RE-ENTER THIS WELL BEFORE CONTACTING

MICHIGAN DEPARTMENT OF ENVIRONMENTAL QUALITY

& U.S. NUCLEAR REGULATORY COMMISSION

CAUTION

ONE 20 CURIE AM -241/BE RADIOACTIVE SOURCE

ABANDONED 10 APRIL 96 AT 4901 FT

PLUGBACK DEPTH 3870 FT

DO NOT RE-ENTER THIS WELL BEFORE CONTACTING

MICHIGAN DEPARTMENT OF ENVIRONMENTAL QUALITY

& U.S. NUCLEAR REGULATORY COMMISSION

HILDEN OIL COMPANY

BROOKLYN, MICHIGAN

DANN NO. 1-1A

API NO. 21-075-50569

JACKSON COUNTY, MICHIGAN

SECT 1 TWP 4S RGE 3W

COMPANY:

WELL:

LOCATION:

HILDEN OIL COMPANY

BROOKLYN, MICHIGAN

DANN NO. 1-1A

API NO. 21-075-50569

JACKSON COUNTY, MICHIGAN

SECT 1 TWP 4S RGE 3W

COMPANY:

WELL:

LOCATION:

1556-008.ppt

041300
8-29

Discussion (unsealed material): Well logging operations conducted using unsealed material

should be performed only after a written agreement is executed with the employing well owner 

or operator. A master service agreement may be established when a well owner or operator 

possesses multiple wells. Written agreements should identify a responsible party for ensuring 

that the following steps will be taken when there is a sandout or well return:

• Implement operating, emergency, and disposal procedures for dealing with sandouts 

and well returns.

• The radiation monitoring required in 10 CFR 39.69(a) will be performed; and

• If the environment, any equipment, or personnel are contaminated with licensed 

material, they should be decontaminated before release from the site or release for 

unrestricted use.

• If there are well returns after a tracer study has been performed, immediate notification 

by the well owner or operator to the licensee.

Response from Applicant: Provide the following:

A statement that: “We will provide written instructions to the customer when conducting well 

logging using unsealed material that describes those subjects listed in the “Discussion” 

(unsealed material) portion of Section 8.10.1, “Well Owner or Operator Agreements” in 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance about Materials Licenses: 

Program-Specific Guidance About Well Logging, Tracer, and Field Flood Licenses.””

8.10.2 Audit and Review Program

Regulations: 10 CFR 20.1101, 10 CFR 20.2102, 10 CFR 37.33, 10 CFR 37.55

Criteria: Licensees must review the content and implementation of their radiation protection

and access authorization programs annually to ensure the following:

• compliance with NRC and U.S. Department of Transportation (DOT) regulations 

(as applicable) and the terms and conditions of the license

• occupational doses and doses to members of the public are ALARA 

(10 CFR 20.1101, “Radiation protection programs”)

• records of audits and other reviews of program content and implementation are 

maintained for 3 years after the record is made

Licensees that are subject to the requirements in 10 CFR Part 37 must annually review their 

access authorization program and security program.

Discussion:

Appendix E of this NUREG contains a suggested annual audit program that is specific to well 

logging and tracer operations and is acceptable to the NRC. Because all areas indicated in 

Appendix E may not be applicable to every licensee and all items may not need to be 

addressed during each audit, licensees may wish to develop a program-specific audit checklist.
8-30

Currently, the NRC’s emphasis on inspections is to perform actual observations of work in 

progress. As a part of their audit programs, applicants and licensees should consider including 

the use of performance based audits, which can include unannounced observations of well 

logging in the field.

The NRC encourages licensee management to conduct performance-based reviews by 

observing work in progress, interviewing staff, and spot-checking required records. As a part 

of the audit program, applicants and licensees should consider performing unannounced audits 

of well logging and tracer operations to observe whether radiation safety procedures are 

being followed.

It is essential that once problems are identified, comprehensive corrective actions are taken in a 

timely manner. Information Notice (IN) 96-28, “Suggested Guidance Relating to Development 

and Implementation of Corrective Action,” dated May 1, 1996, provides guidance on this 

subject. Licensees are encouraged to contact the NRC for guidance if there is any uncertainty 

about a reporting requirement. The NRC routinely reviews licensee’s records to verify whether

appropriate corrective actions were implemented in a timely manner to prevent recurrence. It is 

in the best interest of the licensee to identify potential violations of regulatory requirements and 

take necessary steps to correct them. The NRC can opt to exercise discretion and may elect 

not to cite the licensee for these violations if prompt and effective corrective actions are 

implemented. The NRC’s Enforcement Policy may be found online at 

https://www.nrc.gov/about-nrc/regulatory/enforcement/enforce-pol.html. The Enforcement 

Manual may be found online at https://www.nrc.gov/aboutnrc/regulatory/enforcement/guidance.html. For examples of the NRC’s use of discretion in 

issuing a notice of violation, refer to the most recent version of NRC’s enforcement documents 

at https://www.nrc.gov/reading-rm/doc-collections/enforcement/.

With regard to audit records, 10 CFR 20.2102 requires, in part, that licensees maintain records 

of “audits and other reviews of program content and implementation” for 3 years after the record 

is made. The NRC has found audit records that contain the following information to be 

acceptable: date of audit, name of person(s) who conducted audit, persons contacted by the 

auditor(s), areas audited, audit findings, corrective actions, and follow-up.
8-31

In accordance with 10 CFR Part 37, any licensee that possesses an aggregated Category 1 or 

Category 2 quantity of radioactive material must, among other things,

• in accordance with 10 CFR 37.33, review its access authorization programs at least 

annually to confirm compliance with the requirements of Subpart B of 10 CFR Part 37 

and ensure that comprehensive actions are taken to correct any noncompliance that 

is identified; and

• in accordance with 10 CFR 37.55, review its security program at least annually to 

confirm compliance with the requirements of Subpart C of 10 CFR Part 37 and ensure 

that comprehensive actions are taken to correct any noncompliance that is identified.

For additional guidance on implementing 10 CFR Part 37 requirements, see NUREG–2155, 

“Implementation Guidance for 10 CFR Part 37, “Physical Protection of Category 1 and 

Category 2 Quantities of Radioactive Material.”” Additional information regarding best 

practices for protection of risk-significant radioactive material is available in NUREG–2166, 

“Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material.”

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.

Response from Applicant: No response required. The licensee’s program for auditing its 

radiation safety and security programs may be reviewed during inspections.

References: The current version of the NRC’s Enforcement Policy is included on the NRC’s 

Web site at https://www.nrc.gov/about-nrc/regulatory/enforcement.html. IN 96-28, dated 

May 1, 1996, can be found on the NRC’s Generic Communications Web page under Information 

Notices at https://www.nrc.gov/reading-rm/doc-collections/gen-comm/.

8.10.3 Radiation Monitoring Instruments

Regulations: 10 CFR 20.1501, 10 CFR 20.2103(a), 10 CFR 30.33(a)(2), 10 CFR 39.33,

10 CFR 40.32(c), 10 CFR 70.23(a) 

Criteria: Licensees must possess radiation monitoring instruments that are necessary to 

protect health and minimize danger to life or property. Instruments used for quantitative 

radiation measurements must be calibrated for the radiation that is measured at least every 

6 months. For the purposes of this document, radiation survey instruments are defined as any 

device used to measure the radiological conditions at a licensed facility, field station, or 

temporary job site.

Discussion: For well logging and tracer operations, radiation survey instruments must be 

capable of measuring beta and gamma radiation at intensities ranging from 1 microSievert (μSv) 

[0.1 millirem (mrem)] per hour (/h) through at least 500 μSv [50 mrem]/h. Licensees shall also 

have available calibrated and operable radiation detection instruments sensitive enough to 

detect the low radiation and contamination levels that could be encountered if a sealed source 

ruptured. Licensees must possess operable and calibrated radiation detection/measurement 

instruments to perform the following, as necessary:
8-32

• package radiation surveys

• vehicle radiation surveys

• tracer material radiation contamination surveys of equipment, vehicles, personnel,

and sites

• prescreening of sealed source leak tests

• unrestricted area dose rate measurements

Figure 8-6. Types of Radiation Surveys

There are many different types of radiation surveys performed by well logging, 

tracer, and field flood studies licensees.

The choice of instrument should be appropriate for the type of radiation to be measured and for 

the type of measurement to be taken (e.g., count rate, dose rate). Applications should include 

descriptions of the instrumentation available for use and instrumentation that applicants intend 

to purchase prior to starting licensed activities. The description should include type of 

instrument and probe and the instrument’s intended purpose.

NRC regulations require that survey instruments used for quantitative measurements be 

calibrated periodically. Calibrations requiring the use of radioactive sources should be 

performed by an instrument manufacturer or persons, specifically authorized by the NRC or an 

Agreement State unless the applicant specifically requests this authorization. Applicants 

seeking authorization to perform radiation survey instrument calibrations will need to submit 

procedures for review. Appendix H of this NUREG provides information about instrument 

specifications and model calibration procedures. Regardless of whether an applicant is 

authorized to calibrate radiation survey meters or contracts an authorized firm to perform 

calibrations, the licensee must retain records of the calibration of instruments and equipment 

used for quantitative radiation measurements for 3 years after the record is made, in 

accordance with 10 CFR 20.2103(a).

Response from Applicant: Provide one of the following:

• A description of the instrumentation (as described in the “Discussion” portion of this 

section) that will be used to perform required radiation surveys and a statement that: 
8-33

“We will use instruments that meet the radiation monitoring instrument specifications 

published in Appendix H of NUREG–1556, Volume 14, Revision 1, “Program-Specific 

Guidance About Well Logging, Tracer, and Field Flood Study Licenses.” We reserve the 

right to upgrade our radiation survey instruments as necessary.”

OR

• A description of the instrumentation (as described in the “Discussion” portion of this 

section) that will be used to perform required radiation surveys and a statement that: 

“We will use instruments that meet the radiation monitoring instrument specifications 

published in Appendix H of NUREG–1556, Volume 14, Revision 1, “Program-Specific 

Guidance About Well Logging, Tracer, and Field Flood Study Licenses.” Additionally, 

we will implement the model radiation survey meter calibration program published in 

Appendix H of NUREG–1556, Volume 14, Revision 1. We reserve the right to upgrade 

our radiation survey instruments as necessary.”

OR

• A description of alternative equipment and procedures for ensuring that appropriate 

radiation monitoring equipment will be used during licensed activities and that proper 

calibration and calibration frequency of radiation survey equipment will be performed. 

Further, the statement, “We reserve the right to upgrade our radiation survey 

instruments as necessary,” should be added to the response.

Note: Alternative responses will be reviewed using the guidance in this section.

8.10.4 Material Receipt and Accountability

Regulations: 10 CFR 20.1801, 10 CFR 20.1802, 10 CFR 20.1906, 10 CFR 20.2207, 

10 CFR 30.34(e), 10 CFR 30.35(g), 10 CFR 30.41, 10 CFR 30.51, 10 CFR 37.49, 

10 CFR 37.71, 10 CFR 37.75, 10 CFR 37.77, 10 CFR 39.37, 10 CFR 40.36(f), 

10 CFR 70.25(g), 10 CFR 70.42

Criteria: Licensees with licensed material must do the following:

• Retain records of receipt of licensed material as long as the material is possessed, and 

for 3 years following transfer or disposal of the material.

• Retain records of each transfer of licensed material for 3 years after each transfer.

• Retain records of each disposal of licensed material until the NRC terminates the license 

that authorizes disposal of the material.

• Update transactions in the National Source Tracking System (NSTS), including 

performing annual inventory reconciliation, if applicable.

• Conduct physical inventories of licensed materials at intervals not to exceed 6 months 

(or some other interval justified by the applicant and approved by the NRC) to account 

for all sealed sources, tracer materials, and depleted uranium in accordance with 

applicable license condition(s).
8-34

• Retain inventory records for 3 years from the date of the inventory.

• Before transferring aggregated Category 1 or Category 2 quantities of radioactive 

material listed in Appendix A to 10 CFR Part 37, use NRC’s license verification system 

to verify that the recipient licensee is authorized to possess the radioactive material.

• Preplan, coordinate, and provide advance notification of shipment of Category 1 

quantities of radioactive material and coordinate shipment of Category 2 quantities of 

radioactive material listed in Appendix A to 10 CFR Part 37.

Discussion: As illustrated in Figure 8-7, licensed materials must be tracked from the time of 

receipt to disposal in order to ensure accountability at all times; to identify when licensed 

material may be lost, stolen, or misplaced; and to ensure that possession limits listed on the 

license are not exceeded. Physical inventories, which must be conducted semiannually in 

accordance with 10 CFR 39.37, should account for all licensed material (i.e., location where the 

material is stored, physical verification of the presence of the material, and accountability of the 

material by the use of material receipt and transfer records). For aggregated Category 1 and 

Category 2 quantities of radioactive material, licensees must, according to 10 CFR 37.49(a)(1), 

continuously monitor and detect, without delay, all unauthorized entries into security zones. 

Additionally, for Category 1 quantities of radioactive material, 10 CFR 37.49(a)(3)(i) requires 

immediate detection of any attempted unauthorized removal of the radioactive material from the 

security zone. For Category 2 quantities of radioactive material, 10 CFR 37.49(a)(3)(ii) requires 

weekly verification through physical checks, tamper indicating devices, use, or other means to 

ensure that the radioactive material is present.

Licensees are required under 10 CFR 20.1801 and 10 CFR 20.1802 to secure radioactive 

materials from unauthorized removal or access while in storage in controlled or unrestricted 

areas and to control and maintain constant surveillance over licensed material that is in a 

controlled or unrestricted area and is not in storage. Applicants should establish policies and 

procedures for ensuring accountability of licensed materials at all times. 

Receipt, inventory, transfer, and disposal records must be maintained for the times specified in 

Table 8-5. Typically, these records contain the following types of information:

• radionuclide and activity (in units of becquerels or curies) of byproduct material in each 

sealed source and tracer material on hand (including waste), and depleted uranium in 

sinker bars

• manufacturer’s or distributor’s name, model number, and serial number of each sealed 

source containing byproduct material

• manufacturer’s or distributor’s name, model number, and serial number of each device 

containing depleted uranium or byproduct material

• location (e.g., permanent facility, field station, temporary jobsite) of each sealed source 

and device, tracer material, and depleted uranium in sinker bars

• date of the inventory, and name with signature of individual performing inventory

• for materials transferred or disposed, the date of the transfer or disposal, the name and 

license number of the recipient, and a description of the affected radioactive material 
8-35

(e.g., radionuclide, activity, manufacturer’s or distributor’s name and model number, 

serial number)

Note: Physical inventory records may be combined with leak test records.

Table 8-5. Record Maintenance

Type of Record How Long Record Must Be Maintained

Receipt For as long as the material is possessed and for 3 years 

following the transfer or disposal of the material

Inventory For 3 years from the date of the inventory

Transfer For 3 years after each transfer unless a specific 

requirement dictates otherwise

Disposal Until the NRC terminates the license

Important to Decommissioning* Until the site is released for unrestricted use

*See Section 8.5.3, “Financial Assurance and Recordkeeping for Decommissioning,” for more details.

Note: Licensees who receive, transfer, and dispose of nationally tracked sources (i.e., sealed 

sources containing a quantity equal or greater than Category 1 or Category 2 levels of any 

radioactive material listed in Appendix E to 10 CFR Part 20, “Standards for protection against 

radiation”) must complete and submit to the NSTS a National Source Tracking Transaction 

Report by the close of the next business day after the transaction has occurred in accordance 

with 10 CFR 20.2207(f). In addition, licensees must reconcile the inventory of nationally tracked 

sources possessed by the licensee against that licensee’s data in NSTS. This reconciliation 

must be conducted during the month of January in each year. Licensees must submit to the 

NSTS confirmation that the data in NSTS is correct by January 31 of each year. Additional 

information regarding the NSTS may be found on the NRC public Web site at 

https://www.nrc.gov/security/byproduct/ismp/nsts.html.

Category 1 and Category 2 sources listed in Appendix E to 10 CFR Part 20 (i.e., nationally 

tracked sources) must be tracked in the NSTS in accordance with 10 CFR 20.2207. The 

regulations in 10 CFR 20.2207 require that each licensee that manufactures, transfers, 

receives, disassembles, or disposes of a nationally tracked source shall complete and submit a 

National Source Tracking Transaction Report (NSTTR) to the NRC. The NSTTRs are 

maintained in the NSTS, a secure computer system that tracks Category 1 and Category 2 

nationally tracked sources from the time they are manufactured or imported through the time of 

their disposal or export, or until the source activity decays to below Category 2.
8-36

There are additional security requirements for shipment and transfer of a Category 1 and 

Category 2 quantity of radioactive material listed in Appendix A to 10 CFR Part 37. Prior to 

transferring Category 1 or Category 2 quantities of radioactive material, licensees must use 

NRC’s license verification system (or contact the licensing authority) to verify that the recipient 

licensee is authorized to possess the radioactive material. Licensees that ship Category 1 or 

Category 2 quantities of radioactive material must preplan and coordinate such shipments in 

accordance with 10 CFR 37.75. Shipments of Category 1 quantities are also subject to the 

10 CFR 37.77 advance notification requirements. For additional guidance on implementing 

10 CFR Part 37 requirements, see NUREG–2155, “Implementation Guidance for 

10 CFR Part 37, “Physical Protection of Category 1 and Category 2 Quantities of Radioactive 

Material.”” Additional information regarding best practices for protection of risk-significant 

radioactive material is available in NUREG–2166, “Physical Security Best Practices for the 

Protection of Risk-Significant Radioactive Material.”

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.

Figure 8-7. Material Receipt and Accountability 

Licensees must retain records of receipt, transfer, and disposal in accordance 

with the retention period described in 10 CFR 30.51, “Records.” Licensees must 

conduct semi-annual physical inventories and must retain inventory records for 

3 years from the date of the inventory in accordance with 10 CFR 39.37, 

“Physical inventory.”

Response from Applicant: Provide the following: 

• A statement that: “Physical inventories will be conducted and documented at intervals 

not to exceed 6 months, to account for all licensed material (sealed sources, tracer 

materials, and unused or waste materials) and depleted uranium received and 

possessed under the license.”

AND

• A statement that: “We will develop, implement, and maintain procedures for ensuring 

accountability of licensed materials at all times.”
8-37

AND

• If applicable, provide a statement that: “We will comply with the National Source 

Tracking System (NSTS) reporting requirement as described in 10 CFR 20.2207.”

8.10.5 Occupational Dose

Regulations: 10 CFR 19.13, 10 CFR 20.1201, 10 CFR 20.1202, 10 CFR 20.1203, 

10 CFR 20.1204, 10 CFR 20.1207, 10 CFR 20.1208, 10 CFR 20.1501, 10 CFR 20.1502, 

10 CFR 20.2104, 10 CFR 20.2106, 10 CFR Part 20 Appendix B, 10 CFR 39.65

Criteria: According to 10 CFR 39.65, “Personnel monitoring,” logging supervisors and logging 

assistants must wear personnel dosimeters [processed and evaluated by an accredited National 

Voluntary Laboratory Accreditation Program (NVLAP) processor] during the handling or use of 

licensed radioactive material. This requirement applies to personnel using dosimeters for whole 

body measurements. Appendix I of this NUREG provides guidance for determining if individuals 

other than the RSO, logging supervisors, or logging assistants require dosimetry.

• Bioassay services required in a license must be provided to individuals using tracer 

materials in subsurface studies if required by the license.

TOTAL EFFECTIVE DOSE EQUIVALENT (TEDE) = THE EFFECTIVE DOSE

EQUIVALENT (FOR EXTERNAL EXPOSURES) + THE COMMITTED EFFECTIVE DOSE

EQUIVALENT (FOR INTERNAL EXPOSURES)

Figure 8-8. Annual Dose Limits for Adult Radiation Workers

Discussion: The annual dose limits for adult radiation workers are shown in Figure 8-8. Note 

that in accordance with 10 CFR 20.1207, the annual occupational dose limits for minors are 

10 percent of the annual dose limits specified for adult workers. Also, 10 CFR 20.1208 requires 

the licensee to ensure that the dose equivalent to the embryo/fetus during the entire 

pregnancy, due to the occupational exposure of a declared pregnant woman, does not exceed 

0.5 rem [5 mSv].

Dose Limits for 

Adult Radiation Worker 

(10 CFR 20.1201)
8-38

The use of individual monitoring devices for external dose is required, pursuant to 

10 CFR 20.1502(a), for:

• adults who are likely to receive an annual dose from sources external to the body in 

excess of any of the following (each evaluated separately):

— 5 mSv [0.5 rem] deep-dose equivalent

— 15 mSv [1.5 rems] eye dose equivalent

— 50 mSv [5 rems] shallow-dose equivalent to the skin

— 50 mSv [5 rems] shallow-dose equivalent to any extremity

• minors who are likely to receive an annual dose from sources external to the body in 

excess of any of the following (each evaluated separately):

— 1.0 mSv [0.1 rem] deep-dose equivalent

— 1.5 mSv [0.15 rem] eye dose equivalent

— 5 mSv [0.5 rem] shallow-dose equivalent to the skin

— 5 mSv [0.5 rem] shallow-dose equivalent to any extremity

• declared pregnant women who are likely to receive a dose from radiation sources 

external to the body during the entire pregnancy in excess of 1.0 mSv [0.1 rem]

deep-dose equivalent

• individuals entering a high or very high radiation area

If an adult radiation worker is likely to receive in a year a dose greater than 10 percent of any 

applicable limit, monitoring for occupational exposure is required. Monitoring is required for 

minors and declared pregnant women as shown in the criteria section. The licensee should 

perform an evaluation of the dose the individual is likely to receive prior to allowing the individual 

to receive the dose. This evaluation need not be made for every individual; evaluations can be 

made for employees with similar job functions or work areas.

Licensees should also perform prospective evaluations of the doses that may be received by 

occupationally exposed minors and declared pregnant women. As with individual adult workers, 

licensees must supply and require the use of individual monitoring devices to monitor external

exposures and monitor the occupational intake of radioactive material when the results of 

prospective dose evaluations exceed the doses specified in 10 CFR 20.1502.

If this prospective evaluation shows that an adult individual’s dose is not likely to exceed 

10 percent of any applicable limit, there are no recordkeeping or reporting requirements in 

regard to the individual’s exposure. For individuals who have received doses at other facilities 

in the current year, the previous dose need not be considered in this prospective evaluation. 

Only dose that could be received at the facility performing the evaluation need be considered 

when determining the need for monitoring, and associate recordkeeping and reporting. If it was 

determined that monitoring was not required and a subsequent evaluation shows that the 

10 percent threshold has or will be exceeded, the dose received when monitoring was not 

provided should be estimated, recorded, and reported. These estimates can be based on any 

combination of work location radiation monitoring or survey results, monitoring results of 

individuals in similar work situations, or other estimates to produce a “best estimate” of the 

actual dose received.
8-39

Licensees should use NRC Form 4, “Cumulative Occupational Dose History,” and NRC Form 5, 

“Occupational Dose Record for a Monitoring Period,” to record individual dose. If monitoring is 

not required to demonstrate compliance with all limits but is required relative to one or more 

specific limits, the licensee should enter “N/A” for “not applicable” in the blocks on NRC Form 4, 

“Cumulative Occupational Dose History,” and NRC Form 5, “Occupational Dose Record for a 

Monitoring Period,” to indicate the areas for which monitoring was not required (e.g., extremity 

or skin doses). Where monitoring was provided but not measurable, the licensee should enter 

“ND” for “not detectable.” 

If the prospective evaluation shows that the individual adult is likely to exceed 10 percent of an 

applicable limit, then monitoring is required —regardless of the actual dose received. If air 

sampling or bioassay is required, discussion of air sampling or bioassay should provide enough 

detail so that the NRC staff is assured that appropriate steps will be taken to manage and 

monitor such exposure. Licensees must provide individual radiation exposure data to each 

worker as required by 10 CFR 19.13.

Individuals who perform nonroutine operations, such as installation, initial radiation survey, 

repair, maintenance of components, and disposal of sealed sources are more likely than 

workers who only engage in routine activities to exceed the limits in 10 CFR 20.1502(a). 

Applicants must provide dosimetry (whole body and perhaps extremity monitors) to individuals 

who perform nonroutine operations or must perform a prospective evaluation demonstrating that 

unmonitored individuals who perform nonroutine operations are not likely to receive radiation 

doses in excess of the limits in 10 CFR 20.1502(a).

The licensee may not permit any individual to act as a logging supervisor or logging assistant 

unless, at all times during the handling of licensed radioactive material, each individual wears on 

the trunk of the body a personnel dosimeter that is processed and evaluated by an NVLAPaccredited processor and is sensitive to the types of radiation to which the individual is exposed. 

If neutron sources or neutron producing equipment are to be used, a commitment to provide 

neutron-sensitive dosimetry devices is required. If film badges are used, they should be 

replaced at least monthly, and other personnel dosimeters [e.g., thermoluminescent dosimeters 

(TLDs) or optically stimulated luminescence dosimeters (OSLs)] should be replaced at least 

quarterly. Reference: The National Institute of Standards and Technology (NIST) maintains a 

directory of laboratories that are NVLAP-accredited at 

http://ts.nist.gov/standards/scopes/dosim.htm.

For purposes of internal dosimetry, the licensee may be required to provide bioassay services 

when individuals work with unsealed radioactive material. Bioassays or air sampling are 

required if working with quantities, chemical and physical forms, and activities that make it likely 

that the radionuclide will be ingested, inhaled, or absorbed, resulting in an intake in excess of 

10 percent of the applicable annual limit on intakes (ALIs) in Table 1, Columns 1 and 2, of 

Appendix B to 10 CFR Part 20. One ALI results in a committed effective dose equivalent 

(CEDE) of 5 rems or a committed dose equivalent (CDE) of 50 rems.
8-40

When using individually packaged “ready to use” quantities of iodine-131 tracer materials in 

well logging operations, bioassays are required for individuals using more than 50 mCi at any 

one time, or using a total of 50 mCi within any 5-day period. Guidance on bioassay programs 

for iodine-131, including the levels and types of handling for which bioassays are indicated, is 

provided in Regulatory Guide 8.20, Revision 2, “Applications of Bioassay for Radioiodine.” 

When handling tritium (H-3) exceeding 3.7 GBq [0.1 Ci] or gaseous H-3 exceeding 3700 GBq 

[100 Ci], bioassays are required. Guidance on bioassay programs for tritium is provided in 

Regulatory Guide 8.32, “Criteria for Establishing a Tritium Bioassay Program.” Copies of 

Regulatory Guides may be obtained from the NRC’s Web site at https://www.nrc.gov/readingrm/doc-collections/reg-guides/occupational-health/rg.

Bioassay services are available and provided by local hospitals, universities, or other vendors 

specifically approved by an NRC or Agreement State license to provide such services.

For additional guidance about methodologies for determination of internal occupational dose 

and summation of occupational dose, refer to Table 8-6.

Table 8-6. Guidance on Personnel Monitoring and Bioassay

Regulatory Guide 8.7, Revision 4 Instructions for Recording and Reporting Occupational 

Radiation Exposure Data

Regulatory Guide 8.9, Revision 1 Acceptable Concepts, Models, Equations, and 

Assumptions for a Bioassay Program

Regulatory Guide 8.20, Revision 2 Applications of Bioassay for Radioiodine

Regulatory Guide 8.25, Revision 1 Air Sampling in the Workplace

Regulatory Guide 8.32 Criteria for Establishing a Tritium Bioassay Program

Regulatory Guide 8.34 Monitoring Criteria and Methods to Calculate Occupational 

Radiation Doses

Regulatory Guide 8.35, Revision 1 Planned Special Exposures

Regulatory Guide 8.36 Radiation Dose to the Embryo/Fetus

ANSI N13.30-2011 Performance Criteria for Radiobioassay

Information Notice 2000-10 Recent Events Resulting in Extremity Exposures 

Exceeding Regulatory Limits

Additional Reference for Further Reading:

U.S. Department of Energy G 441.1-1C, Change 1, “Radiation Protection Programs Guide,” 

July 8, 2011.
8-41

Response from Applicant: 

Provide the following:

• Provide a statement that: “The required personnel dosimeters (e.g., film badge, TLD, 

OSL) will be processed and evaluated by an NVLAP-accredited entity, will be exchanged 

at the required frequency, and will be assigned to and worn by well logging supervisors 

and logging assistants.”

AND

• Provide a statement that: “We will develop, maintain, and implement a bioassay 

program when using unsealed radioactive tracer materials as recommended in NRC 

Regulatory Guide 8.20, “Applications of Bioassay for Radioiodine,” 8.32, “Criteria for 

Establishing a Tritium Bioassay Program,” or other appropriate NRC Regulatory Guide.”

OR

• In lieu of developing a bioassay program, provide a commitment that the applicant will 

contract with a vendor for bioassay services, and confirm that the vendor is licensed 

or otherwise authorized by the NRC or an Agreement State to provide required 

bioassay services.

OR

• In lieu of developing a bioassay program, provide a commitment that the applicant will 

not allow any individual to use more than (i) 1.85 GBq [50 mCI] of iodine-131 at any one 

time or in any 5-day period at field stations or at temporary job sites, (ii) or more than 

3.7 GBq [0.1 Ci] of H-3, or (iii) more than 3700 GBq [100 Ci] of gaseous H-3.

Notes:

• Alternative responses will be evaluated using the guidance in this section.

• Some licensees choose to provide personnel dosimetry to their workers for reasons 

other than compliance with NRC requirements (e.g., to respond to worker requests or to 

maintain records of personal exposure).

8.10.6 Public Dose

Regulations: 10 CFR 20.1003, 10 CFR 20.1101, 10 CFR 20.1301, 10 CFR 20.1302, 

10 CFR 20.1801, 10 CFR 20.1802, 10 CFR 20.2107

Criteria: Licensees must do the following:

• Ensure that licensed materials will be used, transported, stored, and disposed of in such 

a way that members of the public will not receive more than 1 mSv [100 mrem] in a year, 

and the dose in any unrestricted area will not exceed 0.02 mSv [2 mrem] in any 1 hour

from licensed operations.
8-42

• Ensure that air emissions of radioactive material to the environment, excluding radon222 and its daughters, will not result in exposures to individual members of the public in 

excess of 0.1 mSv [10 mrem] in a year from those emissions.

• Control and maintain constant surveillance of licensed materials when in use and not 

in storage.

• Secure stored licensed materials from access, removal, or use by 

unauthorized personnel.

Discussion: Public dose is defined in 10 CFR 20.1003 as “the dose received by a member of 

the public from exposure to radiation or to radioactive material released by a licensee, or to any 

other source of radiation under the control of a licensee.” Public dose excludes occupational 

dose, or doses received from background radiation and medical procedures. Whether the dose 

to an individual is an occupational dose or a public dose depends on the individual’s assigned 

duties. It does not depend on the area (restricted, controlled, or unrestricted) where the 

individual is when he or she receives the dose.

Members of the public include persons who work in or may occupy locations where licensed 

material is used or stored. Employees whose assigned duties do not include the use of licensed 

material and work in the vicinity where it is used or stored are also included as members of the 

public. Public dose is controlled, in part, by ensuring that licensed material is secured 

(e.g., located in a locked area) to prevent unauthorized access or use. Well logging sealed 

sources and tracer materials are usually restricted by controlling access to the keys needed to 

gain access to storage locations, including downhole storage bunkers. 

Public dose is also affected by the choice of storage and use locations at the field stations and 

at temporary job sites. Licensed material must be located so that the resulting public dose in an 

unrestricted area (e.g., an office or the exterior surface of an outside wall) does not exceed 

1 mSv [100 mrem] in a year or 0.02 mSv [2 mrem] in any 1 hour. Applicants should use the

concepts of controlling time, distance, and shielding when choosing storage and use locations. 

Decreasing the time that an individual is exposed, increasing the distance from the radioactive 

material, and adding shielding that is appropriate for the specific type of radiation (e.g., brick, 

concrete, lead, hydrogenous materials) will reduce the radiation exposure.

Information provided by the manufacturer or vendor on anticipated radiation levels of sealed 

sources and tracer materials, both inside their respective transport containers and outside the 

transport container at given distances, is the type of information needed to make public dose 

calculations. Licensees may assess radiation levels (both neutron and gamma contribution)

located in adjacent areas to radioactive material either by making calculations or by using a 

combination of direct measurements and calculations. After obtaining anticipated radiation 

levels or by making direct radiation measurements using an appropriate radiation survey 

instrument, an applicant can use the “inverse square” law, occupancy factors, and shielding 

design to evaluate the effect on the public and use this information to determine operating and 

emergency procedures for using radioactive materials. See Appendix J of this NUREG for an 

example demonstrating that individual members of the public will not receive doses exceeding 

the allowable public limits.
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Figure 8-9 shows the steps to calculate the annual dose to an individual member of the public.

There are many possible internal dose pathways that contribute to the total effective dose 

equivalent (TEDE). The TEDE can, however, be broken down into three major dose pathway 

groups:

(i) airborne radioactive material (e.g., inhalation)

(ii) waterborne radioactive material (e.g., ingestion)

(iii) external radioactive exposure (e.g., source)

The licensee should review these major pathways and decide which are applicable to 

its operations.

Figure 8-9. Steps Used to Calculate Public Dose
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If, after making an initial public dose evaluation, a licensee changes the conditions used for the 

evaluation (e.g., relocates radioactive material within a designated storage area, increases the 

amount of radioactive materials in storage, changes the frequency radioactive material is in use, 

or changes the occupancy of adjacent areas), the licensee must perform a new evaluation to 

ensure that the public dose limits are not exceeded and take corrective action, if required.

Licensees should design a monitoring program to ensure compliance with 10 CFR 20.1302(b). 

The extent and frequency of monitoring will depend upon each licensee’s specific needs.

Under 10 CFR 20.2107, “Records of dose to individual members of the public,” licensees must 

maintain records sufficient to demonstrate compliance with the dose limits for members of the 

public until the Commission terminates the license. Refer to Appendix I of this NUREG for 

additional guidance regarding compliance with the recordkeeping requirements.

Response from Applicant: No response is required from the applicant in a license application, 

but compliance will be examined during inspection. During NRC inspections, licensees must be 

able to provide documentation, demonstrating by measurement or calculation, that the total 

effective dose equivalent to the individual member of the public likely to receive the highest 

dose from licensed operations is less than 1 mSv [100 mrem] in a year, and any unrestricted 

area does not exceed 0.02 mSv [2 mrem] in any 1 hour. See Appendix J of this NUREG for 

examples of methods to demonstrate compliance.

8.10.7 Operating and Emergency Procedures

Regulations: 10 CFR 20.1406, 10 CFR 20.1906, 10 CFR 20.2201, 10 CFR 20.2202,

10 CFR 20.2203, 10 CFR 21.21(a), 10 CFR 30.50, 10 CFR 37 (Subpart B), 10 CFR 37.21(a),

10 CFR 37.45, 10 CFR 37.49, 10 CFR 39.13, 10 CFR 39.33(b), 10 CFR 39.43, 10 CFR 39.63,

10 CFR 39.67, 10 CFR 39.69, 10 CFR 39.77, 10 CFR 40.60, 10 CFR 70.50

Criteria: The licensee must develop, implement, and maintain operating and emergency 

procedures or submit a summary of the procedures that addresses the important radiation 

safety aspects of each procedure to the NRC as part of the application package. Additionally, if 

well logging and tracer personnel perform specific operations such as leak-testing, semi-annual 

inspection and maintenance of equipment, and removal and replacement of a sealed source 

“O” ring, appropriate procedures and instructions for these operations should be included in the 

applicant’s operating and emergency procedures.

Licensees that possess an aggregated Category 1 or Category 2 quantity of radioactive 

material, listed in Appendix A to 10 CFR Part 37, must also establish, implement, and maintain 

an access authorization program; coordinate, to the extent practicable, with local law 

enforcement authorities, for responding to threats to the licensee’s facility; and be able to 

monitor, detect without delay, assess, and respond to any unauthorized entries into 

security zones.

Each licensee must develop, implement, and maintain operating and emergency procedures

that address scenarios likely to be encountered. Operating and emergency procedures’ 

elements must include the items outlined in 10 CFR 39.63, “Operating and emergency 

procedures.” The following is provided as a checklist of important items to consider:

• instructions for handling and using licensed materials, including sealed sources in wells, 

without surface casing for protecting fresh water aquifers
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• instructions for maintaining security during storage, transportation, and use, including 

temporary job sites

• instructions to keep licensed material under control and under immediate surveillance 

during use

• steps to take to keep radiation exposures ALARA

• steps to maintain accountability during use (including during emergency situations)

• steps to control access to work sites

• steps to take and whom to contact when an emergency occurs

• instructions for using remote handling tools when handling sealed sources and 

radioactive tracer material, except low-activity calibration sources 

• methods and occasions for conducting radiation surveys, including surveys for detecting 

contamination, as required by 10 CFR 39.67(c) through (e)

• procedures to minimize personnel exposure during routine use and in the event of an 

incident, including exposures from inhalation and ingestion of licensed tracer materials

• methods and occasions for locking and securing stored licensed materials

• procedures for personnel monitoring, including bioassays, and the use of personnel 

monitoring equipment

• procedures for transportation of licensed materials to field stations or temporary job 

sites; packaging of licensed materials for transport in vehicles; placarding of vehicles 

when needed; and physically securing licensed materials in transport vehicles during 

transportation to prevent accidental loss, tampering, or unauthorized removal

• procedures for picking up, receiving, and opening packages containing licensed 

materials, in accordance with 10 CFR 20.1906, “Procedures for receiving and 

opening packages”

• instructions for the use of tracer materials, including how to decontaminate the 

environment, equipment, and personnel

• instructions for maintaining records in accordance with the regulations and the 

license conditions

• steps for the inspection and maintenance of sealed sources, source holders, logging 

tools, injection tools, source handling tools, storage containers, transport containers, and 

uranium sinker bars, as required by 10 CFR 39.43, “Inspection, maintenance, and 

opening of a source or source holder”

• procedures for making required notifications to the NRC due to events (see Appendix K 

of this NUREG) 
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• procedures for identifying and reporting to NRC defects and noncompliance, as required 

by 10 CFR 21.21(a)

• actions to be taken if a sealed source is lodged in a well, as required by 10 CFR 39.15 

and 39.77 (Refer to Appendix K of this NUREG for guidance on reporting requirements.)

• procedures and actions to be taken if a sealed source is ruptured, including actions to 

prevent the spread of contamination and minimize inhalation and ingestion of licensed 

materials and actions to obtain suitable radiation survey instruments, as required by 

10 CFR 39.33(b) (Refer to Appendix O of this NUREG for some key elements that 

should be addressed in the procedures.)

• instructions for the proper storage and disposal of radioactive waste

• procedures for laundering contaminated clothing and for decontaminating equipment 

and vehicles

• procedures to be followed in the event of uncontrolled release of radioactive tracer 

material to the environment, including notification of the RSO, the NRC, and other 

Federal and State agencies

Written documentation of the procedures written above should be retained for review 

during inspection.

Discussion: The purpose of operating and emergency procedures is to provide well logging 

and tracer personnel, including field flood study personnel, with specific guidance for all 

operations they will perform. Each topic of importance should be included in the operating and 

emergency procedures and need not be presented in order. Instructions for nonroutine 

operations, for example, inspection and maintenance of well logging and tracer equipment or 

conducting calibration of radiation survey instruments, should be included as separate 

appendices in the application.

Operating and emergency procedures need not specify a particular make and model of radiation 

survey instrument. Procedures should provide sufficient guidance and instruction for each 

specific type of well logging or associated equipment. For example, the applicant may submit a 

single operating procedure for using sealed sources, tracer materials, and radionuclides used in 

field flood operations, provided the unique variances in each operation are addressed in 

the application.

Operating and emergency procedures or a summary of the procedures that addresses the 

important radiation safety aspects of each must be submitted to the NRC for review as a part of 

the application in accordance with 10 CFR 39.13(c). See 10 CFR 39.63 for important radiation 

safety aspects that need to be included in operating and emergency procedures.

Note: The procedures required by 10 CFR 39.63, “Operating and emergency procedures,” are 

not substitutes for the DOT requirements in 49 CFR Part 172, Subpart G–Emergency Response 

Information. Licensees must comply with the appropriate US DOT regulations, as applicable, 

including those involving Emergency Response Information, if needed when transporting 

radioactive material.
8-47

In accordance with 10 CFR Part 37, any licensee that possesses an aggregated Category 1 or 

Category 2 quantity of radioactive material must, among other things,

• in accordance with 10 CFR 37.21(a), establish, implement, and maintain its access 

authorization program in accordance with the requirements of 10 CFR Part 37, Subpart B;

• in accordance with 10 CFR 37.45, coordinate with their local law enforcement agency 

(LLEA) for responding to threats to a licensee’s facility; and

• in accordance with 10 CFR 37.49, be able to monitor, detect without delay, assess, and 

respond to any unauthorized entries into security zones, including those surrounding 

mobile devices.

For additional guidance on implementing 10 CFR Part 37 requirements, see NUREG–2155, 

“Implementation Guidance for 10 CFR Part 37, “Physical Protection of Category 1 and 

Category 2 Quantities of Radioactive Material.”” Additional information regarding best 

practices for protection of risk-significant radioactive material is available in NUREG–2166, 

“Physical Security Best Practices for the Protection of Risk-Significant Radioactive Material.”

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.

Response from Applicant: 

Submit written operating and emergency procedures that address the important radiation safety 

aspects, as described in 10 CFR 39.63, “Operating and emergency procedures.”

OR

Provide an outline or summary of the operating and emergency procedures that include the 

important radiation safety aspects of the procedures.

8.10.8 Leak Tests

Regulations: 10 CFR 30.53, 10 CFR 39.13(f), 10 CFR 39.35, 10 CFR 40.63, 10 CFR 70.56

Criteria: The NRC requires testing of sealed sources containing greater than 3.7 MBq 

[100 μCi] of beta/gamma or 0.37 MBq [10 μCi] of alpha radioactive material in order to 

determine whether there is any radioactive leakage from sealed sources in accordance with 

10 CFR 39.35. Requirements for leak tests are based on the type of radiation 

(beta/gamma/alpha) escaping from the inner capsule. Licensees must maintain records of leak 

test results in accordance with license conditions or, if applicable, NRC regulations.

Discussion: The NRC or an Agreement State may authorize manufacturers, consultants, and 

other organizations to either perform the entire leak-test sequence for other licensees or provide 

leak-test kits to licensees. In the latter case, the licensee is expected to take the leak-test 

sample according to the device manufacturer’s and the kit supplier’s instructions. The licensee 

returns the sample to the leak test service provider for evaluation and reporting results. Leak 

test samples should be collected at the most accessible area where contamination would 

accumulate if the sealed source were leaking. The NRC or an Agreement State may, in a 

license condition, specifically authorize well logging licensees to conduct the entire leak test 
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sequence themselves. Measurement of the leak-test sample is a quantitative analysis 

requiring that instrumentation used to analyze the sample be capable of detecting 185 Bq 

[0.005 μCi] of radioactivity. See 10 CFR 39.35(b). 

Sealed sources will be leak tested at intervals not to exceed 6 months. Energy Compensation

Sources will be leak tested at intervals not to exceed 3 years, unless exempted under

10 CFR 39.35(e). 

Response from Applicant: Provide either of the following:

• A statement that: “Leak tests sample collection and analysis will be performed by an

organization authorized by the NRC or an Agreement State to provide leak testing

services to other licensees. Leak tests may be collected by the licensee, using a leak

test kit supplier’s instructions. Such leak test kits will be supplied by an organization

authorized by the NRC or an Agreement State to provide leak testing services.”

OR

• A statement that: “Leak test sample collection and analysis will be done by the

applicant.” Provide the information in Appendix L of this NUREG supporting a request to

perform leak test sample collection and sample analysis and either state that “The

applicant will follow the model procedures in Appendix L of NUREG–1556, Volume 14,

Revision 1, “Consolidated Guidance about Materials Licenses: Program-Specific

Guidance About Well Logging, Tracer, and Field Flood Licenses”, or submit

alternative procedures.

Note: Requests for authorization to perform leak testing and sample analysis will be reviewed 

on a case-by-case basis and, if approved, NRC staff will authorize via a license condition. 

Alternative procedures will be evaluated against Appendix L criteria.

8.10.9 Maintenance

Regulations: 10 CFR 39.31, 10 CFR 39.43, 10 CFR 39.49, 10 CFR 39.63

Criteria: The licensee will have written procedures for visually inspecting and for maintaining 

source holders, logging tools, injection tools, source handling tools, storage and transport 

containers, and uranium sinker bars in an operable condition, including labeling. If equipment 

problems are found, the equipment must be withdrawn from service until repaired. Records of 

this inspection program are required. See 10 CFR 39.43.

Discussion: Each licensee will have a program to visually check source holders, tools, 

containers, and sinker bars for defects prior to each use to ensure that the equipment is in good 

working order and that required labeling is present. If defects are found, the equipment must be 

removed from service until repaired and a record made of the defect and the repairs made. 

Licensees will conduct a visual inspection semiannually to ensure that no physical damage to 

equipment is visible and the required labeling is present. Licensees must establish a program 

for the routine maintenance of source holders, logging tools, inspection tools, source handling 

tools, storage containers, transport containers, injection tools, and uranium sinker bars. If 

defects are found during the visible inspection or during the routine maintenance, the equipment 

must be removed from service until repaired and a record made of the defect and any repairs 
8-49

made prior to returning the equipment for use. These records must be retained for 3 years after 

the defect is found.

Nonroutine and special maintenance (e.g., change of O-rings on sealed sources or removal of a 

stuck sealed source, in a manner that could potentially damage or rupture the source) can only 

be performed by those licensees that have specifically received authorization from the NRC or 

an Agreement State.

Response from Applicant: No response required in the section. Applicants must include in 

subsequent sections its program for inspection and maintenance of logging equipment and 

include the program with the Operating and Emergency Procedures.

8.10.9.1 Maintenance Prior to Use

Regulations: 10 CFR 39.31, 10 CFR 39.43(a), 10 CFR 39.49, 10 CFR 39.63

Criteria: The licensee must have written procedures for visually inspecting and maintaining 

source holders, logging tools, injection tools, source handling tools, storage and transport 

containers, and uranium sinker bars for defects prior to use. See 10 CFR 39.43(a) and

10 CFR 39.63. This visual inspection is necessary to ensure that the equipment remains in 

good working condition and is labeled as required.

Discussion: Regulations in 10 CFR 39.43(a) require that source holders, tools, containers, and 

sinker bars be checked visually for defects prior to each use to ensure that the equipment is in 

good working condition and is labeled as required. Labeling requirements are specified in 

10 CFR 39.31, “Labels, security, and transportation precautions,” and 10 CFR 39.49, “Uranium 

sinker bars.” Instructions in the operating procedures provided to personnel must clearly reflect 

the regulatory requirement—visual inspections are performed prior to each use. After the 

inspection, record the date, inspector, equipment involved, any defects found, and repairs

made. Equipment that fails the inspection must be removed from service and returned only 

after it is successfully repaired.

The licensee must develop, implement, and maintain procedures for visually inspecting and 

maintaining source holders, tools, and containers. 

Response from Applicant: 

Provide the following:

• A statement that: “Before each use, visual inspections will be conducted and records

maintained in accordance with 10 CFR 39.43(a), to ensure that well logging equipment

is in good working condition and is labeled as required.”

AND

• Submit the procedure(s) for conducting visual inspections.

8.10.9.2 Semi-Annual Visual Inspection and Routine Maintenance

Regulations: 10 CFR 21.21, 10 CFR 39.31, 10 CFR 39.43(a), 10 CFR 39.43(b), 

10 CFR 39.49, 10 CFR 39.63 
8-50

Criteria: In accordance with 10 CFR 39.43 and 10 CFR 39.63, licensees must have written 

procedures for semiannual visual and routine maintenance of source holders, logging tools, 

injection tools, source handling tools, storage and transport containers, and uranium sinker bars 

to ensure that the labeling required by 10 CFR Part 39 is legible and that no physical damage to 

the equipment is visible. Requirements in 10 CFR 21.21, “Notification of failure to comply or 

existence of a defect and its evaluation,” require, in part, that licensees adopt appropriate 

procedures to notify the NRC of any equipment that is defective or could result in a substantial 

safety hazard.

Discussion: The licensee will conduct visual inspections and perform routine maintenance 

activities on source holders, tools, containers, and sinker bars to ensure that the labeling 

required by 10 CFR 39.31, “Labels, security, and transportation precautions,” for sealed sources 

and 10 CFR 39.49 for uranium sinker bars is legible, and that no physical damage is visible. If 

defects are found, the equipment must be removed from service, and a record must be made, 

listing: the defects, inspection and maintenance operations performed, and the actions taken to 

correct the defects. Instructions for conducting these activities must be included as part of the 

operating and emergency procedures required under 10 CFR 39.63. Instructions should be 

tailored to the licensee’s specific program and to the equipment possessed and used.

Licensee staff should report all defects to the appropriate and designated licensee management 

official. The licensee management official will report defects to the NRC, in accordance with 

10 CFR 21.21. All personnel involved in the identification of defects should be trained in the 

proper communication of such findings within the licensee’s organizational structure and 

reporting to the NRC commensurate with their position.

Response from Applicant: 

• A statement that: “Semiannual visual inspections and routine maintenance will be 

conducted and records maintained in accordance with 10 CFR 39.43(b), to ensure that 

required labeling is legible and that no physical damage is visible.”

AND

• Submit the procedure(s) for conducting semiannual visual inspections and 

routine maintenance.

8.10.9.3 Maintenance Requiring Special Authorization

Regulations: 10 CFR 39.43(c), 10 CFR 39.43(d), 10 CFR 39.43(e)

Criteria: Certain maintenance procedures on sealed sources or holders that contain sealed 

sources are prohibited, unless a written procedure has been approved and the licensee is 

specifically authorized by the NRC or an Agreement State to perform these operations.

Discussion: In accordance with 10 CFR 39.43, activities that are prohibited, unless a written 

procedure has been reviewed and approved by the NRC or an Agreement State, include
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• removing a sealed source from a source holder or logging tool

• preventive maintenance activities on sealed sources or holders that may be necessary 

when using certain types of logging tools, including removing and replacing O-rings 

(see Figure 8-10 below)

• removing a sealed source that is stuck in a source holder or logging tool by drilling, 

cutting, or chiseling (e.g., any situation where tools are required to remove the 

stuck source)

• opening, repairing, or modifying any sealed source

Figure 8-10. Maintenance, Cleaning, and O-ring Replacement

Response from Applicant:

• A statement that: “Activities described in 10 CFR 39.43(c) and (d) will not be conducted 

unless detailed written procedures have been approved by the NRC.”

OR

• Submit detailed procedures for any activities described in 10 CFR 39.43(c) and (d), 

including radiation safety precautions that individuals will be expected to follow when 

performing these tasks and the minimum qualifications of these individuals. Each 

different task must be described. Should a procedure require the removal of the sealed 

source from the holder before performing any maintenance on the holder, applicants 

should describe the removal procedures.

Note: Equipment manufacturers can provide information concerning maintenance and source 

removal procedures. In some cases, certain maintenance operations should only be performed 

by the manufacturer or individuals who are licensed by the NRC or an Agreement State to 

provide these services. See 10 CFR 39.43(e).
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8.10.10 Transportation

Regulations: 10 CFR 20.1101, 10 CFR 30.41, 10 CFR 30.51, 10 CFR Part 37 (Subpart D),

10 CFR 39.31, 10 CFR 40.51, 10 CFR 40.61, 10 CFR 70.41, 10 CFR 70.42, 10 CFR 71.5,

10 CFR 71.12, 10 CFR 71.14, 10 CFR 71.37, 10 CFR 71.38, 10 CFR 71.47, 10 CFR Part 71

(Subpart H), 49 CFR Parts 171-178

Criteria: Licensees and applicants must develop, implement, and maintain safety programs for 

transport of radioactive material to ensure compliance with NRC and DOT regulations. In 

accordance with 10 CFR Part 37 (Subpart D), licensees must also preplan, coordinate and 

provide advance notification of the shipment of Category 1 quantities of radioactive material and 

coordinate the shipment of Category 2 quantities of radioactive material.

Discussion: Figure 8-11 illustrates some often-overlooked DOT requirements. During an 

inspection, NRC uses the provisions of 10 CFR 71.5, “Transportation of licensed material,” and 

a Memorandum of Understanding with DOT to examine and enforce transportation 

requirements applicable to well logging, tracer, and field flood study licensees. Appendix M of 

this NUREG contains a list of major DOT regulations and provides sample shipping documents, 

placards, and labels. 

Instructions to personnel should not reference DOT requirements. Information should be

extracted, paraphrased, and placed into the instructions so that personnel know exactly what

they are expected to do. The following items should be covered in instructions to personnel:

• Labeling containers appropriately (i.e., when to use labels Radioactive White I, 

Radioactive Yellow II, or Radioactive Yellow III).

• Securing well logging, tracer, and field flood study radiological equipment within the 

transporting vehicle. The instructions should specify how to prevent the equipment from 

moving during transport, referred to as blocking and bracing.

• Preparing shipping papers. The instructions should specify that the papers must be 

completed before transporting the licensed material and must be accessible in the 

driver’s compartment at all times. Placarding both sides, the front and the back of the 

vehicle, with “RADIOACTIVE” placards if the package being transported requires a 

Radioactive Yellow III label. If the vehicle requires placarding and the package radiation 

levels exceed 2 mSv/h [200 mrem/h] or the transport index exceeds 10, the exterior 

surfaces and passenger compartment of the vehicle must be surveyed to ensure that the 

radiation levels do not exceed 0.02 mSv/h [2 mrem/h] from any exterior surface and 

0.02 mSv/h [2 mrem/h] in the passenger compartment. See 10 CFR 71.47. Include 

instructions to personnel on the measures to take if the radiation level exceeds 

0.02 mSv/h 2 mrem/h] in the passenger compartment (e.g., adding more shielding or 

repositioning the exposure device within the vehicle). If an exposure device is 

transported in an overpack, the procedures should include instructions that the overpack 

must be properly marked with the shipping name and identification number, labeled 

(e.g., Radioactive White I or Radioactive Yellow II), and marked when required with a 

statement that indicates the inner package complies with prescribed specifications.

Licensees should consider the safety of all individuals who may either handle or come into 

contact with transport containers or packages containing licensed material. The primary 

consideration in packaging licensed material should be to ensure that the package integrity is 
8-53

not compromised during transport and that the radiation levels or removable contamination 

levels at the package surfaces meet the regulatory requirements of 10 CFR 71.47, “External 

radiation standards for all packages,” and 49 CFR 173.443, “Contamination control.” 

In all cases, ALARA concerns are addressed prior to, during, and after transporting any 

radioactive material.

Note: Licensees shipping radioactive waste for disposal must prepare appropriate 

documentation as specified in 10 CFR Part 20 and Appendix M of this NUREG.

Figure 8-11. Transportation 

Licensees often transport their equipment and radioactive materials, including 

sealed sources and tracer materials, to and from job sites and must ensure 

compliance with DOT regulations.

Licensees shipping or transferring a Category 1 or Category 2 quantity of radioactive material

are subject to the 10 CFR Part 37, Subpart D (“Physical Protection in Transit”). For additional 

guidance on implementing 10 CFR Part 37 requirements, see NUREG–2155, “Implementation 

Guidance for 10 CFR Part 37, “Physical Protection of Category 1 and Category 2 Quantities of 

Radioactive Material.”” Additional information regarding best practices for protection of risksignificant radioactive material is available in NUREG–2166, “Physical Security Best Practices 

for the Protection of Risk-Significant Radioactive Material.”

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.
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Figure 8-12. Transport Container

Response from Applicant: Submit operating and emergency procedures for transporting

well logging sealed sources containing radioactive material, and field flood and tracer 

radioactive materials.

References: The most recent version of “A Review of Department of Transportation 

Regulations for Transportation of Radioactive Materials” can be obtained at

https://www.phmsa.dot.gov/staticfiles/PHMSA/DownloadableFiles/Files/RAM_Regulations_Revi

ew_12-2008.pdf or at https://www.dot.gov.

8.10.11 Minimization of Contamination

Regulations: 10 CFR 20.1406, 10 CFR 39.33(a), 10 CFR 39.35(d), 10 CFR 39.67(c)-(e), 

10 CFR 39.69

Criteria: Applicants for new licenses must describe how facility design and procedures for 

operation will minimize, to the extent practicable, contamination of the facility and the 

environment, facilitate eventual decommissioning, and minimize, to the extent practicable, the 

generation of radioactive waste.

Discussion: All applicants for new licenses should consider the importance of designing and 

operating their facilities so as to minimize the amount of radioactive contamination generated at 

the site during its operating lifetime and the generation of radioactive waste during 

decontamination. When submitting new applications, applicants should consider the following 

with regards to minimization of contamination by tracer material or sealed sources:
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• implementation of and adherence to good health physics practices while 

performing operations

• minimization of distance to areas, to the extent practicable, where licensed materials are 

used and stored

• maximization of radiation survey frequency, within reason, to enhance detection 

of contamination

• segregation of radioactive material in waste storage areas

• segregation of sealed sources and tracer materials to prevent cross-contamination

• separation of radioactive material from explosives

• separation of potentially contaminated areas from clean areas by barriers or 

other controls

• control of frac sands, resins, and other proppants in the event of a “sand/washout”

Sealed sources and devices that are approved by the NRC or an Agreement State and located 

and used according to their respective SSD registration certificates usually pose minimal risk of 

contamination. Well logging applicants usually do not need to address these issues as a 

separate item since they are included in responses to other items of the application. Leak tests 

performed as specified in 10 CFR 39.35, “Leak testing of sealed sources,” should identify 

defective sources. Leaking sources must be withdrawn immediately from use and 

decontaminated, repaired, or disposed of in accordance with the disposal requirements in 

Subpart K of 10 CFR Part 20. See 10 CFR 39.35. These steps minimize the spread of 

contamination and reduce radioactive waste associated with decontamination efforts. Other 

efforts to minimize radioactive waste do not apply to well logging programs using only sealed 

sources and devices that have not leaked.

Special authorization must be granted by the NRC to applicants to decontaminate a facility 

contaminated by a leaking sealed source or contaminated by unsealed material with a half-life 

greater than 120 days. See 10 CFR 30.36(g). Approval granted in a license by the NRC or an 

Agreement State to provide these specialized services minimizes the spread of contamination 

and reduces radioactive waste associated with decontamination efforts.
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Figure 8-13. Personnel Radiation Surveys

Response from Applicant:

• The applicant does not need to provide a response to this item if the applicant provides

responses to the following sections of this NUREG that meet the “Response from 

Applicant” criteria from those sections: 8.5.1, “Radioactive Material—Sealed 

Radioactive Material;” 8.5.2, “Radioactive Material—Unsealed (Tracer) Radioactive 

Material;” 8.9, “Facilities and Equipment;” 8.10.8, “Radiation Safety Program—Leak 

Tests;” 8.10.7, “Radiation Safety Program—Operating and Emergency Procedures;” 

8.10.13, “Radiation Safety Program—Subsurface Tracer Studies;” and 8.11,

“Waste Management.”

OR

• The applicant should submit its procedures to conduct decontamination of a facility 

contaminated by a leaking sealed source or contaminated by unsealed material with a 

half-life greater than 120 days.

8.10.12 Sealed Sources

8.10.12.1 Use of Sealed Sources in Drill-To-Stop (Wireline) Operations

Regulations: 10 CFR 39.13, 10 CFR 39.63

Criteria: Applicants must develop and follow instructions to be used by logging personnel when 

using licensed sealed radioactive sources in drill-to-stop (DTS) well logging operations. 
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Unlike measurement while drilling (MWD) or logging while drilling (LWD) operations where well 

logging operations occur concurrent with the drilling operations, DTS well logging operations 

require that all drilling operations cease and that parts of the drilling apparatus, including all of 

the drill stem, be removed to provide access to the well bore. The well logging tool containing 

one or more sealed sources is then lowered into the well bore to obtain information about the 

well or adjacent oil, gas, mineral, groundwater, or geological formations.

Figure 8-14. Drill-to-Stop Well Logging Operations

Discussion: Operating and Emergency procedures that cover the use of sealed sources in 

DTS well logging operations must be developed and implemented in accordance with 

10 CFR 39.63.

Applicants who request authorization to use sealed sources in DTS well logging operations in 

well bores without a surface casing should describe the procedures to be followed necessary to 

ensure that a sealed source does not become lodged in the well bore. Examples of pre-logging 

actions that should be included in the procedures are:

• obtain specific knowledge of the borehole conditions from the drilling team or company

• run a caliper log to show the hole is open or to find problem areas

• run a tool without a radioactive source to show it can be freely removed

• place a temporary casing in sections of the hole causing problems

DTS well logging activities should include procedures for using appropriate remote handling 

tools for handling sealed sources. The applicant must ensure that a handling tool is 
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compatible with a particular sealed source in accordance with manufacturers/distributors 

instructions and that operating and emergency procedures reflect the correct 

tool/source configuration. 

Response from Applicant:

• Submit operating and emergency procedures for conducting DTS well logging 

operations. Procedures must address radiation safety aspects when conducting DTS 

well logging operations.

8.10.12.2 Use of Sealed Sources in Measurement While Drilling or Logging 

While Drilling Well Logging Operations

Regulations: 10 CFR 39.13, 10 CFR 39.63

Criteria: Applicants must develop and follow procedures to be used by logging personnel when 

using licensed sealed radioactive sources in MWD or LWD well logging operations.

MWD or LWD well logging operations occur during the drilling of the well bore and do not 

require that the drill stem or other equipment be removed from the well. MWD or LWD 

requires that the well logging tool containing one or more sealed sources be located above the 

drilling stem to obtain information about the well or adjacent oil, gas, mineral, groundwater, or 

geological formations while the well drilling operation continues uninterrupted. Both MWD and 

LWD activities can be conducted at the same time drilling operations are occurring. Downhole 

recorded data from MWD or LWD sensors is transmitted to the surface through the use of 

mud telemetry.

Discussion: Operating and Emergency procedures that cover the use of sealed sources in 

MWD or LWD well logging operations must be developed and implemented in accordance with 

10 CFR 39.63.

Instructions in MWD and LWD well logging activities should include procedures for using 

appropriate remote handling tools for handling sealed sources. The applicant must ensure that 

a handling tool is compatible with a particular sealed source in accordance with 

manufacturers/distributors instructions, and that operating and emergency procedures reflect 

the correct tool/source configuration.

Response from Applicant:

• Submit operating and emergency procedures for conducting MWD and LWD well 

logging activities. Procedures must address radiation safety aspects when conducting 

MWD and LWD well logging operations.

8.10.12.3 Energy Compensation Sources

Regulations: 10 CFR 39.2, 10 CFR 39.13, 10 CFR 39.15, 10 CFR 39.35, 10 CFR 39.37, 

10 CFR 39.39, 10 CFR 39.41, 10 CFR 39.51, 10 CFR 39.53, 10 CFR 39.63, 10 CFR 39.77

Criteria: Energy compensation sources (ECSs) used in well logging operations are small 

sealed sources each containing less than or equal to 3.7 MBq [100 μCi] of byproduct material. 
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ECSs are used as reference or calibration standards for stabilizing and calibrating conventional, 

LWD, or MWD well logging tools.

Discussion: ECSs are small sealed sources with an activity not exceeding 3.7 MBq [100 μCi]

used within a logging tool to provide a reference standard to maintain the tool’s calibration when 

in use. See 10 CFR 39.2. As a result, ECSs are:

• exempt from leak testing requirements if the ECS contains less than or equal to 3.7 MBq 

[100 μCi] each; however, sealed sources greater than 3.7 MBq [100 μCi] that are used 

for calibration of well logging tools are not exempt from leak testing requirements and 

must be tested at intervals not to exceed 3 years. See 10 CFR 39.35.

• exempt from abandonment requirements described in 10 CFR 39.77, “Notification of 

incidents and lost sources; abandonment procedures for irretrievable sources,” when 

only ECSs less than or equal to 3.7 MBq [100 μCi] remain in the abandoned tool in a 

well with surface casing for protecting fresh water aquifers; however, for wells without 

surface casings, the abandonment requirements of 10 CFR 39.77 and 10 CFR 39.53, 

“Energy compensation source,” apply to ECSs less than or equal to 3.7 MBq [100 μCi]. 

Abandonment requirements are also discussed in Section 8.10.1 of this NUREG. 

• exempt from the design and performance criteria for well logging sources as described 

in 10 CFR 39.41.

• exempt from the monitoring requirements in 10 CFR 39.69 during source recovery 

operations when only ECSs less than or equal to 3.7 MBq [100 μCi] remain in a well 

logging tool that is lodged in a well with a surface casing for protecting fresh water 

aquifer however, in wells without a surface casing to protect fresh water aquifers, see 

10 CFR 39.53 for applicable requirements.

• not exempt from the requirements to conduct a physical inventory and to maintain 

records of use. See 10 CFR 39.37, 39.39 and 39.53. Requirements established in other 

parts of NRC regulations (e.g., 10 CFR Part 20, 10 CFR Part 30) are still applicable to 

possession and use of byproduct material contained in ECSs.

Figure 8-15. Double Encapsulated ECS Sealed Source
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Response from Applicant:

• Submit a statement that “We will test ECSs requiring leak tests at intervals not to exceed 

3 years and we will conduct physical inventories of ECSs at least every 6 months.

We will maintain physical inventory and material use records in accordance with 

10 CFR 39.37, “Physical Inventory,” and 10 CFR 39.39 “Records of material use.”

8.10.12.4 Use of Sealed Sources and/or Neutron Generators in Fresh

Water Aquifers

Regulations: 10 CFR 39.55, 10 CFR 39.63

Criteria: The licensee is prohibited from using sealed sources or neutron generators in fresh

water aquifers unless the licensee requests and receives written permission from the NRC.

Discussion: Use of radioactive materials in fresh water aquifers is a prohibited activity unless 

specifically authorized by the NRC. Authorization to use sealed sources or neutron generators 

in fresh water aquifers requires that operating and emergency procedures include the following

pre-logging instructions, at a minimum:

• obtain specific knowledge of the borehole conditions from the drilling team or company

• run a caliper log to show the hole is open or to find the problem area

• run a tool without a radioactive source to show it can be freely removed

• place a temporary casing in sections of the hole causing problems

Response from Applicant: 

A statement that: “We will not use sealed sources and/or neutron generators for conducting 

well logging operations in fresh water aquifers.” 

OR

Submit step-by-step operating and emergency procedures for conducting well logging activities 

using sealed sources and/or neutron generators in fresh water aquifers that meet the criteria in 

Section 8.10.12.4 of NUREG–1556, Volume 14, Revision 1; 10 CFR 39.55, “Tritium neutron 

generator target source;” and 10 CFR 39.63, “Operating and emergency procedures.”

8.10.13 Subsurface Tracer Studies

Regulations: 10 CFR 39.45, 10 CFR 51.60, 10 CFR 51.22

Discussion: The use of subsurface tracers in well logging activities may include the injection of 

licensed radioactive tracers in single wells, field flood studies involving secondary and tertiary 

recovery applications, freshwater aquifers, and hydraulic frac-tagging operations. The injection 

of tracers in field flood studies may be an activity that requires a licensee to prepare an 

environmental report, in accordance with 10 CFR 51.60, for the NRC to perform an 

environmental assessment or environmental impact statement. The injection of tracers into a 

single well may be excluded from requiring an environmental assessment or environmental 

impact statement in accordance with 10 CFR 51.22. Licensees wanting to inject licensed 

tracers into freshwater aquifers must be specifically authorized to do so by the NRC. 

See 10 CFR 39.45(b). 
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8.10.13.1 Tracer Studies in Single Well Applications

Regulations: 10 CFR 39.45, 10 CFR 39.63, 10 CFR 51.22

Criteria: Applicants must develop, implement, and maintain safety programs for the use of 

unsealed material for tracer studies in single wells.

Discussion: Applicants’ operating and emergency procedures should address the 

following items:

• methods and occasions for conducting radiation surveys

• methods and occasions for locking and securing tracer materials

• personnel monitoring and the use of personnel monitoring equipment

• transportation to temporary job sites and field stations, including the packaging and 

placing of tracer materials in vehicles, placarding of vehicles, and securing of tracer 

materials during transportation

• procedures for minimizing exposure to members of the public and occupationally 

exposed individuals in the event of an accident

• maintenance of records at field stations and temporary job sites

• use, inspection, and maintenance of equipment (e.g., injector tools, remote handling 

tools, transportation containers)

• procedures to be used for picking up, receiving, and opening packages containing 

radioactive material

• decontamination of the environment, equipment, and personnel

• notifications of proper personnel in the event of an accident

• procedures for handling, control, security, and disposal of any unused tracer materials

Response from Applicant: 

A statement that: “We will not perform tracer studies in single well applications.” 

OR

A statement that: “We will perform tracer studies in single well applications and have submitted 

step-by-step operating and emergency procedures for conducting tracer studies in single well 

applications that meet the criteria in Section 8.10.13.1 of NUREG–1556, Volume 14, Revision 1, 

“Consolidated Guidance About Materials Licenses: Program-Specific Guidance About Well 

Logging, Tracer, and Field Flood Study Licenses,” 10 CFR 39.45, and 10 CFR 39.63.”
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8.10.13.2 Field Flood and Secondary Recovery Applications (Tracer Studies in

Multiple Wells)

Regulations: 10 CFR 39.45, 10 CFR 39.63, 10 CFR 51.21, 10 CFR 51.22, 10 CFR 51.30, 

10 CFR 51.45, 10 CFR 51.60, 10 CFR 51.66

Criteria: Applicants must develop, implement, and maintain safety programs for the use of 

unsealed material for tracer studies in multiple wells (field flood studies). Refer to Appendix D of 

this NUREG in developing step-by-step instructions for tracer personnel in performing field flood 

tracer studies for multiple wells.

For field flood study activities where licensed material is intentionally released into the 

environment involving secondary and tertiary oil and gas recovery, the applicant must provide 

an environmental report under the provisions of 10 CFR 51.60(b)(1)(vi). The environmental 

report must be prepared in accordance with the requirements in 10 CFR 51.45, “Environmental 

report.” Authorizing an applicant to conduct field flood studies for multiple wells would require 

NRC’s assessment of an environmental report and development of an environmental 

assessment or environmental impact statement. The environmental review is performed 

following the guidance in NUREG–1748, “Environmental Review Guidance for Licensing Actions 

Associated with NMSS Programs.”

Discussion: Applicants should address the following when requesting field flood and 

secondary recovery applications:

• agreement with well operator or owner

• field flood study project design

• preinjection phase of the field flood project

• injection phase

• postinjection phase

• emergency procedures

• reporting and recordkeeping requirements

• waste management

• methods and occasions for conducting radiation surveys

• methods and occasions for locking and securing tracer materials

• personnel monitoring and the use of personnel monitoring equipment

• transportation to temporary job sites and field stations, including the packaging and 

placing of tracer materials in vehicles, placarding of vehicles, and securing tracer 

materials during transportation
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• procedures for minimizing exposure to members of the public and occupationally 

exposed individuals in the event of an accident

• maintenance of records at field stations and temporary job sites

• use, inspection, and maintenance of equipment (e.g., injector tools, remote handling 

tools, transportation containers)

• procedures to be used for picking up, receiving, and opening packages containing 

radioactive material

• decontamination of the environment, equipment, and personnel

• notifications of proper personnel in the event of an accident

See Appendix D of this NUREG for additional information on developing a program for 

conducting field flood studies and enhanced recovery of oil and gas wells.

Field flood study applicants are charged at full cost fee based on the professional staff time 

expended as described in footnote e.3 to 10 CFR 170.31, “Schedule of fees for materials 

licenses and other regulatory services, including inspections, and import and export licenses.” 

Individuals planning activities of this nature should contact the NRC well in advance of 

scheduled use.

Note: The NRC’s completion of an environmental assessment, based on the level of 

complexity, can require several months to review, approve, and publish the results of 

the assessment.

Response from Applicant:

• A statement that: “Field flood studies using tracer materials will not be conducted.”

OR

• A statement that: “Field flood studies using tracer materials will be conducted and we 

have submitted step-by-step procedures and information required in Section 8.10.13.2

and Appendix D, “Field Flood Studies/Enhanced Recovery of Oil and Gas Wells” of 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance About Materials 

Licenses: Program-Specific Guidance About Well Logging, Tracer, and Field Flood 

Study Licenses.””

8.10.13.3 Tracer Studies in Fresh Water Aquifers

Regulations: 10 CFR 39.45, 10 CFR 51.21, 10 CFR 51.22, 10 CFR 51.30, 10 CFR 51.32, 

10 CFR 51.45, 10 CFR 51.60, 10 CFR 51.66

Criteria: Applicants must develop, implement, and maintain a safety program for using tracer 

materials in fresh water aquifers. Licensees may not knowingly inject licensed material into a 

fresh water aquifer unless specifically authorized to do so by the NRC.
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Discussion: The NRC, in accordance with 10 CFR 39.45(b), prohibits the intentional injection 

of licensed tracer material into a fresh water aquifer unless the individual is specifically 

authorized by the Commission to perform this activity. 

For field flood studies where the applicant intends to intentionally inject licensed tracer material 

into a fresh water aquifer involving secondary and tertiary oil and gas recovery, the applicant 

must provide an environmental report under the provisions of 10 CFR 51.60(b)(1)(vi). The 

environmental report must be prepared in accordance with the requirements in 10 CFR 51.45, 

“Environmental report.” Subsequently, the NRC will perform an environmental review in 

accordance with the guidance in NUREG–1748, “Environmental Review Guidance for Licensing 

Actions Associated with NMSS Programs.”

Field flood study applicants are charged at full cost fee based on the professional staff time 

expended as described in footnote e.3 to 10 CFR 170.31, “Schedule of fees for materials 

licenses and other regulatory services, including inspections, and import and export licenses.” 

Individuals planning activities of this nature should contact the NRC well in advance of 

scheduled use.

Note: The NRC’s completion of an environmental assessment, based on the level of 

complexity, can require several months to review, approve, and publish.

Response from Applicant:

• A statement that: “We will not knowingly inject tracer material into a fresh water aquifer.”

OR

• A statement that: “We request authorization to inject tracer material into a fresh water 

aquifer involving secondary and tertiary oil and gas recovery and have submitted our 

reasons for performing the study and procedures to safeguard the public, licensee 

personnel, and the environment, and will provide an environmental report containing the 

information outlined in 10 CFR 51.45, “Environmental report.” 

8.10.13.4 Frac-tagging Operations

Regulations: 10 CFR 39.45, 10 CFR 39.63, 10 CFR 51.21, 10 CFR 51.22, 10 CFR 51.30, 

10 CFR 51.45, 10 CFR 51.60, 10 CFR 51.66 

Criteria: The term frac-tagging operations refers to the use of radionuclides in liquid or solid 

forms (tracer material) that are chemically bonded to glass or resin beads and injected into a 

single well in a density-controlled solution during hydraulic fracturing operations. Applicants 

should develop, implement, and maintain safety programs for the use of radionuclides in liquid 

or solid forms during frac-tagging operations.

Discussion: Hydraulic fracturing (also known as fracking or frac operations) is a wellstimulation technique in which underground geologic formations are fractured by a hydraulically

pressurized mixture made of (i) fracking fluid (gel, foam, or water); (ii) proppant (particles of 

crush-resistant materials such as high-purity quartz sand, known as frac sand, or man-made 

ceramics); and (iii) chemical constituents in additives. This high-pressure fluid mixture is 

injected into a wellbore to create fractures in the deep geologic formations through which oil and 

gas will flow more freely. When the hydraulic pressure is removed from the well, the proppants
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hold the fractures open. Typically, licensed radioactive material with a half-life of 120 days or 

less (mixed with frac sand or chemically bonded to man-made ceramics) is added to the fluid 

mixture and pumped downhole to allow a licensee to determine if a fracturing operation, which 

is designed to maximize oil and gas production, is complete as planned. After well stimulation, 

a gamma ray detection tool is lowered into the well to identify the extent of the fracturing. 

Man-made ceramic proppant used in frac-tagging operations have the capability of fixing the 

radioactive material (solid) within the matrix of the ceramic bead or on the surface of the bead. 

The bead containing the radioactive material is nonwater soluble and nonacid soluble. 

Licensees using man-made or ceramic beads should compare the crush strength of the ceramic 

beads against the depth that the beads are going to be injected during frac-tagging operations. 

The probability of beads being crushed increases after exceeding their crush resistance limit,

which could result in contamination of fluids within the well. For this reason, flowback on the well 

needs to be monitored to detect potential contamination of fluids.

Response from Applicant: 

• A statement that: “We will not perform frac-tagging operations.”

OR

• A statement that: “We will perform frac-tagging operations and have submitted step-bystep operating and emergency procedures that include the following:

— Receiving, controlling, and handling tracer material during well injections.

— Handling, controlling and disposing of any unused tracer materials.

— Securing, maintaining control, and posting of areas involved with frac-tagging

operations using radioactive materials.

— Containment and/or decontamination of a spill or “sandout” (or “fluid reversal”)

involving tracer material during frac sand operations. The procedure includes, 

among other items, radiation surveys, licensee contact information, steps to be 

taken by the licensee and the client in the event that a “sandout” (or “fluid 

reversal”) occurs when the licensee has already left the client’s site, and steps to 

be taken by the licensee and the client to evaluate flowback or production wastes 

for the presence of tracer material.

— Disposal of radioactive materials resulting from frac-tagging operations (such as 

a sandout, fluid reversal, or flowback) at (i) a licensed low level radioactive waste 

disposal facility; (ii) decay-in-storage using holding tanks and subsequent 

unrestricted release; or (iii) a request for alternate waste disposal under 

10 CFR 20.2002, “Method for obtaining approval of proposed disposal 

procedures.” The procedure includes a description of who will be responsible for 

the disposal of radioactive materials resulting from frac-tagging operations 

occurring at client’s facilities, and the method for making a determination of the 

concentration of licensed material (picocuries/gram) in these operations.

— Actions to be taken in the event of an explosion, leak and contamination event, 

and the incapacitation of a lone well logging supervisor.”
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8.10.14 Radioactive Collar and Subsidence or Depth Control Markers

Regulations: 10 CFR 30.71, 10 CFR 39.47, 10 CFR 39.37

Criteria: Radioactive markers usually used as pipe collar markers include, for example, wires, 

tape, and nails. Applicants can use radioactive markers only where each individual marker 

contains quantities of licensed material not exceeding the quantities identified in 10 CFR 30.71, 

“Schedule B.” See 10 CFR 39.47. Radioactive markers must be physically inventoried 

semi-annually as specified in 10 CFR 39.37.

Discussion: Operating and emergency procedures should include a commitment that 

radioactive markers can be used only where each individual marker contains quantities of 

licensed material not exceeding the quantities identified in 10 CFR 30.71. However, licensees 

are not restricted to using only one marker, and may use multiple markers in each pipe joint, 

provided each individual marker (e.g., wires, tape, nails) is not greater than the quantities 

identified in 10 CFR 30.71. Additionally, provisions must be included in the operating and 

emergency procedures to ensure that radioactive markers undergo physical inventories 

semi-annually, as specified in 10 CFR 39.37.

Note: Subsidence or depth control markers that use quantities greater than those authorized by 

10 CFR 39.47, “Radioactive markers,” must be approved through an exemption request under 

10 CFR 39.91.

Response from Applicant:

A statement that: “We will only use radioactive markers where each individual marker contains 

only quantities of licensed material not exceeding the exempt quantities identified in 

10 CFR 30.71, Schedule B.”

8.10.15 Neutron Accelerators Using Licensed Material

Regulations: 10 CFR 20.1001(b), 10 CFR 20.1301, 10 CFR 20.1302, 10 CFR 20.1601, 

10 CFR 20.1602, 10 CFR 39.55, 10 CFR 39.63

Criteria: Applicants authorized to use a neutron generator (particle accelerator) containing a 

tritium source should include operating and emergency procedures for the proper handling and 

use of the accelerator targets or tubes containing radioactive materials. Because the neutron 

radiation produced from particle accelerators containing byproduct materials is categorized as 

machine-produced radiation, the radiation being emitted from a neutron accelerator is subject to 

individual State’s, not NRC, regulatory authority. However, the dose received by an individual 

from machine-produced radiation is additive to the dose received from NRC-regulated materials

when assessing total occupational dose to an individual in accordance with 10 CFR 20.1001(b). 

Therefore, the potential dose that an occupational worker can receive from this type of activity is 

regulated by the NRC. Applicants proposing to use neutron generators in Agreement State 

jurisdiction should contact the appropriate State for additional information.

Discussion: Neutron generators (accelerators) are used in the well logging industry as a 

source of neutrons. Most accelerators use tritium gas sealed in a glass tube or plated on 

a target or disc. Neutron generator target sources, in most instances, contain less than 

110 GBq [30 Ci] of tritium.
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Neutron generator tubes are not required to satisfy all the requirements for well logging sealed 

sources. See 10 CFR 39.55. As a result, neutron generator tubes containing less than 

1,110 GBq [30 Ci] of tritium are exempt from:

• abandonment requirements

• leak test requirements

• the performance requirements of sealed sources used in well logging operations

Neutron generator tubes (i) containing greater than 1,110 GBq [30 Ci] of tritium or (ii) that are 

used in a well without surface casing to protect fresh water aquifers, are subject to the 

requirements of 10 CFR Part 39, except 39.41. 

Neutron accelerators (particle accelerator) generate about 14 MeV neutrons when high voltage 

is applied to the generator. In addition, short-lived activation products are formed when the 

neutrons being produced by the accelerator interact with the metallic components of the 

generator. In accordance with 10 CFR 39.63, applicants using a neutron generator must 

include operating and emergency procedures that address prevention of exposure to radiation 

emitted from short-lived neutron activation products and procedures that address contamination. 

Specifically, the procedures should:

• state that the high voltage being applied to the generator must be turned off at a certain 

depth before the generator is brought to the surface, and that the generator must remain 

downhole for a specific amount of time, as specified by the manufacturer, to allow for the 

decay of short-lived activated products

• instruct individuals in the handling of contamination resulting from the routine use, initial 

installation, replacement, or accidental damage of the targets or glass tubes

• state the methods and occasions for conducting radiation surveys

Applicants requesting to use neutron generators must state if the generators are going to be 

calibrated by an NRC or Agreement State licensee who is specifically authorized to conduct this 

type of activity. If the applicant desires to conduct calibration of neutron generators, procedures 

describing facilities, specialized equipment and tools, and personnel training specific for this 

type of activity must be submitted for NRC review.

Applicants should refer to 10 CFR 39.55, “Tritium neutron generator target sources,” for 

applicable requirements for using neutron generators.

Response from Applicant:

• A statement that: “We will not use neutron generators (accelerators) in our well 

logging operations.”

OR

• A statement that: “We will use neutron generators (accelerators) in accordance with the 

guidance in Section 8.10.15 of NUREG–1556, Volume 14, Revision 1, “Consolidated 

Guidance About Materials Licenses: Program-Specific Guidance About Well Logging, 

Tracer, and Field Flood Study Licenses” and will provide step-by-step operating and 

emergency procedures for NRC review. Calibration of neutron generators will be 
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performed by an NRC or Agreement State licensee that is specifically authorized to 

conduct this activity.” 

OR

• A statement that: “We will use neutron generators (accelerators) in accordance with the 

guidance in Section 8.10.15 of NUREG–1556, Volume 14, Revision 1, “Consolidated 

Guidance About Materials Licenses: Program-Specific Guidance About Well Logging, 

Tracer, and Field Flood Study Licenses” and will provide step-by-step operating and 

emergency procedures for NRC review. We will perform calibration of neutron 

generators and will provide step-by-step procedures for conducting calibration of neutron 

generators for NRC review.”

8.10.16 Depleted Uranium Sinker Bars

Regulations: 10 CFR 39.37, 10 CFR 39.43(b), 10 CFR 39.49, 10 CFR 39.67, 10 CFR 40.25, 

10 CFR 40.51

Criteria: Depleted uranium sinker bars may be distributed under either a general license or a 

specific license. Most well logging licensees acquire depleted uranium sinker bars under the 

provisions of 10 CFR 40.25, “General license for use of certain industrial products or devices,” 

and then file Form NRC 244, “Registration Certificate—Use of Depleted Uranium under General 

License.” Specifically licensed material must be physically inventoried and visually inspected for 

labeling and physical damage in accordance with 10 CFR 39.37 and 10 CFR 39.43.

Discussion: Depleted Uranium Sinker Bars Authorized Under General License:

Certain devices are authorized by the NRC for distribution to persons who are generally 

licensed for the use of certain industrial products or devices containing depleted uranium for the 

purpose of providing a concentrated mass in a small volume. Uranium sinker bar devices can 

be acquired by the users under the provisions of 10 CFR 40.25 without obtaining a specific 

license from the NRC; however, when acquired under the provisions of a general license, 

individuals must file Form NRC 244. Generally licensed sinker bars are exempt from 

10 CFR Parts 19, 20, and 21. Regulatory requirements that apply to such devices possessed 

under a general license are stated in 10 CFR 40.25. While operating under the provision of a 

general license for these types of devices, general licensees must

• not introduce uranium sinker bars into a chemical, physical, or metallurgical treatment or 

process, except as a treatment for restoration of any plating or covering

• not abandon uranium sinker bars

• transfer or dispose of them only to individuals or entities authorized under the provisions 

of 10 CFR 40.51, “Transfer of source or byproduct material”

• notify NRC within 30 days of the transfer of depleted uranium sinker bars

Depleted Uranium Sinker Bars Authorized Under a Specific License:

While operating under the provision of a specific license for these types of devices, specific 

licensees must, in accordance with 10 CFR 39.37, 10 CFR 39.43, and 10 CFR 39.49:
8-69

• physically inventory the uranium sinker bars at intervals not to exceed 6 months

• visually inspect before use for proper labeling, “CAUTION—RADIOACTIVE DEPLETED 

URANIUM” and “NOTIFY CIVIL AUTHORITIES (or COMPANY NAME) IF FOUND,” and 

at intervals not to exceed 6 months

• visually inspect for physical damage and conduct routine maintenance at intervals not to 

exceed 6 months

• remove bars from use if found defective, until repaired or disposed

• record date, equipment, inspection and maintenance performed, defects found, and 

actions taken to correct the defect, if defects are found (records must be retained for 

3 years)

Response from Applicant:

• A statement that: “We will not use depleted uranium sinker bars in our well 

logging operations.”

OR

• A statement that: “Depleted uranium sinker bars will be obtained under the provisions of

a general license per 10 CFR 40.51, “Transfer of source or byproduct material” and 

registration form NRC Form 244 will be filed, as required.”

OR

• A statement that: “Depleted uranium sinker bars will be obtained under a specific 

license.” Include the specific number of kilograms of material being requested.

AND

• A statement that: “Uranium sinker bars will be possessed and inspected as specified in 

Section 8.10.16 in NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance 

About Materials Licenses: Program-Specific Guidance About Well Logging, Tracer, and 

Field Flood Study Licenses.”

8.10.17 Security Program for Category 1 and Category 2 Radioactive Materials

Regulations: 10 CFR Part 37 

Criteria: Licensees must ensure the security of Category 1 and Category 2 

radioactive material.

Note: The regulations in 10 CFR Part 37 apply to licensees that possess an aggregated 

Category 1 or Category 2 quantity of radioactive material. The specific radionuclides subject to 

10 CFR Part 37 requirements are listed in Table 1 of Appendix A to 10 CFR Part 37.
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Discussion: 

Requirements in 10 CFR Part 37, “Physical Protection of Category 1 and Category 2 Quantities 

of Radioactive Material”

In accordance with 10 CFR Part 37, licensees that possess aggregated Category 1 or 

Category 2 quantities of radioactive material must establish, implement, and maintain an access 

authorization program (Subpart B) and a security program (Subpart C) to ensure physical 

protection of the radioactive material. 

Table 1 of Appendix A, “Category 1 and Category 2 Radioactive Materials,” to 10 CFR Part 37, 

lists Category 1 and Category 2 threshold quantities of radioactive material. The applicant 

should refer to this table to determine whether its proposed activities would be subject to the 

10 CFR Part 37 requirements.

Before giving individuals unescorted access to Category 1 or Category 2 quantities of 

radioactive material (as defined in 10 CFR 37.5), licensees must conduct background 

investigations of these individuals, to determine that they are trustworthy and reliable, in 

accordance with 10 CFR 37.25.

In accordance with 10 CFR 37.41(b), licensees must establish a security program designed to 

monitor and, without delay, detect, assess, and respond to any actual or attempted 

unauthorized access to Category 1 or Category 2 quantities of radioactive material. 

Per 10 CFR Part 37, Subpart D, licensees must provide for physical protection of Category 1 or 

Category 2 quantities of radioactive materials in transit. These requirements apply to licensees 

delivering such material to a carrier for transport, as well as cases in which licensees are 

transporting such material. Please note that the Subpart D requirements applicable to the 

transport of Category 1 quantities of radioactive material are more stringent than those 

applicable to Category 2 quantities.

Applicants and licensees are required to implement the 10 CFR Part 37 security 

requirements before they take possession of an aggregated Category 1 or Category 2 

quantity of radioactive material.

Any licensee that has not previously been made subject to the provisions of 10 CFR Part 37, 

Subpart C shall notify the NRC regional office specified in 10 CFR 30.6 in writing at least 

90 days before aggregating radioactive material to a quantity that equals or exceeds the 

Category 2 threshold. Pursuant to 10 CFR 37.43(b), as part of the security program, the 

licensee must develop and maintain written procedures that document how the requirements 

of Subpart C will be met. These written procedures may be subject to NRC review 

and inspection.

For additional guidance on implementing 10 CFR Part 37 requirements, see NUREG–2155, 

“Implementation Guidance for 10 CFR Part 37, “Physical Protection of Category 1 and 

Category 2 Quantities of Radioactive Material.”” Additional information regarding best practices 

for protection of risk-significant radioactive material is available in NUREG–2166, “Physical 

Security Best Practices for the Protection of Risk-Significant Radioactive Material.”

Response from Applicant: No response is required from an applicant or licensee.

Compliance with access authorization and security program requirements may be reviewed 

during NRC inspections. 
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8.11 Item 11: Waste Management

10 CFR 20.1301, 10 CFR 20.1904, 10 CFR 20.2001, 10 CFR 20.2002, 10 CFR 20. 2003, 

10 CFR 20.2004, 10 CFR 20.2005, 10 CFR 20.2006, 10 CFR 20.2007, 10 CFR 20.2108, 

10 CFR Part 20, Appendices B and G, 10 CFR 30.41, 10 CFR 30.51, 10 CFR 37.11(c), 

10 CFR 40.51, 10 CFR 40.61, 10 CFR 70.42, 10 CFR 70.51

Criteria: Radioactive waste must be disposed of in accordance with regulatory requirements 

and license conditions or transferred to an authorized recipient. Authorized recipients are the 

original manufacturer, distributor, a commercial firm licensed by the NRC or an Agreement State 

to accept radioactive waste from other persons, or in the case of sealed sources, transferred to 

another specific licensee authorized to possess the licensed material (i.e., a transferees’ license 

specifically authorizes the same radionuclide, chemical or physical form, and in most 

instances, the same use). Records of transfer and waste disposal must be maintained. See 

10 CFR 20.2108, 10 CFR 30.51, 10 CFR 40.61, and 10 CFR 70.51.

Before transferring any radioactive material, including radioactive waste, a licensee must verify 

that the recipient is properly authorized to receive the specific type of material using one of the 

methods described in 10 CFR 30.41, “Transfer of byproduct material.” In addition, all packages 

containing radioactive waste must be prepared and shipped in accordance with NRC and 

DOT regulations. 

Discussion: Radioactive waste generated when conducting licensed activities may include: 

sealed sources, used or unused radioactive tracer materials, and unusable items contaminated 

with radioactive tracer materials (e.g., absorbent paper, gloves, and bottles).

Unsealed radioactive waste must be stored in strong, tight containers (e.g., thick plastic bags, 

boxes, barrels) to prevent the spread of contamination, and sealed sources should be stored in 

their corresponding transport containers or in a downhole storage bunker until their disposal. 

The integrity of the radioactive waste containers must be assured, and the containers, while in 

storage, must have the appropriate warning label specified in 10 CFR 20.1904. Radioactive 

waste must be secured against unauthorized access or removal. See 10 CFR 20.1801. 

Depending on the radioactive half-life of the material, NRC regulations require disposal of well 

logging sealed sources and tracer materials generated at licensees’ facilities by one or more of 

the following methods:

Tracer Material with a Half-Life of 120 Days or Less:

• decay-in-storage (DIS)

• transfer to an authorized recipient

• release into sanitary sewerage

• release in effluents to unrestricted areas, other than into sanitary sewerage

• incineration

• any alternate method specifically approved by the NRC

Tracer Material with a Half-Life Greater Than 120 Days:

• transfer to an authorized recipient

• release into sanitary sewerage

• release in effluents to unrestricted areas, other than into sanitary sewerage
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• incineration

• extended interim storage

• any alternate method specifically approved by the NRC

Sealed Sources with a Half-Life of 120 Days or Less:

• transfer to an authorized recipient

• DIS

• any alternate method specifically approved by the NRC

Sealed Sources with a Half-Life Greater Than 120 Days:

• transfer to an authorized recipient

• any alternate method specifically approved by the NRC

Licensees may choose any one or more of these methods to dispose of their radioactive waste. 

The NRC’s experience indicates that most well logging tracers are stored or disposed of by a 

combination of methods, transfer to an authorized recipient and DIS being the most frequently 

used. Applicants requesting authorization to dispose of radioactive tracer waste by incineration 

should first refer to model waste management procedures in NUREG–1556, Volume 11 and 

contact the appropriate regional office of the NRC for guidance. Applicants should note that 

compliance with NRC regulations does not relieve them of their responsibility to comply with any 

other applicable Federal, State, or local regulations. Some types of radioactive waste used in 

tracer operations and in “labeled frac sands” may include additional chemical hazards. This 

type of waste is designated as “mixed waste” and requires special handling and disposal.

Applicants should describe in detail their program for management and disposal of radioactive 

waste, including mixed waste, if applicable. A waste management program should include 

procedures for handling waste; specify the requirements for safe and secure storage; and 

describe how to characterize, minimize, and dispose of all types of radioactive waste, including, 

where applicable, mixed waste. Appropriate training should be provided to waste handlers. 

Regulations 10 CFR 30.51, 10 CFR 40.51, and 10 CFR 70.51 require, in part, that licensees 

maintain all appropriate records of disposal of radioactive waste. The U.S. Environmental 

Protection Agency issued guidance for developing a comprehensive program to reduce 

hazardous waste that, in many instances, may also include radioactive waste as a contaminant. 

The NRC transmitted these guidelines to licensees in IN 94-23, “Guidance to Hazardous, 

Radioactive, and Mixed Waste Generators on the Elements of a Waste Minimization Program,” 

dated March 1994. NRC Regulatory Issue Summary 2011-09, “Available Resources Associated 

with Extended Storage of Low-Level Radioactive Waste,” also contains useful information. 

Applications should include, where appropriate for the types of waste involved, provisions for 

monitoring and segregating waste materials (e.g., radioactive from nonradioactive, short from 

long half-life, liquid from solid waste).

Disposal by Decay-in-Storage 

The NRC has concluded that materials with half-lives of less than or equal to 120 days are 

appropriate for DIS. The holding time of the waste should be based on the radionuclide(s), 

half-life, and the activity present when the waste was placed into storage. Such waste may be 

disposed of as ordinary trash if radiation surveys of the waste indicate that radiation levels are 

indistinguishable from background. The surveys should be performed with an appropriate 

radiation detection meter set on its most sensitive scale in a low background area and without 
8-73

any interposed shielding. In accordance with 10 CFR 20.1904(b), all radiation labels must be 

defaced or removed from containers and packages prior to disposal as ordinary trash. If the 

decayed waste is compacted, all labels that are visible in the compacted mass must also be 

defaced or removed. Applicants must maintain accurate records of such disposals.

Appendix N of this NUREG provides a model procedure for DIS.

Applicants should assure that adequate space and facilities are available for the storage of such 

waste. Licensees can minimize the need for storage space if the waste is segregated according 

to half-life. Waste containing radionuclides with half-lives 120 days or less may be segregated 

and stored in a container and allowed to decay based on the longest-lived radionuclide in the 

container and the activity present in the waste. Waste management procedures should include 

(i) methods of segregating waste by half-lives of 120 days or less from those with half-lives

greater than 120 days; (ii) methods of surveying waste prior to disposal to confirm that waste 

above background levels is not inadvertently released; and (iii) maintenance of records of 

disposal. Disposal records for DIS should include the date when the waste was put in storage 

for decay, date of disposal, and results of the final radiation survey taken prior to disposal to 

ordinary trash. For reference, a model procedure for disposal of radioactive waste by DIS, 

which incorporates the above guidelines, is provided in Appendix N of this NUREG.

Release into Sanitary Sewerage

Licensees considering disposal by release to the sanitary sewerage system must comply with 

the requirements of 10 CFR 20.2003. 10 CFR 20.2003, “Disposal by release into sanitary 

sewerage,” authorizes disposal of radioactive waste by release into sanitary sewerage if each of 

the following conditions is met:

• Material is readily soluble (or is easily dispersible biological material) in water.

• Quantity of licensed material or other radioactive material that the licensee releases into 

the sewer in one month divided by the average monthly volume of water released into 

the sewer does not exceed the concentration specified in 10 CFR Part 20, Appendix B, 

Table 3.

• If more than one radionuclide is released, use the sum of the ratios between the monthly 

discharge of a radionuclide and the corresponding limit in 10 CFR Part 20, Appendix B, 

Table 3.

• The sum of such ratios for all of the radionuclides in a mixture may not exceed “1” 

(i.e., unity).

• Total quantity of licensed material and other radioactive material released into the 

sanitary sewerage system in a year does not exceed 185 GBq [5 Ci] of H-3, 37 GBq 

[1 Ci] of C-14, and 37 GBq [1 Ci] of all other radionuclides combined.

Licensees are responsible for demonstrating that licensed materials discharged into the 

sewerage system are indeed readily dispersible in water. NRC IN 94-07, “Solubility Criteria for 

Liquid Effluent Releases to Sanitary Sewerage under the Revised 10 CFR Part 20,” dated 

January 1994, provides the criteria for evaluating solubility of liquid waste. Careful 

consideration should be given to the possibility of reconcentration of radionuclides that are 

released into the sewer. The NRC alerted licensees to the potentially significant problem of 
8-74

reconcentration of radionuclides released to sanitary sewage systems in IN 84-94, 

“Reconcentration of Radionuclides Involving Discharges into Sanitary Sewage Systems 

Permitted under 10 CFR 20.303 (now 10 CFR 20.2003),” dated December 1984.

Applicants electing to use this type of disposal should provide procedures that will ensure that 

all releases of radioactive waste into the sanitary sewerage meet the criteria stated in 

10 CFR 20.2003 and do not exceed the monthly and annual limits specified in regulations. 

Licensees are required to maintain accurate records of all releases of licensed material into the 

sanitary sewerage. A model program for disposal of radioactive waste via sanitary sewer is 

described in Appendix N of this NUREG.

If the licensee’s facility maintains a private sewage treatment system, a septic system, or leach 

fields, the regulations of 10 CFR 20.2003 are not applicable for releases to these systems 

(see 10 CFR 20.1003, “Definitions,” for the definition of “sanitary sewerage”). Applicants may 

make releases of liquids to private sewerage systems, septic systems, or leach fields as 

effluents released to unrestricted areas pursuant to 10 CFR 20.2001(a)(3) and 

10 CFR 20.1302(b)(2)(i).

If liquid releases are made to a private sewage treatment system, septic system, or leach field, 

the sludges or other solids from these systems may become contaminated with radioactive 

material. Applicants should describe the monitoring planned for these systems in Item 10 of the 

NRC Form 313 application (see Appendix A of this NUREG). Contaminated sludges are

required to be disposed of as radioactive waste using one of the methods described in this 

section. Applicants may obtain approval of alternative disposal methods through application to 

the Commission, as described in 10 CFR 20.2002, “Method for obtaining approval of proposed 

disposal procedures.”

Transfer to an Authorized Recipient

Licensees may transfer radioactive waste to an authorized recipient for disposal in accordance 

with 10 CFR 20.2001(a)(1). However, it is the licensee’s responsibility to verify that the 

intended recipient is authorized to receive the radioactive waste prior to making any shipment. 

Waste generated at well logging and tracer facilities generally consists of low specific activity 

(LSA) material. The waste must be packaged in DOT-approved containers for shipment, and 

each container must identify the radionuclides and the amounts contained in the waste. 

Additionally, packages must comply with the requirements of the particular burial site’s license 

and State requirements. Each shipment must comply with all applicable NRC and DOT 

requirements. In some cases, the waste handling contractor may provide additional guidance 

and requirements to licensees for packaging and transportation; however, the licensee is 

ultimately responsible for ensuring compliance with all applicable regulatory requirements.

The shipper must provide all information required by the NRC’s Uniform Low-Level Radioactive 

Waste Manifest and transfer this recorded manifest information to the intended recipient. Each 

shipment manifest must include a certification by the waste generator. Each person involved in 

the transfer for disposal and disposal of waste, including waste generator, waste collector, 

waste processor, and disposal facility operator, must comply with the NRC’s Uniform Low-Level 

Radioactive Waste Manifest and 10 CFR Part 20, Appendix G, “Requirements for Transfers of 

Low-Level Radioactive Waste Intended for Disposal at Licensed Land Disposal Facilities 

and Manifests.”
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Waste Volume Reduction

Licensees should implement procedures to reduce the volume of radioactive waste for final 

disposal in an authorized low-level radioactive waste (LLW) disposal facility. These procedures 

include volume reduction by segregating, consolidating, compacting, or allowing certain waste 

to decay-in-storage. Waste compaction or other treatments can reduce the volume of 

radioactive waste, but such processes may pose additional radiological hazards (e.g., airborne 

radioactivity or increased radiation levels) to workers, members of the public, and the 

environment. The program should include adequate safety procedures to protect workers, 

members of the public, and the environment. Applicants must describe in detail waste volume 

reduction operations that could create a radiological hazard to licensee employees or the 

general public. Appendix N of this NUREG describes a model procedure for waste compaction.

Extended Interim Storage

Licensees should exhaust all possible alternatives for disposal of radioactive waste and rely on 

onsite extended interim storage of radioactive waste only as a last resort. Disposal, rather than 

storage, enhances the protection of workers and the public. Licensees also may find it more 

economical to dispose of radioactive waste than to store it on site because as the available 

capacity decreases, the cost of disposal of radioactive waste may continue to increase. Other 

than DIS, LLW should be stored only when disposal capacity is unavailable and for no longer 

than necessary. NRC IN 90-09, “Extended Interim Storage of Low-Level Radioactive Waste by 

Fuel Cycle and Materials Licensees,” dated February 5, 1990, provides guidance to licensees 

for requesting an amendment to authorize extended interim storage of LLW. NRC Regulatory 

Issue Summary (RIS) 2008-12, “Considerations for Extended Interim Storage of Low-Level 

Radioactive Waste by Fuel Cycle and Materials Licensees,” dated May 9, 2008, updated this 

information. In addition, the NRC issued RIS 2011-09, “Available Resources Associated with 

Extended Storage of Low-Level Radioactive Waste,” dated August 16, 2011, which refers to 

other helpful guidance documents.

Other Methods Specifically Approved by the NRC Pursuant to 10 CFR 20.2002

Applicants may request alternate methods for the disposal of radioactive waste generated at 

their facilities. Such requests will be handled on a case-by-case basis and require that the 

applicant provide additional site-specific information. In most instances, requests for alternate 

methods of disposal must describe the types and quantities of waste containing licensed 

material, physical and chemical properties of the waste that may be important to making a 

radiological risk assessment, and the proposed manner and conditions of waste disposal in 

accordance with 10 CFR 20.2002. Additionally, the applicant must submit its analysis and 

evaluation of pertinent information specific to the affected environment, including the nature and 

location of other affected facilities, and provide an outline of its procedures to ensure that 

radiation doses are maintained ALARA and within regulatory limits.

Note: Guidance concerning alternate waste disposal procedures that involve multiple 

jurisdictions has been provided in the State and Tribal Communication Letter FSME-12-025, 

dated March 13, 2012, “Clarification of the Authorization for Alternative Disposal of Material 

Issued Under 10 CFR 20.2002 and Exemption Provisions in 10 CFR.” 

(ADAMS Accession No. ML12065A038)
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Note: Before licensed activities are transferred or assigned in accordance with 

10 CFR 30.34(b), 10 CFR 40.46 or 10 CFR 70.36, if licensees are authorized to possess 

byproduct material with a half-life greater than 120 days in an unsealed form or special nuclear 

material, the licensees must, in accordance with 10 CFR 30.51(e), 10 CFR 40.61(e) or 

10 CFR 70.51(b)(1) and (2), respectively, transfer the following records to the new licensee:

• records of disposal of licensed material made under

— 10 CFR 20.2002, “Method for obtaining approval of proposed 

disposal procedures”

— 10 CFR 20.2003, “Disposal by release into sanitary sewerage”

— 10 CFR 20.2004, “Treatment or disposal by incineration”

— 10 CFR 20.2005, “Disposal of specific wastes”

• records required by 20.2103(b)(4) of the results of measurements and calculations used 

to evaluate the release of radioactive effluents to the environment 

Because of the difficulties and costs associated with disposal of sealed sources (e.g., sealed 

sources containing americium-241), applicants should preplan disposal. As part of the 

purchase agreement with the source supplier, applicants may want to consider including 

provisions for return of the sealed sources to the supplier at the end of their useful life.
8-77

In accordance with 10 CFR 37.11(c), a licensee that possesses radioactive waste that contains 

Category 1 or Category 2 quantities of radioactive material as defined in 10 CFR 37.5 is 

exempt from the requirements of 10 CFR Part 37, Subparts B, C, and D. However, any 

radioactive waste that contains discrete sources, ion-exchange resins, or activated material 

that weighs less than 2,000 kg [4,409 lbs] is not exempt from the requirements of 

10 CFR Part 37. For additional guidance on implementing 10 CFR Part 37 requirements, see 

NUREG–2155, “Implementation Guidance for 10 CFR Part 37, “Physical Protection of 

Category 1 and Category 2 Quantities of Radioactive Material.”” Additional information 

regarding best practices for protection of risk-significant radioactive material is available in 

NUREG–2166, “Physical Security Best Practices for the Protection of Risk-Significant 

Radioactive Material.”

A licensee possessing radioactive waste that is exempt under 10 CFR 37.11(c) from the 

requirements of 10 CFR Part 37, Subparts B, C, and D must implement the following 

requirements to secure the radioactive waste:

• use continuous physical barriers that allow access to the radioactive waste only through 

established access control points;

• use a locked door or gate with monitored alarm at the access control point;

• assess and respond to each actual or attempted unauthorized access to determine whether 

an actual or attempted theft, sabotage, or diversion occurred; and

• immediately notify the LLEA and request an armed response from the LLEA upon 

determination that there was an actual or attempted theft, sabotage, or diversion of the 

radioactive waste that contains Category 1 or Category 2 quantities of radioactive material.

Please note, under 10 CFR Part 37, security plans are not submitted to the NRC, but may 

be subject to review and inspection.

Response from Applicant:

• A statement that: “We will use sealed and/or unsealed radioactive materials with a 

half-life greater than 120 days, and will transfer or dispose of the material and 

contaminated waste to a licensed entity authorized to receive the material.” 

AND

• A statement that: “We will use the model waste procedures published in Appendix N to 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance About Materials 

Licenses: Program-Specific Guidance About Well Logging, Tracer, and Field Flood 

Study Licenses” for disposing of radioactive materials and contaminated waste.”

OR

• A statement that: “We will provide our procedures for waste collection, storage, and 

disposal by any of the authorized methods described in Section 8.11 of NUREG–1556, 

Volume 14, Revision 1, “Consolidated Guidance About Materials Licenses: 

Program-Specific Guidance About Well Logging, Tracer, and Field Flood 

Study Licenses”.”

OR
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• If needed, the applicant should request authorization for extended interim storage 

of waste.

OR

• Provide proposed alternate waste disposal procedures for a method not described in 

Section 8.11 of this NUREG, following 10 CFR 20.2002, “Method for obtaining approval 

of proposed disposal procedures.”

References: Search the NRC’s public Web site at https://www.nrc.gov to obtain copies of

• IN 94-23, “Guidance to Hazardous, Radioactive, and Mixed Waste Generators on the 

Elements of a Waste Minimization Program,” dated March 1994.

• IN 94-07, “Solubility Criteria for Liquid Effluent Releases to Sanitary Sewerage under the 

Revised 10 CFR Part 20,” issued January 1994.

• IN 84-94, “Reconcentration of Radionuclides Involving Discharges into Sanitary Sewage 

Systems Permitted under 10 CFR 20.203 (now 10 CFR 20.2003),” issued

December 1984.

• RIS 2004-17, Revision 1, “Revised Decay-In-Storage Provisions for the Storage of 

Radioactive Waste Containing Byproduct Material,” dated September 2005.

• State and Tribal Communication Letter FSME-12-025, dated March 13, 2012,

“Clarification of the Authorization for Alternative Disposal of Material Issued under 

10 CFR 20.2002 and Exemption Provisions in 10 CFR” (ADAMS Accession No. 

ML12065A038)

• RIS 2016-11, “Requests to Dispose of Very Low-Level Radioactive Waste Pursuant to 

10 CFR 20.2002,” November 13, 2016.

8.12 Item 12: License Fees

On NRC Form 313, enter the appropriate fee category from 10 CFR 170.31 and the amount of 

the fee enclosed with the application.

Direct all questions about the NRC’s fees or completion of Item 12 of NRC Form 313 to the 

Office of the Chief Financial Officer at NRC Headquarters in Rockville, Maryland, 301-415-7554. 

Information about fees may also be obtained by calling NRC’s toll free number, 800-368-5642, 

extension 415-7554. The e-mail address for fees questions is Fees.Resource@nrc.gov.

Note: Applicants who wish to perform field flood tracer studies should review 10 CFR Part 51, 

“Environmental Protection Regulations for Domestic Licensing and Related Regulatory 

Functions” (particularly 10 CFR 51.30, 51.60, and 51.66) for further information concerning the 

environmental information needed by the NRC to prepare an environmental assessment. 

Environmental assessments are full-cost recovery items under 10 CFR Part 170. Full cost will 

be determined based on the professional staff time expended multiplied by the appropriate 

professional hourly rate, as described in footnote e.3. to 10 CFR 170.31, “Schedule of fees for 

materials licenses and other regulatory services, including inspections, and import and 

export licenses.”
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8.13 Item 13: Certification

A representative of the corporation or legal entity filing the application should sign and date 

NRC Form 313. The representative signing the application must be authorized to make binding 

commitments and to sign official documents on behalf of the applicant. As discussed previously 

in Chapter 3, “Management Responsibility,” signing the application acknowledges 

management’s commitment to and responsibility for the radiation protection program. The NRC 

will return all unsigned applications for proper signature.

Notes:

• It is a criminal offense to knowingly and willfully make a false statement or 

representation on applications or correspondence (18 U.S.C. 1001).

• When an application references commitments, those items will be incorporated into the 

license and therefore, will become binding and conditions to the license.

9-1

9 LICENSE AMENDMENTS AND RENEWALS

It is the licensee’s obligation to keep the license current. If any of the information provided in 

the original application is to be modified or changed, the licensee must submit an application for 

a license amendment before the change takes place. The change is not in effect until the 

amendment has been issued. Also, to continue the license after its expiration date, the licensee 

must submit an application for a license renewal at least 30 days before the expiration date in 

Title 10 of the Code of Federal Regulations (10 CFR) [2.109(a), 30.36(a), 40.42(a), and 

70.38(a)].

Applicants for license amendment or renewal should do the following:

• Use the most recent guidance in preparing an amendment or renewal request.

• Submit either a U.S. Nuclear Regulatory Commission (NRC) Form 313 or a letter 

requesting amendment or renewal.

• Provide the license number and docket number.

• For renewals, provide a complete and up-to-date application including all required 

program elements outlined in Appendix B of this NUREG. Training documentation for 

personnel currently listed on the license does not need to be submitted as part of the 

renewal application.

9.1 Timely Notification of Transfer of Control

Regulation: 10 CFR 30.34(b), 10 CFR 40.41(b), 10 CFR 40.46,10 CFR 70.36

Criteria: Licensees must provide all supporting information and obtain the NRC’s prior, written 

consent before transferring control of the license, also referred to as a “change of ownership” or 

“transferring the license.”

Discussion: Transferring control may be the result of mergers, buyouts, or majority stock 

transfers. Although it is not the NRC’s intent to interfere with the business decisions of 

licensees, it is necessary for licensees to obtain prior NRC written consent to ensure 

the following:

• Radioactive materials are possessed, used, or controlled only by persons who have 

valid NRC licenses or Agreement State licenses.

• Materials are properly handled and secured.

• Persons using these materials are capable, competent, and committed to implementing 

appropriate radiological controls.

• A clear chain of custody is established to identify who is responsible for disposition of 

records and licensed material.

• Public health and safety are not compromised by the use of such materials.

• Adequate financial assurance is provided for compliance with the applicable NRC 
9-2

requirements, if required.

Response from Applicant: No response is required from an applicant for a new license. 

However, current licensees should refer to NUREG–1556, Volume 15, “Consolidated Guidance 

About Materials Licenses: Guidance About Changes of Control and About Bankruptcy Involving 

Byproduct, Source, and Special Nuclear Materials Licenses,” for more information about 

transfer of control (e.g., ownership.)

Reference: For further information, see Regulatory Issue Summary 2014-08, Revision 1, 

“Regulatory Requirements for Transfer of Control (Change of Ownership) of Specific Materials 

Licenses,” dated May 5, 2016. This RIS can be found on the NRC’s Generic Communications 

Web page under “Regulatory Issue Summaries” at https://www.nrc.gov/reading-rm/doccollections/gen-comm/.
10-1

10 APPLICATIONS FOR EXEMPTIONS

Regulations: Title 10 of the Code of Federal Regulations (10 CFR) 19.31, 

10 CFR 20.2301, 10 CFR 30.11, 10 CFR 39.91, 10 CFR 40.14, 10 CFR 70.17

Criteria: Licensees may request exemptions from U.S. Nuclear Regulatory Commission (NRC)

regulations. The licensee must demonstrate that the exemption is authorized by law; will not 

endanger life, property, or the common defense and security, and is otherwise in the public 

interest. Licensees may also use existing specific exemptions outlined in the 10 CFR 

regulations if they meet the established criteria.

Discussion: Various sections of the NRC’s regulations address requests for exemptions 

(e.g., 10 CFR 19.31, “Application for exemptions”; 10 CFR 20.2301, “Applications for 

exemptions”; 10 CFR 30.11, 10 CFR 40.14, 10 CFR 70.17, “Specific exemptions”; and 

10 CFR 39.91 “Applications for exemptions”). These regulations state that the NRC may grant 

an exemption, acting on its own initiative or on an application from an interested person.

Exemptions are not intended to revise regulations or apply to large classes of licensees and are 

generally limited to unique situations. Requests for exemptions submitted to the NRC must 

identify the regulation for which the exemption is being requested and include a justification for 

the requested exemption. 

Unless the NRC has granted an exemption in writing, licensees must comply with all 

applicable regulations.

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11 TERMINATION OF ACTIVITIES

Regulations: Title 10 of the Code of Federal Regulations (10 CFR) 10 CFR 20.1401, 

10 CFR 20.1402, 10 CFR 20.1403, 10 CFR 20.1404, 10 CFR 20.1405, 10 CFR 20.1406,

10 CFR 20.2002, 10 CFR 20.2003, 10 CFR 20.2004, 10 CFR 20.2005, 10 CFR 30.34(b),

10 CFR 30.35(g), 10 CFR 30.36, 10 CFR 30.51, 10 CFR 40.36, 10 CFR 40.42, 10 CFR 40.61, 

10 CFR 70.25(g), 10 CFR 70.36, 10 CFR 70.38, 10 CFR 70.51

Criteria: The licensee must do the following:

• Notify the U.S. Nuclear Regulatory Commission (NRC), in writing, within 60 days of the 

occurrence of any of the following:

— Expiration of its license.

— A decision to permanently cease principal activities1 at the entire site.

— For licensees subject to 10 CFR 30.36, a decision to permanently cease principal

activities in any separate building or outdoor area that contains residual 

radioactivity such that the building or area is unsuitable for release according to 

NRC requirements.

— For licensees subject to 10 CFR 40.42 or CFR 70.38, a decision to permanently 

cease principal activities in any separate building or outdoor area.

— No principal activities under the license have been conducted for a period of 

24 months.

— No principal activities have been conducted for a period of 24 months in any

separate building or outdoor area that contains residual radioactivity such that

the building or outdoor area is unsuitable for release according to NRC

requirements.

• Submit a decommissioning plan, if required by 10 CFR 30.36(g), 10 CFR 40.42(g)

and/or 10 CFR 70.38(g).

• Conduct decommissioning, as required by 10 CFR 30.36(h) and (j), 10 CFR 40.42(h) 

and (j) and/or 10 CFR 70.38(h) and (j).

• Submit to the appropriate NRC regional office a completed NRC Form 314, “Certificate 

of Disposition of Materials” (or equivalent information), and information demonstrating

that the premises are suitable for release for unrestricted use (e.g., results of final 

surveys and results of leak tests of sealed sources).

 

1“Principal activities” are activities which are essential to achieving the purpose(s) for which the license was issued or 

amended. Storage during which no licensed material is accessed for use or disposal and activities incidental to 

decontamination or decommissioning are not principal activities.
11-2

• Before a license is terminated, send records important to decommissioning that are 

required by 10 CFR 30.35(g), 10 CFR 40.36(f) and/or 10 CFR 70.25(g) to the

appropriate NRC regional office in accordance with 10 CFR 30.51(f), 10 CFR 40.61(f)

and/or 10 CFR 70.51(a)(3), respectively.

• Before a license is terminated, send records of disposal of licensed material made under 

10 CFR 20.2002, 10 CFR 20.2003, 20.2004, 20.2005, and the results of measurements 

and calculations used to evaluate the release of radioactive effluents to the environment 

to the appropriate NRC regional office in accordance with 10 CFR 30.51(d), 

10 CFR 40.61(d) and/or 10 CFR 70.51(a)(1) and (2), if authorized to possess byproduct 

material with a half-life greater than 120 days in an unsealed form and/or special nuclear 

material, respectively.

Discussion: To comply with the above criteria, before a licensee can decide whether it must 

notify the NRC under 10 CFR 30.36(d), 10 CFR 40.42(d) and/or 10 CFR 70.38(d), the licensee 

must determine whether residual radioactivity is present and, if so, whether the levels make the 

building or outdoor area unsuitable for release, according to NRC requirements. A licensee’s 

determination that a facility is not contaminated is subject to verification by NRC inspection.

For guidance on the disposition of licensed material, see Section 8.11, “Waste Management” of 

this NUREG. For guidance on decommissioning records, see Section 8.5.3, “Financial 

Assurance and Recordkeeping for Decommissioning” of this NUREG.

The permanent cessation of principal activities1 in an individual room or laboratory may require 

the licensee to notify the NRC if no other licensed activities are being performed in the building.

The applicant should contact their NRC regional office for additional guidance beyond the scope 

of this document.

For information about requirements that apply to the timeliness of decommissioning, 

see Regulatory Issue Summary 2015-19, Rev. 1, “Decommissioning Timeliness Rule 

Implementation and Associated Regulatory Relief,” dated September 27, 2016, which can be 

found on the NRC’s Generic Communications Web page under “Regulatory Issue Summaries”

at https://www.nrc.gov/reading-rm/doc-collections/gen-comm/reg-issues/2015/.

NUREG–1757, “Consolidated Decommissioning Guidance,” contains the current regulatory 

guidance concerning decommissioning of facilities and termination of licenses. Licensees that 

have large facilities to decommission should review NUREG–1575, “Multi-Agency Radiation 

Survey and Site Investigation Manual (MARSSIM).” The computer code “DandD” offers an 

acceptable method for calculating screening values to demonstrate compliance with the 

unrestricted dose limits. Supplemental information on the implementation of the final rule on 

radiological criteria for license termination was published in the Federal Register (63 FR 64132) 

on November 18, 1998. 

Supplemental information on the implementation of the final rule on radiological criteria for 

license termination also was published in the Federal Register on December 7, 1999,

(64 FR 68395), which addresses screening values in soils for the most common radionuclides, 

and in the Federal Register on June 13, 2000, (65 FR 37186) for screening values for 

building surfaces and soils contaminated with radionuclides not addressed in the prior 

Federal Register notices.
11-3

Response from Applicant: The applicant is not required to submit a response to the NRC 

during the initial application. The licensee’s obligations in this matter begin when the license 

expires or at the time the licensee ceases operations, whichever is earlier. These obligations 

are to undertake the necessary decommissioning activities, to submit NRC Form 314 or 

equivalent information, and to perform any other actions summarized in “Criteria” above.

Reference: NRC Form 314 is available at https://www.nrc.gov/reading-rm/doccollections/forms.

APPENDIX A

U.S. NUCLEAR REGULATORY COMMISSION FORM 313

A–1

U.S. Nuclear Regulatory Commission Form 313

Please use the most current version of this form, which may be found at: 

https://www.nrc.gov/reading-rm/doc-collections/forms/

APPENDIX B

SUGGESTED FORMAT FOR PROVIDING INFORMATION REQUESTED IN 

ITEMS 5 THROUGH 11 OF NRC FORM 313

B–1

Suggested Format for Providing Information Requested In 

Items 5 through 11 of NRC Form 313

Item 

No. Title and Criteria Yes N/A

Description 

Attached

5. RADIOACTIVE MATERIAL

5.1 Sealed Radioactive Material

Complete the table on Pages B–3 and B–4

AND

Identify each radionuclide (element name and mass 

number) that will be used in each sealed source within 

the NRC’s jurisdiction.

[ ] [ ]

Provide the manufacturer’s or distributor’s name and 

model number for each sealed source and, if applicable, 

device requested.

[ ] [ ]

Confirm that the activity per source and maximum activity 

in each device will not exceed the maximum activity listed 

on the approved certificate of registration issued by the 

NRC or by an Agreement State.

[ ] [ ]

Confirm that each sealed source, device, and source and 

device combination is registered as an approved sealed 

source or device by the NRC or an Agreement State, and 

will be possessed and used in accordance with the 

conditions specified in the registration certificate. Provide 

the SSD registration certificate number, if available.

[ ] [ ]

Identify each sealed source or energy compensation 

source by the manufacturer’s name, model number, 

radionuclide (element name and mass number), 

maximum activity per source, and total activity requested.

[ ] [ ]

Identify any sealed sources or corresponding devices not 

used in well logging that contain byproduct, special 

nuclear, or source material, and specify the 

manufacturer’s name, model number, and radionuclide 

(element name and mass number). Examples of such 

devices are calibration devices used for radiation survey 

instruments and pocket dosimeters, and sources used 

above ground for calibrating well logging tools.

[ ] [ ]

Identify the manufacturer’s name and model number of 

depleted uranium sinker bars.

[ ] [ ]
B–2

Item 

No. Title and Criteria Yes N/A

Description 

Attached

5. RADIOACTIVE MATERIAL (Continued)

5.2 Unsealed [Tracer] Radioactive Material (including both 

volatile and nonvolatile materials) (e.g., iodine-131, iodine125, hydrogen-3)]

• Provide element name with mass number, chemical and/or 

physical form, and maximum requested possession limit.

[ ] [ ]

• Provide information for volatile materials, if known, on the 

anticipated rate of volatility or dispersion. This information 

may be obtained from the tracer material vendor, supplier, 

or manufacturer.

[ ] [ ]

• Identify each chemical and/or physical form (e.g., liquid, gas, 

or labeled frac sands) requested for each type of tracer study.

[ ] [ ]

• Specify the maximum amount of each radionuclide tracer that 

will be used in each type of tracer study by its physical or 

chemical form. Identifying the forms as “any” is unacceptable.

[ ] [ ]

• Specify the maximum amount of each radionuclide tracer 

material that will be possessed at any one time. Possession 

limits should also include any materials that may be stored 

as waste.

[ ] [ ]

• Specify the purpose for which each radionuclide will be used. [ ] [ ]

• Provide an Emergency Plan (if required) [ ] [ ]

• Emergency plans are not routinely required for tracer materials 

with half-lives of less than 120 days and for quantities 

authorized in well logging and tracer licenses. See 

Regulatory Guide 3.67 for additional guidance on developing 

emergency plans.

[ ] [ ]

• Applicants should refer to 10 CFR 30.32(i) and 30.72, 

Schedule C, “Quantities of radioactive materials requiring 

consideration of the need for an emergency plan for 

responding to a release,” to determine the quantities of 

radioactive material requiring an emergency plan for 

responding to a release of radioactive materials. In addition, 

30.32(i) provides the information required to develop an 

Emergency Plan.

[ ] [ ] [ ]
B–3

Well Logging Sealed Sources

Radionuclide

Manufacturer/

Model No.

Maximum activity per source and total 

activity requested (mCi or Ci)

Neutron Generators

Radionuclide

Manufacturer/

Model No.

Maximum activity per source and 

total activity requested (mCi or Ci)

Energy Compensation Sources

Radionuclide

Manufacturer/

Model No.

Maximum activity per source and 

total activity requested (mCi or Ci)

Unsealed Tracer Materials

Radionuclide Chemical or Physical Form Purpose

Maximum 

Per Study 

(mCi)

Maximum 

Amount 

Requested(mCi)

[ ] Gas [ ] Liquid [ ] Labeled 

Frac 

Sands

[ ] Gas [ ] Liquid [ ] Labeled 

Frac 

Sands

[ ] Gas [ ] Liquid [ ] Labeled 

Frac 

Sands

Note: Indicate the rate of volatility or dispersion for each unsealed tracer material.
B–4

Depleted Uranium

Radionuclide

Manufacturer/

Model No. Kilograms Requested

Depleted 

Uranium (DU)

Sealed Sources Not Used in Well Logging Operations

Radionuclide

Manufacturer/

Model No.

Maximum activity per source and total activity 

requested (mCi or Ci)
B–5

Item 

No. Title and Criteria Yes N/A

Description 

Attached

5. RADIOACTIVE MATERIAL (Continued)

5.3 Financial Assurance and Recordkeeping for 

Decommissioning

• Pursuant to 10 CFR 30.35(g) and 10 CFR 70.25(g) and 

10 CFR 70.51(b)(3), as appropriate, we will maintain records 

important to decommissioning and will transfer these records 

to an NRC or Agreement State licensee before licensed 

activities are transferred or assigned, in accordance with 

10 CFR 30.34(b) and 10 CFR 70.36, as appropriate. 

Furthermore, pursuant to 10 CFR 30.51(f) and 

10 CFR 70.51(a)(3), as appropriate, we will forward the records 

required by 10 CFR 30.35(g) and 10 CFR 70.25(g), as 

appropriate, to the appropriate NRC regional office before the 

license is terminated.

[ ]

AND

• If financial assurance or a decommissioning funding plan is 

required, we will submit the required documents following the 

guidance described in NUREG–1757, Volume 3.

[ ] [ ]

6. PURPOSE(S) FOR WHICH LICENSED MATERIAL WILL BE 

USED

• For each sealed source and radionuclide requested in the 

application, state the purpose for the licensed material using the 

following list:

— Oil and gas well logging [ ] [ ] [ ]

— Mineral well logging [ ] [ ] [ ]

— Geophysical well logging [ ] [ ] [ ]

— Tracer studies in single wells [ ] [ ] [ ]

— Field flood or enhanced recovery studies in multiple wells [ ] [ ] [ ]

OR

• Specify the purposes for which the sources and device(s) will 

be used other than those included in the manufacturer’s 

recommendations, and as specified on the SSD 

registration certificate.

[ ] [ ]

AND

• If applicable, provide a statement that, “We plan to perform the 

following activities in fresh water aquifers:

— Tracer studies [ ] [ ]

— Well logging using sealed sources [ ] [ ]

— Well logging using neutron generator” [ ] [ ]
B–6

Item 

No. Title and Criteria Yes N/A

Description 

Attached

7. INDIVIDUAL(S) RESPONSIBLE FOR RADIATION SAFETY 

PROGRAM AND THEIR TRAINING AND EXPERIENCE

Radiation Safety Officer (RSO)

• The name of the proposed RSO who will be responsible for 

ensuring that the licensee’s radiation protection program is 

implemented in accordance with approved procedures.

[ ]

Name:______________________________________

AND

• Demonstrate that the RSO has sufficient independence and 

direct communication with responsible management officials by 

providing a copy of an organizational chart by position, 

demonstrating day-to-day oversight of the radiation 

safety activities.

[ ]

AND

• Provide documentation demonstrating that the proposed RSO 

is qualified by training and experience (e.g., certificate of 

completion of a well logging RSO or authorized user’s course or 

an equivalent course that meets the logging supervisor criteria 

specified in Appendix F of this NUREG).

[ ] [ ] [ ]

OR

• Provide documentation demonstrating that the proposed RSO 

is qualified by training and experience (e.g., Board Certification 

by the American Board of Health Physicists; completion of a 

bachelor’s or master’s degree in the sciences with at least one 

year of experience in the conduct of a radiation safety program 

of comparable size and scope; or formal training in the 

establishment and maintenance of a radiation 

protection program)

[ ] [ ] [ ]

OR

• Provide alternative information demonstrating that the proposed 

RSO is qualified by training and experience (e.g., listed by 

name as an authorized user or the RSO on an NRC or 

Agreement State license that requires a radiation safety 

program of comparable size and scope).

[ ] [ ] [ ]

8. TRAINING FOR LOGGING SUPERVISORS AND LOGGING 

ASSISTANTS

• Submit the training program to be given to new logging 

supervisors and logging assistants.

[ ]

• Provide a copy of a typical examination and the correct answers 

to the examination questions. Indicate the passing grade.

[ ]
B–7

Item 

No. Title and Criteria Yes N/A

Description 

Attached

8. TRAINING FOR LOGGING SUPERVISORS AND LOGGING 

ASSISTANTS (Continued)

• Specify the qualifications of the instructors for radiation safety 

principles and describe their experience with well logging 

activities. If training will be conducted by someone outside the 

applicant’s organization, identify the course by title, provide the 

name, address, and telephone number of the company 

providing the training, and provide a course outline 

(if available).

[ ]

• Describe the field (practical) examination that will be given to 

prospective logging supervisors and logging assistants.

[ ]

• Describe the annual refresher training program, including topics 

to be covered and how the training will be conducted.

[ ]

• Submit a description of the program for annual safety reviews of 

the job performance of each well logging supervisor, as 

described in 10 CFR 39.13(d).

[ ]

9. FACILITIES AND EQUIPMENT

• Submit a diagram, drawing, or sketch of the proposed facility, 

identifying areas where radioactive materials, including 

radioactive wastes, will be used or stored.

[ ]

— Drawings should show, where applicable, adjacent 

buildings, boundary lines, security fences, and lockable 

storage areas.

[ ]

— Illustrate area(s) where explosive, flammable, or other 

hazardous materials may be stored.

[ ]

— Drawings should also show the relationship and distance 

between restricted areas and adjacent unrestricted areas.

[ ]

— Drawings should specify shielding materials (e.g., concrete, 

lead) and means for securing radioactive materials from 

unauthorized removal.

[ ]

• Submit a drawing or sketch of the proposed tracer material 

storage facilities, including rooms, buildings, below ground 

bunker storage areas, or containers used for storage of both 

tracer and tracer waste materials, if appropriate. Specify the 

types and amount of shielding materials (e.g., concrete, 

lead) and means for securing tracer materials from 

unauthorized removal.

[ ] [ ]

• Describe items such as protective clothing (e.g., rubber gloves, 

coveralls, respirators, and face shields), auxiliary shielding, 

absorbent materials, injection equipment, secondary containers 

for waste water storage for decontamination purposes, and 

plastic bags for storing contaminated items, which will be 

available at well sites when using tracer materials.

[ ]
B–8

Item 

No. Title and Criteria Yes N/A

Description 

Attached

9. FACILITIES AND EQUIPMENT (Continued)

• Describe proposed laundry facilities, if applicable, used for 

contaminated protective clothing. Specify how the 

contaminated waste water from the laundry machines or sinks 

is disposed. Operating and emergency procedures should 

address decontamination of the laundry area and equipment.

[ ] [ ]

• Describe proposed decontamination facilities for trucks, tracer 

injection tools, or other equipment contaminated by tracer 

materials, if applicable. Specify how the contaminated waste 

water for these decontamination facilities is disposed. 

Operating and emergency procedures should address 

decontamination of these types of equipment and facilities.

[ ] [ ]

• Describe, if applicable, equipment for “repackaging” gaseous, 

volatile, or finely divided tracer material. Most tracer users do 

not repackage materials and acquire their injections in 

precalibrated amounts or “ready-to-use” forms. However, 

should an applicant request the ability to repackage tracer, 

volatile, or finely divided material, consider the following 

equipment when repackaging tracer materials: sinks, trays with 

absorbent material, glove boxes, fume hoods with charcoal 

filtration, filtered exhaust, special handling equipment including 

special tools, rubber gloves, etc.

[ ] [ ]

• State the physical location(s) where the NRC regulatory 

required records will be stored and available for review during 

NRC inspections.

[ ]

10. RADIATION SAFETY PROGRAM

The applicant is required to establish and submit its radiation 

protection program. The format used for providing information 

should be developed by the applicant. No specific format is 

required by the NRC for submitting a radiation safety program.

[ ]

The radiation safety program should include each of the 

following items:

• steps to keep radiation exposures ALARA

• description of equipment and facilities adequate to protect 

personnel, the public, and the environment

• commitment that licensed activities will be conducted by 

individuals qualified by training and experience

• written operating and emergency procedures

• program for the annual inspection of the job performance of well 

logging personnel

• description of organization structure and individuals responsible 

for ensuring implementation of radiation safety program

• records management
B–9

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

• methods or procedures for preventing the release of 

contaminated material, equipment, or vehicles to unrestricted 

use from tracer or field flood study operations

• radiation safety procedures and the well logging supervisors’ 

responsibilities unique to tracer and field flood study operations

• tracer and field flood study equipment, techniques, and 

corresponding radiation safety procedures associated with the 

use of tracer materials

• information on the appropriate handling, control/security, and 

disposal of any unused tracer materials

• commitment that the licensee will implement a security, control, 

and accountability program for radioactive materials located at 

field stations and temporary job sites

Appendix D of this NUREG includes a description of procedures 

for using tracer materials in field flood study operations.

10.1 Well Owner or Operator Agreement 

• A statement that: “We will obtain a written agreement that 

meets the requirements specified in 10 CFR 39.15 prior to well 

logging: (i) with a sealed source; (ii) with a neutron generator 

exceeding 30 Ci; or (iii) with a neutron generator in a well 

without a surface casing, and will provide an example of the 

agreement to the NRC.”

[ ] [ ] [ ]

• A statement that: “We will provide written instructions to the 

customer when conducting well logging using unsealed material 

that describes those subjects listed in the “Discussion” 

(unsealed material) portion of Section 8.10.1, “Well Owner or 

Operator Agreements” in NUREG–1556, Volume 14, 

Revision 1, “Consolidated Guidance about Materials Licenses: 

Program-Specific Guidance About Well Logging, Tracer, and 

Field Flood Licenses.””

[ ] [ ] [ ]

10.2 Radiation Safety Program Audit

The applicant is not required to, and should not, submit its audit 

program to the NRC for review during the licensing phase. The 

licensee’s program for auditing its radiation safety and security 

programs may be reviewed during inspections.

Need Not Be Submitted With 

Application
B–10

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.3 Radiation Monitoring Instruments

Provide one of the following

• A description of the instrumentation (as described in the 

“Discussion” portion of Section 8.10.3, “Radiation Monitoring 

Instruments” of this NUREG) that will be used to perform 

required radiation surveys and a statement that: “We will use 

instruments that meet the radiation monitoring instrument 

specifications published in Appendix H of NUREG–1556, 

Volume 14, Revision 1, “Consolidated Guidance About 

Materials Licenses: Program-Specific Guidance About Well 

Logging, Tracer, and Field Flood Study Licenses.” We 

reserve the right to upgrade our radiation survey instruments 

as necessary.”

[ ] [ ] [ ]

OR

• A description of the instrumentation (as described in the 

“Discussion” portion of Section 8.10.3, “Radiation Monitoring 

Instruments” of this NUREG) that will be used to perform 

required radiation surveys and a statement that, “We will use 

instruments that meet the radiation monitoring instrument 

specifications published in Appendix H of NUREG–1556, 

Volume 14, Revision 1 “Consolidated Guidance About Materials 

Licenses: Program-Specific Guidance About Well Logging, 

Tracer, and Field Flood Study Licenses.” Additionally, we will 

implement the model radiation survey meter calibration program 

published in Appendix H of NUREG–1556, Volume 14, 

Revision 1. We reserve the right to upgrade our radiation 

survey instruments as necessary.”

[ ] [ ] [ ]

OR

• A description of alternative equipment and procedures for 

ensuring that appropriate radiation monitoring equipment will be 

used during licensed activities and that proper calibration and 

calibration frequency of radiation survey equipment will be 

performed. Further, the statement, “We reserve the right to 

upgrade our radiation survey instruments as necessary” should 

be added to the response.

[ ] [ ] [ ]

10.4 Material Receipt and Accountability

• A statement that: “Physical inventories will be conducted and 

documented at intervals not to exceed 6 months, to account for 

all byproduct materials (sealed sources, tracer materials, and 

unused or waste materials) and depleted uranium received and 

possessed under the license.”

[ ]
B–11

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.4 Material Receipt and Accountability (Continued)

AND

• A statement that: “We will develop, implement, and maintain 

procedures for ensuring accountability of licensed materials at 

all times.”

[ ]

AND

• If applicable, a statement that: “We will comply with the 

National Source Tracking System (NSTS) reporting requirement 

as described in 10 CFR 20.2207, ‘Reports of Transactions 

Involving Nationally Tracked Sources.’”

[ ] [ ]

10.5 Occupational Dosimetry

• A statement that: “Required personnel dosimeters (e.g., film 

badge, TLD, OSL) will be processed and evaluated by an 

NVLAP-accredited entity, will be exchanged at the required 

frequency, and will be assigned to and worn by well logging 

supervisors and logging assistants.”

[ ]

AND

• Provide a statement that “We will develop, maintain, and 

implement a bioassay program when using unsealed 

radioactive tracer materials as recommended in NRC 

Regulatory Guide 8.20, “Applications of Bioassay for 

Radioiodine,” 8.32, “Criteria for Establishing a Tritium Bioassay 

Program,” or other appropriate NRC Regulatory Guide.”

[ ] [ ]

OR

• In lieu of developing a bioassay program, provide a commitment 

that the applicant will contract with a vendor for bioassay 

services, and confirm that the vendor is licensed or otherwise 

authorized by the NRC or an Agreement State to provide 

required bioassay services.

[ ] [ ]

OR

• In lieu of developing a bioassay program, provide a commitment 

that the applicant will not allow any individual to use more than 

(i) 1.85 GBq [50 mCi] of iodine-131 at any one time or in any 

5-day period at field stations or at temporary job sites, (ii) or

more than 3.7 GBq [0.1 curie] of H-3 or (iii) more than 

3700 GBq [100 Ci] of gaseous H-3.

[ ] [ ]
B–12

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.6 Public Dose

No response is required from the applicant in a license application, 

but compliance will be examined during inspection. During NRC 

inspections, licensees must be able to provide documentation, 

demonstrating by measurement or calculation, that the total 

effective dose equivalent to the individual member of the public 

likely to receive the highest dose from licensed operations is less 

than 1 mSv [100 mrem] in a year, and any unrestricted area does 

not exceed 0.02 mSv [2 mrem] in any 1 hour. See Appendix J of 

this NUREG for examples of methods to demonstrate compliance.

Need Not Be Submitted With 

Application

10.7 Operating and Emergency Procedures

Submit written operating and emergency procedures that address 

the important radiation safety aspects, as described in 

10 CFR 39.63, “Operating and emergency procedures.”

[ ] [ ]

OR

Provide an outline or summary of the operating and emergency 

procedures that include the important radiation safety aspects of 

the procedures.

[ ] [ ]

10.8 Leak Tests

• A statement that: “Leak tests sample collection and analysis 

will be performed by an organization authorized by the NRC or 

an Agreement State to provide leak testing services to other 

licensees. Leak tests may be collected by the licensee, using a 

leak test kit supplier’s instructions. Such leak test kits will be 

supplied by an organization authorized by the NRC or an 

Agreement State to provide leak testing services.”

[ ] [ ]

OR

• A statement that: “Leak test sample collection and analysis will 

be done by the applicant.” Provide the information in Appendix 

L of this NUREG supporting a request to perform leak test 

sample collection and sample analysis and either state that 

“The applicant will follow the model procedures in Appendix L of 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance 

About Materials Licenses: Program-Specific Guidance About 

Well Logging, Tracer, and Field Flood Licenses”, or submit 

alternative procedures.

[ ] [ ] [ ]

10.9.1 Maintenance Prior To Use

• A statement that: “Before each use, visual inspections will be 

conducted and records maintained in accordance with 

10 CFR 39.43(a), to ensure that well logging equipment is in 

good working condition and is labeled as required.”

[ ] [ ]
B–13

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.9.1 Maintenance Prior To Use (Continued)

AND

• Submit the procedure(s) for conducting visual inspections. [ ]

10.9.2 Semiannual Visual Inspection and Routine Maintenance

• A statement that: “Semiannual visual inspections and routine 

maintenance will be conducted and records maintained in 

accordance with 10 CFR 39.43(b), to ensure that required 

labeling is legible and that no physical damage is visible.”

[ ] [ ]

AND

• Submit the procedure(s) for conducting semiannual visual 

inspections and routine maintenance.

[ ]

10.9.3 Maintenance Requiring Special Authorization

• A statement that: “Activities described in 10 CFR 39.43(c) and 

(d) will not be conducted unless written detailed procedures have 

been approved by the NRC.”

[ ] [ ]

OR

• Submit detailed procedures for any activities described in 10 CFR 

39.43(c) and (d), including radiation safety precautions that 

individuals will be expected to follow when performing these tasks 

and the minimum qualifications of these individuals. Each 

different task must be described. Should a procedure require the 

removal of the sealed source from the holder before performing 

any maintenance on the holder, applicants should describe the 

removal procedures.

[ ] [ ] [ ]

10.10 Transportation

• Submit operating and emergency procedures for transporting well 

logging sealed sources containing radioactive material, and field 

flood and tracer radioactive materials.

[ ]

10.11 Minimization of Contamination

• The applicant does not need to provide a response to this item if 

the applicant provides responses to the following sections of this 

NUREG that meet the “Response from Applicant” criteria from 

those sections: 8.5.1, “Radioactive Material—Sealed Radioactive 

Material;” 8.5.2, “Radioactive Material—Unsealed (Tracer) 

Radioactive Material;” 8.9, “Facilities and Equipment;” 8.10.8, 

“Radiation Safety Program—Leak Tests;” 8.10.7, “Radiation 

Safety Program—Operating and Emergency Procedures;” 

8.10.13, “Radiation Safety Program—Subsurface Tracer 

Studies;” and 8.11, “Waste Management.”

No Response is 

Necessary for this 

Section
B–14

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.11 Minimization of Contamination (Continued)

OR

• The applicant should submit its procedures to conduct 

decontamination of a facility contaminated by a leaking sealed 

source or contaminated by unsealed material with a half-life 

greater than 120 days.

[ ] [ ] [ ]

10.12.1 Use of Sealed Sources in Drill-to-Stop (DTS) (Wireline) Well 

Logging Operations

• Submit operating and emergency procedures for conducting DTS 

well logging operations. Procedures must address radiation 

safety aspects when conducting DTS well logging operations.

[ ]

10.12.2 Use of Sealed Sources in Measurement While Drilling (MWD) or 

Logging While Drilling (LWD) Well Logging Operations

• Submit operating and emergency procedures for conducting 

MWD and LWD well logging activities. Procedures must address 

radiation safety aspects when conducting MWD and LWD well 

logging operations.

[ ]

10.12.3 Energy Compensation Sources (ECS)

• Submit a statement that “We will test ECSs requiring leak tests at 

intervals not to exceed 3 years and we will conduct physical 

inventories of ECSs at least every 6 months. We will maintain 

physical inventory and material use records in accordance with 

10 CFR 39.37, “Physical Inventory,” and 10 CFR 39.39 “Records 

of Material Use.”

[ ]

10.12.4 Use of Sealed Sources and/or Neutron Generators in Fresh 

water Aquifers

• A statement that: “We will not use sealed sources and/or neutron 

generators for conducting well logging operations in fresh water 

aquifers.”

[ ] [ ]

OR

• Submit step-by-step operating and emergency procedures for 

conducting well logging activities using sealed sources and/or 

neutron generators in fresh water aquifers that meet the criteria in 

Section 8.10.12.4 of NUREG–1556, Volume 14, Revision 1, 

“Consolidated Guidance About Materials Licenses: ProgramSpecific Guidance About Well Logging, Tracer, and Field Flood 

Licenses,” 10 CFR 39.55, and 10 CFR 39.63.”

[ ] [ ] [ ]

10.13.1 Tracer Studies in Single Well Applications

• A statement that: “We will not perform tracer studies in single 

well applications.”

[ ] [ ]
B–15

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.13.1 Tracer Studies in Single Well Applications (Continued)

OR

• A statement that: “We will perform tracer studies in single well 

applications and have submitted step-by-step operating and 

emergency procedures for conducting tracer studies in single well 

applications that meet the guidance in Section 8.10.13.1 of 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance 

About Materials Licenses: Program-Specific Guidance About Well 

Logging, Tracer, and Field Flood Licenses,” 10 CFR 39.45, and 

10 CFR 39.63.”

[ ] [ ]

10.13.2 Field Flood and Secondary Recovery Applications (Tracer 

Studies in Multiple Wells)

• A statement that, “Field flood studies using tracer materials will not 

be conducted.”

[ ] [ ]

OR

• A statement that, “Field flood studies using tracer materials will be 

conducted and we have submitted step-by-step procedures and 

information required in Section 8.10.13.2 and Appendix D, “Field 

Flood Studies/Enhanced Recovery of Oil and Gas Wells” of 

NUREG–1556, Volume 14, Revision 1, “Consolidated Guidance 

About Materials Licenses: Program-Specific Guidance About Well 

Logging, Tracer, and Field Flood Licenses.””

[ ] [ ] [ ]

10.13.3 Tracer Studies in Fresh Water Aquifers

• A statement that: “We will not knowingly inject tracer material into 

a fresh water aquifer”

[ ] [ ]

OR

• A statement that: “We request authorization to inject tracer 

material into a fresh water aquifer involving secondary and tertiary 

oil and gas recovery and have submitted our reasons for 

performing the study and procedures to safeguard the public, 

licensee personnel, and the environment, and will provide an 

environmental report containing the information outlined in 

10 CFR 51.45, “Environmental report.”

[ ] [ ] [ ]

10.13.4 Frac-Tagging Operations

• A statement that: “We will not perform frac-tagging operations.” [ ] [ ]

OR

• A statement that: “We will perform frac-tagging operations and 

have submitted step-by-step operating and emergency procedures 

that include the following:

[ ] [ ] [ ]
B–16

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.13.4 Frac-Tagging Operations (Continued)

— Receiving, controlling, and handling tracer material during well 

injections.

[ ] [ ] [ ]

— Handling, controlling, and disposing of any unused tracer 

materials.

[ ] [ ] [ ]

— Securing, maintaining control, and posting of areas involved 

with frac-tagging operations using radioactive materials.

[ ] [ ] [ ]

• Containment and/or decontamination of a spill or “sandout” (or 

“fluid reversal”) involving tracer material during frac sand 

operations. The procedure includes, among other items, radiation 

surveys, licensee contact information, steps to be taken by the 

licensee and the client in the event that a “sandout” (or “fluid 

reversal”) occurs when the licensee has already left the client’s 

site, and steps to be taken by the licensee and the client to 

evaluate flowback or production wastes for the presence of tracer 

material.

[ ] [ ] [ ]

• Disposal of radioactive materials resulting from frac-tagging 

operations (such as a sandout, fluid reversal, or flowback) at (i) a 

licensed low level radioactive waste disposal facility; (ii) decay-instorage using holding tanks and subsequent unrestricted release; 

or (iii) a request for alternate waste disposal under 10 CFR 

20.2002, “Method for Obtaining Approval of Proposed Disposal 

Procedures.” The procedure includes a description of who will be 

responsible for the disposal of radioactive materials resulting from 

frac-tagging operations occurring at client’s facilities, and the 

method for making a determination of the concentration of licensed 

material (picocuries/gram) in these operations.

[ ] [ ] [ ]

• Actions to be taken in the event of an explosion, leak and 

contamination event, and the incapacitation of a lone well logging 

supervisor.”

[ ] [ ] [ ]

10.14 Radioactive Collar and Subsidence or Depth Control Markers

• A statement that: “We will only use radioactive markers where 

each individual marker contains only quantities of licensed material 

not exceeding the exempt quantities authorized in 10 CFR 30.71, 

“Schedule B.”

[ ] [ ]

10.15 Neutron Accelerators Using Licensed Material

• A statement that: “We will not use neutron generators 

(accelerators) in our well logging operations.”

[ ] [ ]
B–17

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.15 Neutron Accelerators Using Licensed Material (Continued)

OR

• A statement that: “We will use neutron generators (accelerators) in 

accordance with the guidance in Section 8.10.15 of NUREG–1556, 

Volume 14, Revision 1, “Consolidated Guidance About Materials 

Licenses: Program-Specific Guidance About Well Logging, Tracer, 

and Field Flood Licenses” and will provide step-by-step operating 

and emergency procedures for NRC review. Calibration of neutron 

generators will be performed by an NRC or Agreement State 

licensee that is specifically authorized to conduct this activity.”

[ ] [ ] [ ]

OR

• A statement that: “We will use neutron generators (accelerators) in 

accordance with the guidance in Section 8.10.15 of NUREG–1556, 

Volume 14, Revision 1, “Consolidated Guidance About Materials 

Licenses: ProgramSpecific Guidance About Well Logging, Tracer, 

and Field Flood Licenses” and will provide step-by-step operating 

and emergency procedures for NRC review. We will perform 

calibration of neutron generators and will provide step-by-step 

procedures for conducting calibration of neutron generators for 

NRC review.”

[ ] [ ] [ ]

10.16 Depleted Uranium Sinker Bars

• A statement that: “We will not use depleted uranium sinker bars in 

our well logging operations.”

[ ] [ ]

OR

• A statement that: “Depleted uranium sinker bars will be obtained 

under the provisions of a general license per 10 CFR 40.51, 

‘Transfer of source or byproduct material,’ and registration form 

NRC Form 244 will be filed, as required.”

[ ] [ ]

OR

• A statement that: “Depleted uranium sinker bars will be obtained 

under a specific license.” Include the specific number of kilograms 

of material being requested.”

[ ] [ ] [ ]

AND

• A statement that: “Uranium sinker bars will be possessed and 

inspected as specified in Section 8.10.16 of NUREG–1556, Volume 

14, Revision 1, “Consolidated Guidance About Materials Licenses: 

Program-Specific Guidance About Well Logging, Tracer, and Field 

Flood Licenses.””

[ ] [ ]
B–18

Item 

No. Title and Criteria Yes N/A

Description 

Attached

10. RADIATION SAFETY PROGRAM (Continued)

10.17 Security Program for Category 1 and Category 2 Materials

• No response is required from an applicant or licensee. 

Compliance with access authorization and security program 

requirements may be reviewed during NRC inspections.

Need Not Be Submitted 

With Application

11. Waste Management

• A statement that: “We will use sealed and/or unsealed 

radioactive materials with a half-life greater than 120 days, and 

will transfer or dispose of the material and contaminated waste 

to a licensed entity authorized to receive the material.”

[ ] [ ]

AND

• A statement that: “We will use the model waste procedures 

published in Appendix N of NUREG–1556, Volume 14, 

Revision 1, “Consolidated Guidance About Materials Licenses: 

Program-Specific Guidance About Well Logging, Tracer, and 

Field Flood Study Licenses,” for disposing of radioactive 

materials and contaminated waste.”

[ ] [ ]

OR

• A statement that: “We will provide our procedures for waste 

collection, storage, and disposal by any of the authorized 

methods described in Section 8.11 of NUREG–1556, 

Volume 14, Revision 1, “Consolidated Guidance About 

Materials Licenses: Program-Specific Guidance About Well 

Logging, Tracer, and Field Flood Study Licenses”.”

[ ] [ ]

OR

• If needed, the applicant should request authorization for 

extended interim storage of waste.

[ ] [ ] [ ]

OR

• Provide proposed alternate waste disposal procedures for a 

method not described in Section 8.11 of this NUREG following 

10 CFR 20.2002, “Method for obtaining approval of proposed 

disposal procedures.”

[ ] [ ] [ ]
APPENDIX C

CHECKLIST FOR LICENSE APPLICATION

C–1

Checklist for License Application

Well Logging Application

REVIEWER CHECKLIST

Date: 

CONTENTS OF APPLICATION

ITEM 8.1 TYPE OF APPLICANT/LICENSEE 

Type of Action License No.

[ ] A. New License Not Applicable

[ ] B. Amendment

[ ] C. Renewal

ITEM 8.2 NAME OF APPLICANT/LICENSEE

LEGAL NAME:___________________________________________________

MAILING ADDRESS: _____________________________________________

ITEM 8.3 LOCATION OF USE

[ ] Address listed above

[ ] Field Stations (Street Address, City, State, and Zip Code):

( ) ___________________________________

( ) ___________________________________

( ) ___________________________________

[ ] Temporary Job Sites

[ ] See attached list

ITEM 8.4 CONTACT PERSON

NAME: ________________________________________________________

TELEPHONE NUMBER: __________________________________________

ITEMS 8.5-8.6 RADIOACTIVE MATERIAL TO BE POSSESSED/*REQUESTED USE 

OF MATERIALS

[ ] Energy Compensation Sources (ECS)

[ ] tracer materials

[ ] well logging sealed sources (MWD/LWD/DTS)

[ ] radioactive collar/subsidence/depth markers
C–2

[ ] depleted uranium

[ ] neutron accelerator targets

[ ] sealed sources for use above ground for other than well 

logging applications

SEALED MATERIALS

[ ] Identify each radionuclide (element name and mass number) that will be 

used in each sealed source.

[ ] Provide the manufacturer’s (distributor’s) name and model number for 

each sealed source and, if applicable, device requested.

[ ] Confirm that the activity per source and maximum activity in each device 

will not exceed the maximum activity listed on the approved certificate of 

registration issued by the NRC or by an Agreement State.

[ ] Confirm that each sealed source, device, and source/device combination 

is registered as an approved sealed source or device by the NRC or an 

Agreement State.

UNSEALED TRACER MATERIAL (Volatile & Nonvolatile)

[ ] Provide element name with mass number, chemical and/or physical form, 

and maximum requested possession limit.

[ ] Provide information for volatile materials, if known, on the anticipated 

rate of volatility or dispersion. This information may be obtained from the 

tracer material vendor, supplier, or manufacturer.

SEALED SOURCES

Radioisotope

Mfg./Model No.

SSD Certificate No.

Quantity 

(Curies/MBq/GBq) *Use
C–3

UNSEALED TRACER MATERIALS

Radioisotope

-Chemical/Physical 

Form

-Max. Amount Used 

Per Injection

Quantity

(Curies/MBq/GBq) *Use

Volatility/

Dispersion

*MATERIAL USE LEGEND

O=Oil Well Logging

G=Gas Well 

Logging

M=Mineral Well 

Logging

T=Tracer Studies in 

single wells

FF=Field Flood or 

Enhanced 

Recovery 

Operations

N=Neutron 

Generators

C=Calibration 

Sources in above 

ground 

applications

FINANCIAL ASSURANCE

[ ] Financial assurance not required

[ ] Financial assurance required and financial assurance documents

submitted for review

[ ] Decommissioning records file established

ITEM 8.7 RESPONSIBLE INDIVIDUALS

Corporate Organization Chart Submitted for Review:

Radiation Safety Organizational Chart Submitted for Review:

Name(s) of responsible individual(s)

[ ] Title(s) of individual(s)

[ ] Training of individual(s)

[ ] Experience (1-year minimum)
C–4

Radiation Safety Officer Information:

[ ] Name [ ] Experience [ ] Training

[ ] Independent

Authority to stop

unsafe operations

[ ] Organizational Chart (Day-to-Day Radiation Safety Positions) provided 

[ ] Alternative Training and Experience, if applicable

[ ] See Appendix for the minimum RSO duties and responsibilities

ITEM 8.8 TRAINING FOR WELL LOGGING SUPERVISORS AND WELL 

LOGGING ASSISTANTS 

LOGGING ASSISTANT TRAINING [10 CFR 39.61(b)] and (d)

[ ] In-house Training:

( ) Received copies of Parts 19, 20, & OE Procedures

( ) Classroom instruction in Parts 19 & 20 (2-4 h)

( ) Instruction in the use of licensed materials, remote handling tools, 

radiation survey equipment, etc. (1-2 h)

( ) Successfully completed a verbal or written examination

( ) Exam with key 

Minimum passing grade %

( ) Records maintained for 3 years (copies of quizzes and dates of 

oral examinations)

LOGGING SUPERVISOR TRAINING [10 CFR 39.61(a) and (d)]

[ ] 10 CFR 39.61(e) Topics, by vendor

Vendor(s) Name: 

[ ] Instructor’s Name: 

[ ] Instructor’s Qualifications:

[ ] Classroom Training Conducted by Licensee (~24 h):

( ) 10 CFR 39.61(e) Topics:

< > Fundamentals of radiation safety

< > Characteristics of radiation

< > Units of radiation dose and quantity of radiation

< > Hazard of exposure

< > Levels of radiation for licensed material

< > Methods of controlling radiation dose 

(time, distance, shielding)
C–5

< > Radiation safety practices, including prevention of 

contamination, and methods of decontamination

( ) Radiation detection instruments:

< > Use

< > Operation

< > Calibration

< > Instrument limitations

< > Survey techniques

< > Use of personnel monitoring

( ) Equipment to be used:

< > Operation of equipment, including:

□ Source handling equipment

□ Remote handling tools

< > Storage, control, and disposal of licensed material

< > Maintenance of equipment

( ) Federal regulations

( ) Case histories

[ ] In-house Classroom Training (~8 h):

( ) 10 CFR 19, 20, & 39

( ) OE Procedures (10 CFR 39.63)

( ) License

( ) ~8 h of classroom instruction in the above

( ) Successfully completed a written examination

Minimum passing grade %

Exam Key

( ) In-house instructor qualifications

( ) Maintain for 3 years copies of written quizzes

( ) Field training

( ) Field/practical exam

[ ] On-the-job Training:

( ) 3 months [520 h]

( ) 1 month [160 h] mineral well logging

( ) 50 tracer operations or 3 months OJT

[ ] Logging supervisors with previous training
C–6

ALTERNATIVE TO DESCRIBING A TRAINING PROGRAM

[ ] Identify each individual to be specified on the license as logging 

supervisor or logging assistant

[ ] For each individual identified, provide the following:

( ) Copies of graded tests

( ) Certificate of course completion

( ) Details of previous well logging work experience

ANNUAL SAFETY REVIEW (REFRESHER TRAINING) [10 CFR 39.61(c) 

and (d)]

[ ] Description of topics covered

[ ] Instructor name

ANNUAL JOB PERFORMANCE AUDIT OF WELL LOGGING 

SUPERVISORS [10 CFR 39.13(d)]

[ ] Description of the program

[ ] Discussion of management action

[ ] Commitment to inspect each logging supervisor at intervals not to 

exceed 1 year

[ ] Inspections made on-the-job and unannounced

[ ] Commitment that an individual who has not performed logging for more 

than 1 year will be inspected the first time that person engages in 

logging operations

[ ] Name, training, and experience of each person who will 

conduct inspection

ITEM 8.9 FACILITIES AND EQUIPMENT

Facility: For Each Field Station

[ ] Sketch/drawing to scale of the facility and all work areas where materials 

(tracer and/or sealed source) will be used or stored

[ ] Identify the following, where applicable:

( ) Areas where explosive, flammable, or other hazardous 

materials stored

( ) Buildings

( ) Boundary lines

( ) Security fences

( ) Local Lockable storage areas

( ) Distance between restricted areas and adjacent unrestricted areas
C–7

( ) Specify in the sketch/drawing the shielding material used

( ) For tracer and/or sealed sources, sketch/drawing of:

< > Locked storage container

< > Underground storage bunker

< > Security of licensed materials

Facility: For Tracer Authorization, Provide

[ ] Ready Usage ONLY of “precalibrated amounts” or “ready-to-use” forms

[ ] Usage of OTHER than “precalibrated amounts” or “ready-to-use” forms

( ) Describe equipment for “repackaging” gaseous, volatile, or finely 

divided tracer (field station and/or temporary job site)

< > Sinks

< > Tray with absorbent material

< > Glove boxes

< > Fume hoods with charcoal filtration

< > Filtered exhaust

< > Special handling equipment and tools

< > Rubber gloves, face shield, respirator, coveralls, absorbent 

material, plastic bags, secondary container for waste storage 

for decontamination purposes

[ ] Description of injection equipment

[ ] Bench top preparation

( ) Describe laboratory areas for sample preparation

< > Hoods

< > Hood filters

< > Sinks

< > Trays with absorbent materials

< > Remote handling tools

< > Rubber gloves

[ ] Storage provisions

( ) Describe and provide a drawing of storage facilities:

( ) Storage of waste materials included

( ) Security provisions

( ) Adequate shielding
C–8

[ ] General safety equipment available at temporary job sites: 

[10 CFR 39.45(a)]

( ) rubber gloves

( ) face shield

( ) respirator

( ) coveralls

( ) auxiliary shielding

( ) absorbent material

( ) secondary container for waste storage for 

decontamination purposes

( ) plastic bags

[ ] Description of laundry facility for contaminated clothing, etc. Description 

of how contaminated waste water from laundry facility will be disposed.

[ ] Description of decontamination facilities for trucks, tracer injection tools, 

or other equipment contaminated by tracer materials.

Facility: Records

[ ] State the physical location where NRC regulatory required records will be 

stored and available for review during NRC inspections.

Facility: Security

[ ] If applicable, confirmation that the applicant will have in place the 

requirements of 10 CFR Part 37, “Physical protection of category 1 and

category 2 quantities of radioactive material,” for the proposed field 

station(s) before the NRC performs the initial security inspection.

[ ] If applicable, confirmation that the applicant will have a program in place 

to monitor and, without delay, detect, assess, and respond to 

unauthorized access to radioactive material quantities of concern and/or 

devices for the proposed field station(s) before the NRC performs the 

initial security inspection.

[ ] If applicable, the applicant will coordinate, to the extent practicable, with 

LLEA regarding a prearranged plan for assistance in response to an 

actual or attempted theft, sabotage, or diversion of radioactive material 

quantities of concern and/or devices for the proposed field station(s) 

before the NRC performs the initial security inspection.

ITEM 8.10 RADIATION SAFETY PROGRAM

ITEM 8.10.1 AGREEMENT WITH WELL OWNER/OPERATOR [10 CFR 39.15]

[ ] Elements of the Agreement (sealed sources):

( ) A reasonable effort be made to recover the source
C–9

( ) A person not attempt to recover a lodged sealed source in a manner 

which, in the licensee’s opinion, could result in its rupture

( ) Radiation monitoring be conducted during recovery operations

( ) Contaminated equipment, personnel, or environment be 

decontaminated before release from site or before released for 

unrestricted use

( ) Irretrievable classified sources:

< > Immobilized and sealed in place

< > Means to prevent inadvertent intrusion on the source

< > Permanent identification plaque with regulatory required 

information per 10 CFR 39(a)(5)(iii)

( ) Agreement refers to 10 CFR 39.15(a)

( ) Blanket agreement

( ) Emergency Abandonment of DTS or MWD/LWD sealed sources

( ) Abandonment of Neutron Generator with activity greater than

110 GBq [30 Ci]

( ) Abandonment of ECSs with activity greater than 3.7 MBq [100 μCi]

( ) Elements of the Agreement (unsealed material):

( ) Immediately contact well owner or operator if there are well returns 

after a tracer study has been performed

( ) Implement operating and emergency procedures for dealing with 

sandouts and well returns

( ) Conduct radiation monitoring as required by 10 CFR 39.69(a)

( ) Decontaminate environment, equipment, or personnel before 

releasing site or before releasing for unrestricted use

( ) Implement approved procedures for disposal of sandout and well 

returns material

ITEM 8.10.2 RADIATION SAFETY PROGRAM AUDIT

[ ] Reviewed on an annual basis

( ) ALARA

( ) NRC/DOT regulations and license

( ) Occupational/Public Doses

[ ] Audit program not submitted, but available for inspection by the NRC

[ ] Appendix E of NUREG–1556, Volume 14, Revision 1 reviewed

ITEM 8.10.3 RADIATION MONITORING INSTRUMENTS [10 CFR 39.33(a)]

[ ] 0.1-50 mR/h
C–10

[ ] Type of instruments (GM, ion chamber, scintillation)

[ ] Type of radiation detected (α, β, γ, neutron)

[ ] Availability of radiation survey instrument pursuant to 10 CFR 39.33(b)

Radiation Survey 

Instrument

• Manufacturer

• Model No.

• # Available

• Type

– GMI on-chamber

– Scintillation

Instrument Probes

• Model No.

Range

• CPM

• DPM

• mr/h

• μR/h

Radiation Detected

• α

• β

• γ

• neutron

Counting Equipment For:

• Analysis of Contamination Swipes

• Analysis of Bioassay Samples

Calibration 

Standards

Minimum 

Detectable Activity

Special Equipment

• Air Samplers

• Direct Reading Dosimeters

• Condenser R meter

# Available Description

CALIBRATION OF RADIATION DETECTION INSTRUMENTS 

[10 CFR 39.33(c)]

[ ] 6-month calibration frequency

[ ] In-house

[ ] By manufacturer

[ ] By outside firm

Name: ____________________________________

License No.: ________________________________

[ ] Calibration procedures in Appendix H of NUREG–1556, Volume 14, 

Revision 1 adopted 

[ ] Alternative calibration procedures for radiation detection instruments 

provided for NRC review

ITEM 8.10.4 MATERIAL RECEIPT AND ACCOUNTABILITY/PHYSICAL INVENTORY 

[10 CFR 39.37]

[ ] Semiannual frequency

[ ] Maintain records of receipt, transfer, and disposal in accordance with 

10 CFR 30.51, “Records”

[ ] Required Information

( ) Quantity and kind of licensed material (Sealed Source/Tracer)
C–11

( ) Location of licensed material

( ) Date of inventory

( ) Name of individual conducting inventory

( ) Inventory records for sealed sources may be combined with leak 

test records

( ) National Source Tracking System (NSTS) reporting requirement

ITEM 8.10.5 OCCUPATIONAL DOSE [10 CFR 39.65(a)]

( ) TLD

( ) Film

( ) OSL-Note: Exemption should be requested

( ) Neutron capability

( ) NVLAP-Accredited

( ) Exchange frequency

< > Monthly

< > Quarterly

BIOASSAYS [10 CFR 39.65(b)]

[ ] Procedures in RG 8.20 adopted for conducting bioassays

[ ] Commitment not to expose any individual to 50 mCi of I-131 at a time or 

in any 5 days

[ ] Commercial Service:

( ) Name: 

( ) License No.: 

ITEM 8.10.6 PUBLIC DOSE

[ ] No response required

[ ] Appendix J of NUREG–1556, Volume 14, Revision 1 reviewed

ITEM 8.10.7 OPERATING AND EMERGENCY PROCEDURES [10 CFR 39.63]

[ ] Instructions for handling and using licensed materials, including sealed 

sources in wells, without surface casing for protecting fresh water aquifers

[ ] Instructions for maintaining security during storage and transportation

[ ] Instructions to keep licensed material under control and immediate 

surveillance during use

[ ] Steps to take to keep radiation exposures ALARA

[ ] Steps to maintain accountability during use
C–12

[ ] Steps to control access to work sites

[ ] Steps to take and whom to contact when an emergency occurs

[ ] Instructions for using remote handling tools when installing into well 

logging tools or handling sealed sources when returning them to their 

transport containers. Although good information, instructions are not 

necessary when handling low-activity calibration sources and radioactive 

tracer materials.

[ ] Methods and occasions for conducting radiation surveys, including 

surveys for detecting contamination, as required by 10 CFR 39.67(c)-(e)

[ ] Procedures to minimize personnel exposure during routine use and in the 

event of an incident, including exposures from inhalation and ingestion of 

licensed tracer materials

[ ] Methods and occasions for locking and securing stored licensed materials

[ ] Personnel monitoring, including bioassays, and the use of personnel 

monitoring equipment

[ ] Transportation of licensed materials to field stations or temporary job 

sites, packaging of licensed materials for transport in vehicles, placarding 

of vehicles when needed, and physically securing licensed materials in 

transport vehicles during transportation to prevent accidental loss, 

tampering, or unauthorized removal

[ ] Procedures for picking up, receiving, and opening packages containing 

licensed materials, in accordance with 10 CFR 20.1906, “Procedures for 

receiving and opening packages”

[ ] Instructions for the use of tracer materials, how to decontaminate the 

environment, equipment, and personnel

[ ] Instructions for maintaining records in accordance with the regulations 

and the license conditions

[ ] Steps for the use, inspection, and maintenance of sealed sources, source 

holders, logging tools, injection tools, source handling tools, storage 

containers, transport containers, and uranium sinker bars, as required by 

10 CFR 39.43, “Inspection, maintenance, and opening of a source or 

source holder”

[ ] Procedures for identifying and reporting to the NRC defects and 

noncompliance, as required by 10 CFR 21.21(a)

[ ] Actions to be taken if a sealed source is lodged in a well

[ ] Procedures and actions to be taken if a sealed source is ruptured, 

including actions to prevent the spread of contamination and minimize 

inhalation and ingestion of licensed materials and actions to obtain 

suitable radiation survey instruments, as required by 10 CFR 39.33(b). 

Key elements described in Appendix O of NUREG–1556, Volume 14, 

Revision 1 are addressed in the procedures.

[ ] Instructions for the proper storage and disposal of radioactive waste
C–13

[ ] Procedures for laundering contaminated clothing and for decontaminating 

equipment and vehicles

[ ] Procedures to be followed in the event of uncontrolled release of 

radioactive tracer material to the environment, including notification of the 

RSO, NRC, and other Federal and State agencies

ITEM 8.10.8 LEAK TESTING [10 CFR 39.35]

[ ] Vendor(s) Name: _____________________________________

Address: ___________________________________________

Agreement State/NRC License No.: ____________________________

[ ] Leak test kit

[ ] Leak testing conducted in-house using Appendix L of NUREG–1556, 

Volume 14, Revision 1 procedures

[ ] Alternative leak testing procedures submitted for NRC review

ITEM 8.10.9 MAINTENANCE

[ ] Daily visual inspection and 6-month routine maintenance

[10 CFR 39.43(a)-(b)]

( ) source holders

( ) logging tools

( ) injection tools

( ) source handling tools

( ) storage containers

( ) transport containers

( ) uranium sinker bars

[ ] Defects [10 CFR 39.43(a)]

( ) Repairs made and recorded, or equipment taken out of service

( ) Operation performed by logging supervisor

SEMIANNUAL VISUAL INSPECTION AND MAINTENANCE 

[10 CFR 39.43(b)]

[ ] 6-month

( ) Defects [10 CFR 39.43(b)]

( ) Repairs made and recorded, or equipment taken out of service

( ) Operation performed by logging supervisor
C–14

REMOVAL OR MAINTENANCE ON A SEALED SOURCE OR HOLDER

[10 CFR 39.43(c)]

[ ] Services performed by manufacturer

[ ] Performed by individual licensed by Agreement State/NRC

[ ] Performed by licensee

( ) Detailed procedures for each task provided for NRC review

( ) Radiation safety precautions outlined in O&E procedures

SEALED SOURCES STUCK IN A SOURCE HOLDER [10 CFR 39.43(d)]

[ ] Performed by licensed equipment manufacturer

[ ] Performed by individual licensed by Agreement State/NRC

[ ] Performed by licensee

( ) Detailed procedures for each task provided for NRC review

( ) Radiation safety precautions outlined in O&E procedures

OPENING, REPAIR, OR MODIFICATION OF SEALED SOURCES

[10 CFR 39.43(e)]

[ ] Performed by Agreement State/NRC-licensed firm

[ ] Performed by licensee

( ) Detailed procedures for each task provided for NRC review

( ) Radiation safety precautions outlined in O&E procedures

ITEM 8.10.10 TRANSPORTATION

[ ] No response required; DOT regulations will be followed

[ ] Appendix M of NUREG–1556, Volume 14, Revision 1 reviewed

ITEM 8.10.11 MINIMIZATION OF CONTAMINATION [10 CFR 39.69]

[ ] Implementation of and adherence to good health physics practices while 

performing operations

[ ] Minimization of distance to areas, to the extent practicable, where 

licensed materials are used and stored

[ ] Maximization of survey frequency, within reason, to enhance detection of 

contamination

[ ] Segregation of radioactive material in waste storage areas

[ ] Segregation of sealed sources and tracer materials to prevent crosscontamination

[ ] Separation of radioactive material from explosives
C–15

[ ] Separation of potentially contaminated areas from clean areas by barriers 

or other controls

[ ] Decontamination of a facility contaminated by a leaking source or 

contaminated by unsealed material with a half-life greater than 120 days 

will not be conducted by the licensee but instead will be conducted by an 

NRC or Agreement State licensee that is specifically authorized to 

conduct these activities.

[ ] Request to Conduct Major Decontamination Activities of a Facility 

Contaminated by a Leaking Source or contaminated by unsealed material 

with a half-life greater than 120 days

( ) Instructions to personnel on how to determine presence of 

contamination through surveys

( ) Levels of contamination

( ) Decontamination operating and emergency procedures

( ) Decontamination equipment

( ) Prevention of contamination of personnel during decontamination

( ) How to handle contaminated waste materials

( ) Resurveying of contaminated area to determine effectiveness

( ) Records of survey:

( ) Before

( ) After

( ) Contact person

[ ] Decontamination activities will be conducted by outside sources licensed 

by NRC or an Agreement State to conduct these activities.

ITEM 8.10.12 SEALED SOURCES

USE OF SEALED SOURCES IN DRILL-TO-STOP WELL 

LOGGING OPERATIONS

[ ] Step-by-step O&E procedures provided for NRC review

[ ] Summary or outline addressing important aspects of O&E procedures 

provided for review 

[ ] For use of sealed sources in well without surface casing

( ) Knowledge of borehole conditions

( ) Caliper log

( ) Running dummy tool log

( ) Temporary casing
C–16

USE OF SEALED SOURCES IN MWD/LWD WELL LOGGING OPERATIONS

[ ] Step-by-step O&E procedures provided for NRC review

[ ] Summary or outline addressing important aspects of O&E procedures 

provided for review

ENERGY COMPENSATION SOURCES

[ ] Step-by-step O&E procedures provided for NRC review

[ ] Summary or outline addressing important aspects of O&E procedures 

provided for review 

( ) Instructions for testing ECSs requiring leak tests at intervals not to 

exceed 3 years

( ) Instructions for conducting physical inventories of ECSs at least 

every 6 months

( ) A system for maintaining inventory records required by 

10 CFR 39.37, “Physical Inventory,”

( ) A system for maintaining records of use for ECSs

[ ] For use of ECSs in well without surface casing

( ) Knowledge of borehole conditions

( ) Caliper log

( ) Running dummy tool log

( ) Temporary casing

USE OF SEALED SOURCES AND/OR NEUTRON GENERATORS IN FRESH

WATER AQUIFERS

[ ] Applicant will not use sealed sources and/or neutron generators for 

conducting well logging operations in fresh water aquifers

[ ] Step-by-step O&E procedures provided for NRC review. Procedures 

meet the criteria in Section 8.10.12.4 of NUREG–1556, Volume 14, 

Revision 1; 10 CFR 39.55, “Tritium neutron generator target source;” and 

10 CFR 39.63, “Operating and emergency procedures.”

ITEM 8.10.13 SUBSURFACE TRACER STUDIES

TRACER STUDIES IN SINGLE WELL APPLICATIONS [10 CFR 39.45]

[ ] Methods and occasions for conducting radiation surveys

[ ] Methods and occasions for locking and securing tracer materials

[ ] Personnel monitoring and the use of personnel monitoring equipment

[ ] Transportation to temporary job sites and field stations, including the 

packaging and placing of tracer materials in vehicles, placarding of 

vehicles, and securing tracer materials during transportation
C–17

[ ] Procedures for minimizing exposure to members of the public and 

occupationally exposed individuals in the event of an accident

[ ] Maintenance of records at field stations and temporary job sites

[ ] Use, inspection, and maintenance of equipment (e.g., injector tools, 

remote handling tools, transportation containers)

[ ] Procedures to be used for picking up, receiving, and opening packages 

containing radioactive material

[ ] Decontamination of the environment, equipment, and personnel

[ ] Notifications of proper personnel in the event of an accident

FIELD FLOOD AND SECONDARY RECOVERY APPLICATIONS

[ ] Field flood or Secondary Recovery Applications will not be conducted

[ ] Agreement with well operator or owner, although not required by NRC 

regulations, is a good practice

[ ] Field flood study project design

[ ] Preinjection phase of the field flood project

[ ] Injection phase

[ ] Postinjection phase

[ ] Emergency procedures

[ ] Reporting and recordkeeping requirements

[ ] Waste management

[ ] Methods and occasions for conducting radiation surveys

[ ] Methods and occasions for locking and securing tracer materials

[ ] Personnel monitoring and the use of personnel monitoring equipment

[ ] Transportation to temporary job sites and field stations, including the 

packaging and placing of tracer materials in vehicles, placarding of 

vehicles, and securing tracer materials during transportation

[ ] Procedures for minimizing exposure to members of the public and 

occupationally exposed individuals in the event of an accident

[ ] Maintenance of records at field stations and temporary job sites

[ ] Use, inspection, and maintenance of equipment (e.g., injector tools, 

remote handling tools, transportation containers)

[ ] Procedures to be used for picking up, receiving, and opening packages 

containing radioactive material

[ ] Decontamination of the environment, equipment, and personnel

[ ] Notifications of proper personnel in the event of an accident

[ ] Information requested in Appendix D of NUREG–1556, Volume 14, 

Revision 1 provided
C–18

TRACER STUDIES IN SINGLE WELL APPLICATIONS IN FRESH WATER 

AQUIFERS [10 CFR 39.45]

[ ] Tracer Studies in Single Well Application will not be conducted in Fresh

water Aquifers

[ ] Tracer Studies in Single Well Application will be conducted in Fresh water

Aquifers, and an environmental report is provided for the NRC’s review

FRAC-TAGGING OPERATIONS

[ ] Frac-tagging operations will not be conducted

[ ] Procedures for receiving, controlling, and handling fracking material 

during well injections

[ ] Procedures for handling controlling, and disposing of unused fracking 

materials

[ ] Procedures for containment and decontamination and disposal of spilled 

fracking materials

ITEM 8.10.14 RADIOACTIVE COLLAR AND SUBSIDENCE OR DEPTH CONTROL 

MARKERS [10 CFR 39.47]

[ ] Operating and emergency procedures must include a commitment that 

radioactive markers can be used only where each individual marker 

contains quantities of licensed material not exceeding the quantities 

identified in 10 CFR 30.71, “Schedule B”

[ ] Licensees are not restricted to using only one marker, and may use 

multiple markers in each pipe joint, provided each individual marker 

(wires, tape, nails, etc.) is not greater than the quantities identified in 

10 CFR 30.71

[ ] Provisions included in O&E procedures to ensure that radioactive 

markers be physically inventoried at intervals not to exceed 6 months, as 

specified in 10 CFR 39.37

ITEM 8.10.15 NEUTRON ACCELERATORS USING LICENSED MATERIAL

[ ] Neutron generator tubes are not considered well logging sealed sources 

and are not required to satisfy the requirement for well logging sealed 

sources

[ ] Neutron generator tubes containing less than 110 GBq [30 Ci] of 

tritium are:

( ) Exempt from leak testing requirements if they contain less than 

3.7 MBq [100 μCi]

( ) Exempt from abandonment requirements

( ) Exempt from the performance requirements of sealed sources used 

in well logging operations
C–19

[ ] Neutron generators containing target sources greater than 100 GBq 

[30 Ci] cannot be used in wells without surface casing to protect fresh

water aquifers, unless approved by the NRC

[ ] O&E procedures address handling of contamination resulting from the 

routine use, initial installation, replacement, or accidental damage of the 

targets or glass tubes

ITEM 8.10.16 DEPLETED URANIUM SINKER BARS [10 CFR 40.51]

[ ] Depleted uranium sinker bars will be obtained under the provisions of a 

general license per 10 CFR 40.51, “Transfer of source or byproduct 

material,” and registration form NRC Form 244 will be filed, as required

[ ] Depleted uranium sinker bars will not be obtained under the provision of 

general license 10 CFR 40.51

[ ] Uranium sinker bars will be possessed and inspected as specified 

[ ] Number of kilograms of specifically licensed depleted uranium specified

ITEM 8.10.17 SECURITY PROGRAM FOR CATEGORY 1 AND CATEGORY 2 

RADIOACTIVE MATERIALS

[ ] Access authorization program per 10 CFR Part 37, Subpart B

[ ] Security Program per 10 CFR Part 37, Subpart C

[ ] Physical Protection During Transit per 10 CFR Part 37, Subpart D

ITEM 8.11 WASTE MANAGEMENT [10 CFR Part 20, Subpart K]

[ ] Decay-in-storage disposal for radioactive materials with half-lives less 

than or equal to 120 days

( ) When a container is transferred to the waste storage area, mark the 

container with an identification label that includes the date sealed, 

the isotope in the container, and the initials of the person sealing 

the container

[ ] Confirm that prior to disposal as in-house waste, the licensee will monitor 

each container, as follows:

( ) Check radiation detection survey meter for proper operation

( ) Monitor container in a low-level area (less than 0.05 mrem/h)

( ) Remove any shielding from container

( ) Monitor all surfaces

( ) Discard only those containers that cannot be distinguished 

from background

( ) Container that can be distinguished from background must be 

returned to storage area for further decay or transferred to person 

licensed to receive such waste

[ ] Return to manufacturer authorized recipient
C–20

[ ] Extended Interim Storage of materials pending disposal or transfer to 

authorized recipient

[ ] Licensed company

[ ] Sandout, flowback, screenout, etc.

[ ] Disposal by release into sanitary sewerage (10 CFR 20.2003)

[ ] Appendix N of NUREG–1556, Volume 14, Revision 1 reviewed

ITEM 8.12 FEES

[ ] Fee, if any required, attached

ITEM 8.13 CERTIFICATION

[ ] Individual signing an application authorized to make binding commitments 

and to sign official documents on behalf of the legal entity or applicant
APPENDIX D

FIELD FLOOD STUDIES/ENHANCED RECOVERY OF OIL AND GAS WELLS

D–1

Field Flood Studies/Enhanced Recovery of Oil and Gas Wells

A formal contractual agreement with the well operator or owner should specify control points 

where samples will be taken, establish criteria for setting minimum sample requirements, and 

confirm the willingness of the client company to abide by effluent restrictions and undertake 

remedial action, if required. Following are some examples:

Samples of recovered fluids or gas will be collected and measured according to the established 

sampling schedule.

• Appropriate remedial action will be taken if accidents or incidents occur that may result 

in the release of licensed materials to the environment. For example, if the 

concentration in the recovered fluid or gas approaches or exceeds the design limits, 

remedial action should be taken, such as reducing the injection pressure, temporarily 

shutting in the well, or diluting with nontracer-bearing fluid or gas.

Planning Stage

Reservoir Information

Describe the reservoir information that the applicant/licensee needs in order to design a 

radionuclide tracer study for a field flood operation. Examples of reservoir information are 

shown below:

• reservoir volume

• reservoir thickness

• porosity

• injected volumes (liquids/gases)

• oil/water saturation ratios

Project Design

Outline the design of the tracer application requested. Examples of items to consider are 

the following:

• Choice of radionuclides and method used to determine (i) the amount of radionuclide to 

be injected, and (ii) the expected concentration of radionuclide in the fluids (gas, water, 

oil) at a recovery well site. Indicate the adherence to the as low as is reasonably 

achievable (ALARA) principle.

• How breakthrough time is predicted.

• How tracer concentrations in the recovered liquids and gases are estimated.

• How the sampling schedule at production wellheads is determined. Include a 

description of how the applicant/licensee would determine when sampling could be 

discontinued. As an example, monitoring of samples may be ended when the design life 

of the project is completed, unless the effluent concentration at the control point is above 

a specified fraction of the maximum permissible concentration (as listed for unrestricted 

areas in Title 10 of the Code of Federal Regulations (10 CFR) Part 20, “Standards for 

protection against radiation”) and is increasing. In that case, the control point will be 
D–2

monitored until the concentration is below the specified fraction of the annual average 

concentration specified in 10 CFR Part 20, Appendix B, Table 2.

Preinjection Stage

Transportation of licensed materials. State that the applicant will comply with U.S. Nuclear 

Regulatory Commission (NRC) and U.S. Department of Transportation (DOT) regulations 

pertaining to the transportation of licensed material. Particular attention should be directed to 

monitoring requirements upon receipt of packages containing licensed materials.

Integrity of wellhead assembly and wellbore. Describe the test procedures used to ensure 

that the wellhead assembly, including injection equipment, will not leak under operating 

conditions. Describe the procedures used to ensure that the wellbore will not leak underground. 

For example, if the injection well operates properly for a 2-week period, integrity of the wellbore 

may be considered ensured.

Injection Stage

Outline radiation safety practices during injection process.

Following are examples of practices:

• Remain upwind, if practical.

• Keep nonessential personnel at a distance.

• Use personnel monitoring devices [e.g., thermoluminescent dosimeters (TLDs), optically 

stimulated luminescence dosimeters (OSLs), film badges, finger badges, pocket 

dosimeters] and other radiation detection instruments in the monitoring and 

surveillance programs.

• Use special tools and devices to handle licensed material and to facilitate the 

injection process.

• Perform visual inspection, check pressure gauge, etc., to assure absence of leaks 

and proper delivery of injection liquid or gas.

• Continuously or intermittently monitor radiation levels outside the injection assembly to 

assure that the injection is proceeding according to the plan. Allow sufficient time before 

opening wellhead assembly.

Postinjection Stage

Outline radiation safety practices that will be put into place after the injection phase is 

completed. Examples of practices include the following:

• Check exposure rate at wellhead assembly for residual activity.

• Take smear samples to detect removable contamination on wellhead assembly.

• Clean reusable tools and check for residual activity before securing for reuse.
D–3

• Collect contaminated materials or contaminated tools and package them into an 

appropriate waste container.

• Establish schedule for taking samples for bioassay when, for example, handling tritium 

(H-3) exceeding 3.7 GBq [0.1 Ci] or gaseous H-3 exceeding 3,700 GBq [100 Ci], or 

handling radioiodine exceeding 1.85 GBq [50 mCi] of iodine-131 or iodine-125. See 

Section 8.10.5, “Occupational Dosimetry” of NUREG–1556 Volume 14, Revision 1, for 

additional guidance on bioassay programs.

• Provide instructions to well operator’s personnel for taking postinjection samples and 

shipping the samples to the applicant’s/licensee’s facilities for analysis. Include 

handling, packaging, and shipping procedures.

• Package waste materials for transportation, prepare appropriate labels and shipping 

papers, and check for radiation level and removable contamination outside the package.

• Measure concentrations of radionuclides in recovered liquids or gases, according to the

established sampling schedule.

• Take corrective measures if the concentrations in the recovered liquids or gas approach 

or exceed design levels.

• Conduct area and personnel monitoring before leaving injection site.

Emergency Procedures

Outline procedures that will be followed in the event of incidents or accidents that release 

radioactive materials to the environment. Following are examples of incidents and accidents:

• discovering contamination on the outside surface of the shipping package

• discovering that the radioactive material container is leaking

• dropping and breaking a radioactive material container, thereby spilling the material on 

the ground

• detecting leakage of radioactive materials from wellhead assembly

• measuring concentrations in liquids or gas from production wells exceeding limits 

specified in Table 2, Appendix B, 10 CFR Part 20.

Reporting, Recordkeeping, and Notification

Outline the report that will be submitted to the NRC and the records maintained regarding the 

field flood injections. Following are examples of releases to include: records on the 

identification of wells, radionuclides, and quantities injected; concentrations of radionuclides in 

liquids or gases produced at production wells; and concentrations of radionuclides in products 

released from the field.

Also outline the procedures that will be followed in case of accidents; and procedures for 

notifying the proper persons or organizations, such as the company management 
D–4

(radiation safety officer), well operator or owner, and Federal, State, or municipal governmental 

agencies involved with the control and oversight of affected wells.

Waste Management

The applicant should outline the procedures for disposing of licensed material. Wastes from 

tracer operations such as unused materials, and contaminated wipes, gloves, tools, clothing, 

containers, etc., should be disposed of in accordance with 10 CFR Part 20. Recovered waste 

fluids that contain radioactive tracers should either be reinjected or treated as radioactive waste. 

A commonly used method of disposal is transfer to a commercial firm licensed by the NRC or an 

Agreement State to accept radioactive wastes. In dealing with these firms, prior contact is 

needed to determine the specific services they can provide. If commercial services will be used, 

this should be specified.
APPENDIX E

SUGGESTED WELL LOGGING AND SUBSURFACE TRACER STUDIES 

AUDIT CHECKLIST

E–1

Suggested Well Logging and Subsurface Tracer Studies Audit Checklist

All areas indicated in audit notes may not be applicable to every license and may not need to be

addressed during each audit. For example, licensees do not need to address areas that do not

apply to the licensee’s activities, and activities that have not occurred since the last audit need

not be reviewed at the next audit. Audits should be performance based, that is, focused on 

observing activities and identifying deficiencies rather than only reviewing records. For 

example, rather than just review records to ensure that daily checks of equipment are being 

performed, observe the daily checks to ensure staff are appropriately performing the activity.

Date of This Audit _______________________ Date of Last Audit ___________________

Next Audit Date _______________________

Auditor ___________________________ Date ___________________________

(Signature)

Management Review __________________________Date ___________________________

 (Signature)

A. AUDIT HISTORY

1. Last audit of this location conducted on (date).

2. Were previous audits conducted at intervals not to exceed 12 months? 

[10 CFR 20.1101]

3. Were records of previous audits maintained? [10 CFR 20.2102]

4. Were any deficiencies identified during last two audits or 2 years, whichever 

is longer?

5. Were corrective actions taken? (Look for repeated deficiencies)

6. Were corrective actions effective?

B. ORGANIZATION AND SCOPE OF PROGRAM

1. Organizational structure (specify any changes)

a. Matches license requirements [license condition]

b. Multiple authorized locations of use and/or field sites authorized

c. List of location(s) inspected—attached or reference

d. Brief description of scope of activities, including types of equipment, types 

and quantities of use involving byproduct material, frequency of use, staff 

size, etc.

2. If the mailing address or places of use changed, was the license amended? 

[10 CFR 30.34]

3. If ownership changed or bankruptcy filed, was the U.S. Nuclear Regulatory 

Commission’s (NRC’s) prior consent obtained or was NRC notified? 

[10 CFR 30.34]
E–2

4. Authorized Users

a. Are well logging supervisors trained in accordance with 10 CFR 39.61(a)?

b. Are well logging assistants trained in accordance with 10 CFR 39.61(b)?

c. If there are new logging supervisors or logging assistants since the last audit, 

was the license amended (if required)?

5. Radiation Safety Officer

a. Is the RSO new since the last audit?

b. If the RSO was changed, was the license amended?

c. Is the RSO fulfilling his/her duties?

d. To whom does the RSO report?

e. Does the RSO have sufficient time to perform his/her radiation safety duties?

6. Commensurate security program implemented? [10 CFR Part 37] 

C. FACILITIES

1. Are facilities as described in the NRC application?

2. If facilities have changed, has the NRC license been amended?

3. Are licensed materials secured from unauthorized removal or access? 

[10 CFR 20.1801]

4. Is control and constant surveillance maintained of licensed material not in storage? 

[10 CFR 20.1802]

5. Do storage locations comply with the appropriate security program measures? 

[10 CFR Part 37]

D. EQUIPMENT AND INSTRUMENTATION

1. Instruments

a. Are calibrated and operable radiation survey instruments capable of detecting 

beta and gamma radiation available at each storage location, field station,

and temporary jobsite? [10 CFR 39.33]

b. Are radiation survey instruments capable of measuring 0.001 mSv 

[0.1 mrem] per hour (h) through at least 0.5 mSv [50 mrem]/h?

[10 CFR 39.33(a)]

c. Are additional calibrated and operable radiation detection instruments 

available that are sensitive enough to detect the low radiation and 

contamination levels that could be encountered if a sealed source ruptured? 

[10 CFR 39.33(b)]

d. Are radiation survey instruments calibrated

(1) at intervals not to exceed 6 months and after instrument servicing?
E–3

(2) for linear scale instruments, at two points located approximately 1/3 and 

2/3 of full-scale on each scale; for logarithmic scale instruments, at 

midrange of each decade, and at two points of at least one decade; and 

for digital instruments, at appropriate points?

(3) so that an accuracy within plus or minus 20 percent of the calibration 

standard can be demonstrated on each scale?

e. Are Radiation Detection Instrument calibration records retained for a period of 

3 years after the date of calibration for inspection by the Commission? 

[10 CFR 39.33(d)]

2. Sources, Source Holders, Tools

a. Are Sources, Source Holders, and Tools labeled in accordance with 

10 CFR 39.31(a)?

b. When licensed materials are transported, are the licensed materials 

packaged, labeled, marked, and accompanied by appropriate shipping 

papers in accordance with 10 CFR Part 71 and 49 CFR Parts 170-189?

c. Are licensed materials stored and transported in accordance with the security 

precautions described in 10 CFR 39.31(b)?

d. Do sealed sources used for well logging applications meet the design and 

performance criteria described in 10 CFR 39.41?

e. Are uranium sinker bars (if used) marked in accordance with 10 CFR 39.49?

f. Are source handling tools compatible with the type of sealed source 

being used?

E. MATERIAL USE, CONTROL, AND TRANSFER

1. Security and Control

a. Are restricted areas, defined as in 10 CFR 20.1003, limited for the purpose of 

protecting individuals against undue risks from exposure to radiation and 

radioactive materials?

b. Are unrestricted areas, defined in 10 CFR 20.1003, re-evaluated when 

radioactive material storage areas are altered/changed or radioactivity was 

increased to verify that the relocation of the material has not affected the 

unrestricted area?

c. Are licensed materials that are stored in controlled or unrestricted areas 

secured from unauthorized removal or access as required by 

10 CFR 20.1801?

d. Is licensed material that is in a controlled or unrestricted area and that is not 

in storage controlled and maintained under constant surveillance as required 

by 10 CFR 20.1802?

e. Is a logging supervisor (defined in 10 CFR 39.2), physically present at a 

temporary jobsite whenever licensed materials are being handled or are not 

stored and locked in a vehicle or storage place, as required by 

10 CFR 39.71(a)?
E–4

f. As required by 10 CFR 39.71(b) during well logging, except when radiation 

sources are below ground or in shipping or storage containers, does the 

logging supervisor or other individual designated by the logging supervisor 

maintain direct surveillance of the operation to prevent unauthorized entry 

into a restricted area, as defined in 10 CFR 20.1003?

2. Receipt and Transfer of Licensed Material

a. During receipt and transfer of licensed materials, are dose limits for individual 

members of the public maintained in accordance with 10 CFR 20.1302?

b. Do the procedures for the receipt and opening of packages meet the 

requirements of 10 CFR 20.1906 and are these procedures followed?

c. Are licensed materials transferred in accordance with 10 CFR 30.41, 

10 CFR 40.51 or 10 CFR 70.42?

d. Are records of the receipt, transfer, and disposal of licensed materials 

maintained in accordance with 10 CFR 30.51? 

e. Are records of surveys maintained in accordance with 10 CFR 20.2103(a)?

f. Are transactions entered into the National Source Tracking System, including 

annual reconciliation, in accordance with 10 CFR 20.2207?

3. Radionuclide, Chemical Form, Quantity, and Use

a. Is a semi-annual physical inventory conducted to account for all licensed 

material received and possessed in accordance with 10 CFR 39.37?

b. Are records of the semiannual physical inventories maintained in accordance 

with 10 CFR 39.37? 

c. Are the quantities of licensed material used in radioactive markers limited to 

quantities not exceeding the quantities specified in 10 CFR 30.71?

d. Are radioactive markers inventoried in accordance with 10 CFR 39.37?

e. Are depleted uranium sinker bars used in accordance with 10 CFR 39.49?

F. INVENTORIES

1. Are inventories conducted at 6-month intervals? [10 CFR 39.37]

2. Do the inventories contain all the information required by 10 CFR 39.37?

3. Are inventory records maintained for 3 years from the date of the inventory? 

[10 CFR 39.37]

G. INSPECTION AND MAINTENANCE

1. Routine Inspection Program

a. Are visual checks of source holders, logging tools, and source handling tools, 

for defects made before each use to ensure that the equipment is in good 

working condition and that required labeling is present? [10 CFR 39.43(a)]

b. If defects were found, was the equipment removed from service until 

repaired, and a record made listing: the date of check, name of inspector, 

equipment involved, defects found, and repairs made? [10 CFR 39.43(a)]
E–5

c. Are records of defects identified during routine inspection retained for 3 years 

after the defect is found? [10 CFR 39.43(a)]

2. Semiannual Inspection Program

a. Is there a program for semiannual visual inspection and routine maintenance 

of source holders, logging tools, injection tools, source handling tools, storage 

containers, transport containers, and uranium sinker bars to ensure that the 

required labeling is legible and that no physical damage is visible? 

[10 CFR 39.43(b)]

b. If defects are found, was the equipment removed from service until repaired, 

and a record made listing: date, equipment involved, inspection and 

maintenance operations performed, any defects found, and any actions taken 

to correct the defects? [10 CFR 39.43(b)]

c. Are records of defects identified during the semiannual inspection retained for 

3 years after the defect is found? [10 CFR 39.43(b)]

3. Removal of Sources from Source Holders 10 CFR 39.43(c)

a. Have written procedures been developed pursuant to 10 CFR 39.63 and 

been approved either by the Commission pursuant to 10 CFR 39.13(c) or by 

an Agreement State for the removal of a sealed source from a source holder 

or logging tool, and maintenance on sealed sources or holders in which 

sealed sources are contained?

4. Stuck Sealed Sources 10 CFR 39.43(d)

a. Has specific approval by the Commission or an Agreement State been 

granted to perform any operation, such as drilling, cutting, or chiseling, on the 

source holder, if a sealed source is stuck in the source holder?

Note: The opening, repair, or modification of any sealed source must be 

performed by persons specifically approved to do so by the Commission or 

an Agreement State. [10 CFR 39.43(e)] [license condition]

5. Notification of failure to comply or existence of a defect and its evaluation 

[10 CFR 21.21]

a. If defects were found during routine or semiannual inspections, were these 

defects evaluated in accordance with 10 CFR 21.21?

b. Were any defects reported under the requirements of 10 CFR 21.21?

H. AREA RADIATION SURVEYS AND CONTAMINATION CONTROL

1. Compliance with dose limits for individual members of the public 

[10 CFR 20.1302]

a. Have radiation surveys or calculations been made to demonstrate 

compliance with the annual dose limit for individual members of the public?

b. Are records demonstrating compliance with the dose limit for individual 

members of the public maintained in accordance with 10 CFR 20.2107?
E–6

2. Radiation Surveys [10 CFR 39.67]

a. Were radiation surveys made in the storage areas for radioactive materials?

b. Are radiation surveys made of the position occupied by each individual in the 

vehicle and of the exterior of each vehicle used to transport the licensed 

materials, before transporting licensed materials?

c. Are radiation surveys made of the logging tool if the sealed source assembly 

is removed from the logging tool before departure from the temporary jobsite, 

to confirm that the logging tool is free of contamination by energizing the 

logging tool detector or by using a radiation survey meter?

d. Were any radiation surveys made during or after an operation where the 

encapsulation of the sealed source could have been damaged?

e. Were radiation surveys at temporary jobsite(s) made before and after each 

subsurface tracer study to confirm the absence of contamination?

f. Are the results of radiation surveys required by 10 CFR 39.67 recorded and 

include the date of the survey, the name of the individual making the 

survey, the identification of the survey, instrument used, and the location of 

the survey?

g. Are radiation survey records maintained for inspection by the Commission for 

3 years after they are made?

3. Contamination Control [10 CFR 39.69]

a. Were there any events where there was evidence that a sealed source had 

ruptured or licensed materials had caused contamination?

b. Were the emergency procedures required by 10 CFR 39.63, 

initiated immediately?

c. Were there contamination events resulting from use of licensed material in 

well logging that required decontamination of work areas, equipment, and 

unrestricted areas?

d. During efforts to recover a sealed source lodged in a well, did the licensee 

continuously monitor, with an appropriate radiation detection instrument or a 

logging tool with a radiation detector, the circulating fluids from the well, if 

any, to check for contamination resulting from damage to the sealed source?

4. Leak Tests [10 CFR 39.35]

a. Is each sealed source [except an energy compensation source (ECS)] tested 

at intervals not to exceed 6 months?

b. Does the method of leak testing meet the requirements of 10 CFR 39.35(b)?

c. Are the records of leak test results in units of microcuries and retained for 

inspection by the Commission for 3 years after the leak test is performed?
E–7

Note: In the absence of a certificate from a transferor that a test has been 

made within the 6 months before the transfer, the sealed source may not be 

used until tested.

d. Has each ECS that is not exempt from testing in accordance with 

10 CFR 39.35(e) been tested at intervals not to exceed 3 years?

Note: In the absence of a certificate from a transferor that a test has been 

made within the 3 years before the transfer, the ECS may not be used until 

tested.

e. During the audit period, did any sealed sources, or ECS, require removal 

from service and reporting as required by 10 CFR 39.35(d)?

5. Tracer Studies [10 CFR 39.45]

a. Are personnel handling radioactive tracer material required to use protective 

gloves and other protective clothing and equipment?

b. When using radioactive tracer material, are precautions taken to avoid 

ingestion or inhalation of radioactive tracer material and to avoid 

contamination of field stations and temporary jobsites?

c. During the audit period, was specific authorization granted by the 

Commission to knowingly inject licensed material into fresh water aquifers?

6. Use of sealed sources in a well without a surface casing [10 CFR 39.51]

a. During the audit period, were sealed sources used in a well without a surface 

casing for protecting fresh water aquifers?

b. If sealed sources were used in a well without a surface casing, were 

procedures followed to reduce the probability of the source becoming lodged 

in the well?

c. Were these procedures approved by the Commission pursuant to 

10 CFR 39.13(c) or by an Agreement State?

7. Did the auditor make any independent radiation survey measurements?

a. Describe the type, location, and results of measurements. Also note the 

radiation survey instrument used, serial number, and calibration date. 

b. Does any radiation level exceed regulatory limits? [10 CFR 20.1501(a), 

10 CFR 20.1502(a)] 

I. TRAINING AND INSTRUCTION TO WORKERS

1. Instruction to Workers [10 CFR 19.12]

a. Are all individuals likely to receive in a year an occupational dose in excess of 

100 millirem [1 milliSievert]:

(1) Kept informed of the storage, transfer, or use of radiation and/or 

radioactive material?
E–8

(2) Instructed in the health protection problems associated with exposure to 

radiation and/or radioactive material, in precautions or procedures to 

minimize exposure, and in the purposes and functions of protective 

devices employed?

(3) Instructed in, and required to observe, to the extent within the workers’

control, the applicable provisions of Commission regulations and 

licenses for the protection of personnel from exposure to radiation 

and/or radioactive material?

(4) Instructed in the appropriate response to warnings made in the event of 

any unusual occurrence or malfunction that may involve exposure to 

radiation and/or radioactive material?

(5) Advised as to the radiation exposure reports that workers may request 

pursuant to 10 CFR 19.13?

2. Training [10 CFR 39.61]

a. Training [10 CFR Part 20]

(1) Radiation safety program [10 CFR 20.1101]

— Occupational exposure annual limits [10 CFR 20.1201, 

10 CFR 20.1202]

— Public annual dose limits [10 CFR 20.1301, 10 CFR 20.1302]

(2) NRC Forms 4 and 5

(3) 10 percent monitoring threshold [10 CFR 20.1502]

(4) Dose limits to embryo/fetus and declared pregnant worker 

[10 CFR 20.1208]

(5) Procedures for opening packages [10 CFR 20.1906]

(6) 10 CFR Parts 19, 20, 21, 30, 37, 39, 40, 70, and 71 reviewed, 

as applicable

b. Have all logging supervisors received training as required pursuant to 

10 CFR 39.61(a)?

c. Have all logging assistants received training as required pursuant to 

10 CFR 39.61(b)?

d. Were safety reviews for logging supervisors and logging assistants provided 

at least once during the calendar year as required pursuant to 

10 CFR 39.61(c)?

e. Are records maintained, at least 3 years, for each logging supervisor and 

logging assistant training and annual safety review?

f. Are the subjects outlined in 10 CFR 39.61(e) included in the training 

program?
E–9

J. RADIATION PROTECTION

1. Dosimetry

a. Are ALARA considerations incorporated into the Radiation Protection 

Program? [10 CFR 20.1101(b)]

b. Were prospective evaluations performed showing that unmonitored 

individuals receive less than the limits in 10 CFR 20.1502(a)? Did these 

evaluations consider doses to minors [10 CFR 20.1502(a)(2)] and declared 

pregnant women [10 CFR 20.1502(a)(3)]?

c. Did unmonitored individuals’ activities change during the year that could put 

them over 10 percent of the limit?

d. If yes to “c.” above, was a new evaluation performed?

e. Is external dosimetry required (individuals likely to receive greater than 

10 percent of the limit)? And is dosimetry provided to these individuals?

(1) Is the dosimetry supplier NVLAP-accredited? [10 CFR 20.1501(d), 

10 CFR 39.65]

(2) Are the dosimeters exchanged at appropriate frequency?

(3) Are dosimetry reports reviewed by the RSO when they are received?

(4) Are the records on NRC Forms or equivalent? [10 CFR 20.2104(d), 

10 CFR 20.2106(c)]

A. NRC-Form 4 “Cumulative Occupational Exposure 

History” completed?

B. NRC-Form 5 “Occupational Exposure Record for a Monitoring 

Period” completed?

(5) Declared pregnant worker/embryo/fetus [20.1502(a)]

A. If a worker declared her pregnancy, did licensee comply with 

[10 CFR 20.1208]?

B. Were records kept of embryo/fetus dose per 

[10 CFR 20.2106(e)]?

(6) Are workers whose exposures exceed 1 mSv [100 mrem] notified 

annually of their exposures?

(7) Are records of exposures, radiation surveys, monitoring, and 

evaluations maintained? [10 CFR 20.2102, 10 CFR 20.2103, 

10 CFR 20.2106]

2. Programs

a. Has a radiation protection program commensurate with the scope and extent 

of licensed activities and sufficient to ensure compliance with the provisions 

of 10 CFR Part 20 been developed, documented, and implemented as 

required by 10 CFR 20.1101(a)?
E–10

b. Have, to the extent practical, procedures and engineering controls based 

upon sound radiation protection principles been used to achieve occupational 

doses and doses to members of the public that are as low as is reasonably 

achievable (ALARA)?

c. Has the radiation protection program been reviewed at least annually, as 

required by 10 CFR 20.1101(c), for program content and implementation?

d. Are licensed activities subject to the constraint on air emissions of radioactive 

material to the environment required by 10 CFR 20.1101(d)?

(1) Has a constraint on air emissions of radioactive material to the 

environment been established?

(2) If subject to the constraint on air emissions of radioactive material to the 

environment requirement:

A. Has the dose constraint been exceeded?

B. Was this exceedance reported as required by 10 CFR 20.2203 

and were prompt appropriate corrective actions taken to ensure 

against recurrence?

K. RADIOACTIVE WASTE MANAGEMENT

1. Waste Storage Areas

a. Is storage area properly posted? [10 CFR 20.1902]

b. Are containers properly labeled? [10 CFR 20.1904]

c. Is the waste area secured against unauthorized removal of or access to

licensed material? [10 CFR 20.1801]

2. Sealed Sources

a. Are sources transferred to authorized individuals? [10 CFR 20.2006, 

10 CFR 20.2001, 10 CFR 30.41]

b. Name of organization: ___________________________________.

c. Are records of sealed sources transferred to authorized individuals 

maintained? [10 CFR 20.2108]

3. Decay-in-Storage [10 CFR 20.2001]

a. Are Decay-in-Storage procedures available and followed?

b. Are radionuclides being segregated for storage according to half-life?

c. Do radionuclides being stored all have half-lives less than 120 days?

d. Before waste is disposed of

(1) Is a radiation survey performed at the container surface with an 

appropriate radiation survey instrument set on its most sensitive scale, 

with no interposed shielding, to determine that its radioactivity cannot be 

distinguished from background?
E–11

(2) Are all radiation labels removed or obliterated, as appropriate? 

[10 CFR 20.1904]

e. Are records of waste disposed of by the decay-in-storage method 

maintained? [10 CFR 20.2108]

4. Disposal by release into sanitary sewerage [10 CFR 20.2003]

a. Are procedures available and followed for disposal by release into 

sanitary sewerage?

b. Is licensed material readily soluble or readily dispersible in water? 

[10 CFR 20.2003(a)(1)]

c. Does the quantity of licensed material that the licensee releases into the 

sewer in one month, divided by the average monthly volume of water 

released into the sewer, not exceed the concentration specified in 

10 CFR Part 20, Appendix B, Table 3?

d. If more than one radionuclide is released, does the sum of the ratios of the 

average monthly discharge of a radionuclide to the corresponding limit in 

10 CFR Part 20, Appendix B, Table 3, not exceed unity?

e. Does the total quantity of licensed material and other radioactive material 

released into the sanitary sewerage system in a year not exceed 5 Ci

[185 GBq] of hydrogen-3, 1 Ci [37 GBq] of carbon-14, and 1 Ci [37 GBq] of all 

other radioactive materials combined? [10 CFR 20.2003(a)(4)]

f. Are records of waste disposed of by release into sanitary sewerage 

maintained? [10 CFR 20.2108]

5. Transfer to Authorized Recipient

a. Is any waste being transferred to a person specifically authorized to receive 

it? [10 CFR 20.2001]

b. Is waste being transferred to a person specifically authorized to receive it, 

properly manifested? [10 CFR 20.2006]

c. Are records of waste disposed of by transfer to a person specifically 

authorized to receive it maintained? [10 CFR 20.2108]

L. RECORDKEEPING FOR DECOMMISSIONING

1. Are records kept of information important for decommissioning? 

[10 CFR 30.35(g), 10 CFR 70.25(g)]

2. Do records include all information outlined in 10 CFR 30.35(g) and 

10 CFR 70.25(g)?

3. Are records of radiation surveys required by 10 CFR 20.2103(a) maintained with 

records important for decommissioning as required by 10 CFR 20.1501(b)?
E–12

M. TRANSPORTATION [10 CFR 71.5(a) and 49 CFR 170-180]

1. Shipments are:

a. Delivered to common carriers

b. Transported in company’s private vehicle

c. Both

d. No shipments since last audit

2. Have personnel responsible for preparing a package containing licensed material, 

transporting a package containing licensed material, or delivering a package to a 

carrier for transport received HAZMAT training in accordance with 

49 CFR 172.700-172.704?

3. Packages

a. Are authorized packages used for transporting licensed material? 

[49 CFR 173.415, 49 CFR 173.416]

b. Are performance test records on file:

(1) For Special Form sources? [49 CFR 173.476(a)]

(2) For DOT-7A packages? [49 CFR 173.415(a)]

4. Are Certificates of Compliance (COC’s) for Type B packages on file? 

[10 CFR 71.17(c)(1)]

5. Does each package containing licensed material have two labels with 

Transportation Index (TI), Nuclide, Activity, and Hazard Class? 

[49 CFR 172.403, 49 CFR 172.441]

6. Are packages properly marked [Shipping name, UN number, Package Type, 

Reportable Quantity (RQ), Name and address of consignee]? [49 CFR 172.301, 

49 CFR 172.310, 49 CFR 172.324, 49 CFR 172.101, 49 173.471]

7. Are packages containing licensed material closed and sealed during transport? 

[49 CFR 173.475(f), 49 CFR 173.412(a)]

8. Are shipping papers prepared and used? [49 CFR 172.200(a)]

9. Do shipping papers contain proper entries? [Shipping name; Hazard Class; 

Identification Number (UN Number); Total Quantity; Package Type; Nuclide; 

Reportable Quantity (RQ); Physical and Chemical Form; Activity (SI units 

required); category of label; TI; Shipper’s Name, Certification, and Signature; 

Emergency Response Phone Number; Emergency Response Information; and 

Cargo Aircraft Only (if applicable)] [49 CFR 172.200, 49 CFR 172.201, 

49 CFR 172.202, 49 CFR 172.203, 49 CFR 172.204, 49 CFR 172.604]

10. Are shipping papers within driver’s reach and readily accessible during transport? 

[49 CFR 177.817(e)]

11. Are packages secured against movement? [49 CFR 177.834]

12. Are vehicles placarded, if required? [49 CFR 172.504]
E–13

13. Are proper overpacks in place, if used (shipping name, UN Number, labeled,

statement indicating that inner package complies with specification package)

[49 CFR 173.25]

14. Are components of a security plan in place? [49 CFR 172.802] 

15. Are incidents reported to the DOT National Response Center? 

[49 CFR 171.15, 49 CFR 171.16]

N. OPERATING AND EMERGENCY PROCEDURES

1. Are procedures current? [10 CFR 39.63]

2. Do the procedures contain the information specified in 10 CFR 39.63?

O. SECURITY PROGRAM FOR CATEGORY 1 AND CATEGORY 2 RADIOACTIVE 

MATERIALS [10 CFR Part 37]

1. Has a commensurate security program been implemented?

2. Have trustworthiness and reliability determinations been made?

3. Is there access control to information and aggregated Category 1 or Category 2

quantities of radioactive material?

4. Have monitoring, detection, assessment, and response been operational all 

the time?

5. Has a valid test of the security system been performed to ensure operability?

6. Is there a plan for local law enforcement agency coordination?

7. Is there a method for tracking the transport of packages containing aggregated 

Category 1 or Category 2 quantities of radioactive material?

8. Are mobile devices secured?

9. Is sensitive information secured and only available to personnel who have been 

deemed trustworthy and reliable?

10. Were any security reports made (e.g., loss, theft, or sabotage of aggregated 

Category 1 or Category 2 quantities of radioactive material, the results of 

fingerprints are positive for the FBI Terrorist Screening Data)?

11. Were all records required by 10 CFR Part 37 maintained?

P. AUDITOR’S INDEPENDENT MEASUREMENTS (IF MADE)

 Survey instrument Serial No. Last calibration

 _____________________ _________________ _______________

1. Were the auditor’s measurements compared to the licensee’s?

Describe the type, location, and results of measurements; attach a 

diagram/survey sheet.
E–14

Q. NOTIFICATION AND REPORTS

1. Was any licensed material lost or stolen? Were reports made? 

[10 CFR 20.2201]

2. Did any reportable incidents occur? Were reports made? 

[10 CFR 20.2202, 10 CFR 30.50, 10 CFR 40.60 10 CFR 70.50,]

3. Did any overexposures or high radiation levels occur? Were they reported? 

[10 CFR 20.2203, 10 CFR 30.50, 10 CFR 40.60, 10 CFR 70.50]

4. Were any contaminated packages or packages with surface radiation levels 

exceeding 200 mrem received? Were they reported to the NRC?

5. If any events (as described in items 1 through 4 above) did occur, what was the 

root cause? Were appropriate notifications made and corrective actions taken?

6. Were notifications and reports of radiation exposure data for individuals, monitored 

to show compliance with 10 CFR Part 20, made in accordance with 10 CFR 19.13?

7. Were reports of defects and noncompliances prepared and submitted to the NRC 

in accordance with 10 CFR 21.21?

8. Were annual reports of individual monitoring furnished to the NRC in accordance 

with 10 CFR 20.2206(b)?

9. Is the management/RSO aware of the telephone number for the NRC Emergency 

Operations Center? [301-816-5100]

R. POSTING AND LABELING

1. Is NRC-Form 3, “Notice to Workers” posted? [10 CFR 19.11]

2. Are NRC regulations and license documents posted or is a notice indicating where 

documents can be examined posted? [10 CFR 19.11, 10 CFR 21.6, Section 206 of 

Energy Reorganization Act of 1974]

3. Are other posting and labeling requirements met unless exempted by 

10 CFR 20.1903 or 10 CFR 20.1905? [10 CFR 20.1902, 10 CFR 20.1904]

S. FIELD STATIONS AND TEMPORARY JOB SITES

1. Are documents and records required by 10 CFR 39.73 available at each 

field station?

2. Are documents and records required by 10 CFR 39.75 available at each temporary 

jobsite until the well logging operation is completed?

T. ABANDONMENT OF SOURCES

1. Is well logging with a sealed source performed only after obtaining a written 

agreement with the employing well owner or operator? [10 CFR 39.15]

2. Do written agreements with well owners or operators include the items contained in 

10 CFR 39.15?

3. Is well logging with an unsealed material performed only after obtaining a written 

agreement with the employing well owner or operator?
E–15

4. Do written agreements with well owners or operators include the items contained in 

criteria of section 8.10.1 for unsealed material?

5. During the audit period, did any events occur requiring reporting under 

10 CFR 39.77?

U. NRC CORRESPONDENCE

1. Have all NRC correspondence (e.g., NRC Regulatory Issue Summaries, NRC 

Bulletins, NRC Information Notices, and NMSS Newsletters) issued since the 

previous audit and applicable to well logging licensees been reviewed?

2. For the correspondence that is applicable to well logging licensees, has 

appropriate action been taken, (e.g., training, updating procedures, etc.), 

as necessary?

V. INTERNAL AUDITS OR INSPECTIONS

1. Internal audits are conducted?

• Audits conducted by

• Frequency

2. Content and implementation of the radiation protection program reviewed at least 

annually? [10 CFR 20.1101(c)]

3. Records are maintained in accordance with 10 CFR 20.2102 requirements?

W. DEFICIENCIES IDENTIFIED IN AUDIT; CORRECTIVE ACTIONS

1. Summarize problems/deficiencies identified during the audit.

2. If problems/deficiencies were identified in this audit, describe corrective 

actions planned or taken by the facility. Include date(s) when corrective actions 

are implemented.

3. Provide any other recommendations for improvement.

X. LICENSE CONDITIONS OR ISSUES

1. Review the license conditions, NRC or Agreement State violations, Orders, 

Confirmatory Action Letters, site-specific procedures and other safety or security 

issues, and describe any findings.

2. Were problems or deficiencies identified at licensee facilities other than at 

audit location?

Y. PERFORMANCE-BASED REVIEW

1. Conduct performance-based reviews of radiation workers performing 

licensed activities:

• to assess the capability of the radiation workers to maintain 

exposures ALARA

• to assess that radiation workers follow the operating procedures
E–16

• to assess the effectiveness of the operating procedures and compliance with 

the regulations, license conditions and the licensee commitments submitted 

in support of a license (and incorporated by “tie-down” conditions)

• to ensure the safe and secure use of radioactive material

• to verify that radiation workers are cognizant of the emergency procedures 

and, if necessary, would be able to implement them and maintain 

exposures ALARA

• to ensure that emergency procedures have been developed for all 

likely scenarios

2. Take the necessary actions to address programmatic and performance 

deficiencies with radiation workers and facilitate immediate corrective measures.

Note: Performance-based reviews may include observation of licensed activities, 

review of records, and interviews with key personnel.

Z. EVALUATION OF OTHER FACTORS

1. Are senior licensee management appropriately involved with the radiation safety 

program and RSO oversight?

2. Does the RSO have sufficient time to perform his/her radiation safety duties and is 

not too busy with other assignments?

3. Does the licensee have sufficient staff for the radiation safety and 

security programs?
APPENDIX F

WELL LOGGING SUPERVISOR AND LOGGING ASSISTANT 

TRAINING REQUIREMENTS

F–1

Well Logging Supervisor and Logging Assistant Training Requirements

Requirement Training Criteria

10 CFR 39.61(a) Logging Supervisor

A. Receive Training in Title 10 of the Code of 

Federal Regulations (10 CFR) 10.39.61(e) 

Topics

Topics in 10 CFR 39.61(e)

Fundamentals of Radiation Safety

(Classroom Training-Approximately 

24 hours length)

characteristics of gamma radiation

• units of radiation dose and quantity 

of radioactivity

• hazards of exposure to radiation

• levels of radiation from licensed material

• methods of controlling radiation dose 

(time, distance, and shielding)

• radiation safety practices, including 

prevention of contamination, and 

methods of decontamination

• Radiation Detection Instruments

use, operation, calibration, and limitations of 

radiation survey instruments

• survey techniques

• use of personnel monitoring equipment

• Equipment to be Used

operation of equipment, including source 

handling equipment and remote handling 

tools

• storage, control, and disposal of 

licensed material

• inspection and maintenance 

of equipment

• Requirements of Pertinent Federal 

Regulations

Case histories of accidents in well logging 

operations
F–2

Requirement Training Criteria

10 CFR 39.61(a) Logging Supervisor

B. Must receive Copies of and Instruction in: NRC Regulations:

(Classroom Training–Approximately 8 h 

in length)

• Applicable sections of 

10 CFR Parts 19, 20, and 39

• The NRC License under which the 

logging supervisor will perform 

well logging

• The Licensee’s Operating & Emergency 

Procedures required by 10 CFR 39.63

C. Receive Equipment Training Training includes:

(Approximately 4 h in length) • Well Logging Equipment

• Sealed sources

• Handling equipment

• Radiation survey meters

• Daily inspection

D. Completion of a Written Examination • Complete a written examination 

approved by the NRC

Pass Written Examination on 

10 CFR 39.61(e) Topics outlined in Item A

• Passing Grade 80 percent

E. On-the-Job Training–using sealed sources Under the supervision of a qualified 

logging supervisor

160 h for a mineral logging licensee, or a 

licensee using sealed sources with 

activities less than 500 mCi

OR

3 months or 520 h for gas or oil well 

logging operations using sealed sources 

with activities greater than 500 mCi

F. On-the-Job Training–using tracer materials Under the supervision of a qualified 

logging supervisor

Single Well Tracer Operations

3 months or 520 h or completion of 

50 tracer operations

Field Flood Operations

3 months or 520 h or completion of 3 field 

flood tracer operations involving multiple 

wells

G. Demonstrate Understanding in Use of Well 

Logging Equipment by Passing Practical 

Field Exam

Questions on topics determined by the 

licensee

Use the Well Logging Supervisor/Logging 

Assistant Inspection Checklist as a potential 

source of questions.
F–3

Requirement Training Criteria

10 CFR 39.61(a) Logging Supervisor

H. Annual Refresher Training Review the following:

• Annual radiation safety program review

• Annual review of operating and 

emergency procedures

• New procedures, equipment, 

or techniques

• New regulations

• Observations and deficiencies during 

audits of well logging supervisor and 

logging assistants and discussion of any 

significant incidents or accidents 

involving well logging

• Employee questions

I. Records To be maintained in accordance with 

10 CFR 39.61(d)

10 CFR 39.61(b) Logging Assistant

A. Must receive Copies of and Instruction in: NRC Regulations

(Classroom Training – Approximately 8 h 

in length)

• Applicable sections of 10 CFR Part 19 

and Part 20

• The Licensee’s Operating & Emergency 

Procedures required by 10 CFR 39.63

B. Pass Oral or Written Exam • Complete a written examination 

approved by the NRC.

• Passing Grade 80 percent

C. Receive Equipment Training • Training under the supervision of a 

qualified well logging supervisor 

appropriate for the logging assistant’s 

intended job responsibilities:

(Approximately 2 to 4 h in length) • Well logging equipment

• Sealed sources

• Handling equipment

• Radiation survey meters

• Daily inspection

D. Annual Refresher Training Review the following:

• Annual review of operating and 

emergency procedures

• New procedures or equipment

• New regulations

• Observations and deficiencies during 

audits and discussion of any significant 

incidents or accidents involving well 

logging operations

• Employee questions

E. Records To be maintained in accordance with 

10 CFR 39.61(d)

APPENDIX G

ANNUAL INTERNAL JOB PERFORMANCE INSPECTION CHECKLIST FOR 

WELL LOGGING SUPERVISORS AND WELL LOGGING ASSISTANTS

G–1

Annual Internal Job Performance Inspection Checklist for Well Logging 

Supervisors and Well Logging Assistants

Well Logging Location Date 

Logging Supervisor __________________________________ Time _______________

Logging Assistant __________________________________

Inspector ___________________________________________

Yes No Questions

1. Personnel dosimetry (TLD, OSL badge, or other) available and 

properly worn?

2. Individuals working within the restricted area wearing personnel dosimeters?

3. Restricted areas properly controlled to prevent unauthorized entry?

4. Individuals working within the restricted area using calibrated and operable 

radiation survey meters? Availability of survey instrument calibration record?

5. Individuals working with licensed material performing radiation surveys?

6. Most current radiation survey records as required by 

10 CFR 39.67 available?

• Measurements of areas of storage and use

• Measurements of positions occupied in transport vehicle

• Measurement of vehicle exterior

• Contamination check of well logging tool prior to transport

• Measurements before and after subsurface tracer use

7. Shipping papers for transportation of radioactive material available and 

properly filled out?

8. Utilization log properly filled out with complete and accurate information?

9. Visual check of well logging equipment to identify defects and to identify that 

required labels are present is being performed before each use? Is defective 

well logging equipment removed from service, sent to be repaired, and a 

record made in accordance with 10 CFR 39.43?

10. Copy of 10 CFR Parts 19, 20, and 39 of NRC regulations, copy of the 

radioactive materials license, operating and emergency procedures, radiation 

survey instrument calibration, leak test records, physical inventory records, 

utilization records, inspection and maintenance records, training records and 

radiation survey records available at field stations?

11. Copy of the licensee’s operating and emergency procedures, radiation survey 

meter calibrations records, radiation survey records, and copy of the 

radioactive materials license available at temporary jobsites?
G–2

Yes No Questions

12. Licensed material stored and secured properly to prevent unauthorized 

removal? Licensed material under constant surveillance when in use and not 

in storage?

13. Storage area properly posted with “Caution or Danger Radioactive 

Material” signs?

14. Are well logging supervisors and/or well logging assistants following the 

company’s operating and emergency procedures?

15. Are well logging supervisors and/or well logging assistants using specific 

handling tools that are compatible with the sealed sources in accordance with 

manufacturers/distributors instructions?

16. Additional items of noncompliance noted during this audit? (If any, explain, 

in remarks.)

Remarks:
APPENDIX H

RADIATION MONITORING INSTRUMENT SPECIFICATIONS AND MODEL 

SURVEY INSTRUMENT CALIBRATION PROGRAM

H–1

Radiation Monitoring Instrument Specifications and Model Survey 

Instrument Calibration Program

Radiation Monitoring Instrument Specifications

The specifications in Table H–11 will help applicants and licensees choose the proper radiationdetection equipment for monitoring the radiological conditions at their facilities or jobsites. 

Additional information about instruments and their uses also can be found in NUREG–1575, 

“Multi Agency Radiation Survey and Sited Investigation Manual (MARSSIM),” Chapter 6 and 

Appendix H.

Table H–1. Typical Survey Instruments2

Portable Instruments Used for Contamination and Ambient Radiation Surveys

Detectors Radiation Energy Range Efficiency

Exposure Rate 

Meters

Gamma, 

X-Ray

micro-Roentgen to Roentgen N/A

 Count Rate Meters

Geiger Mueller 

(GM)

Alpha All energies (dependent on window thickness) Moderate

Beta All energies (dependent on window thickness) Moderate

Gamma All energies < 1 percent

Sodium Iodide 

(NaI) Scintillator

Gamma All energies (dependent on crystal thickness) Moderate

Plastic 

Scintillator

Beta C-14 or higher (dependent on window thickness) Moderate

He Proportional 

Detector*

Neutron Thermal to 12 MeV Moderate

Proton Recoil 

Scintillator*

Neutron Thermal to 100 MeV Moderate

 

1Table adapted from “The Health Physics and Radiological Health Handbook, Revised Edition,” edited by Bernard 

Shleien, 1992 (except for * items).

2Instruments used to measure radiological conditions at licensed facilities or jobsites.
H–2

Table H–1. Typical Survey Instruments2

Stationary Instruments Used to Measure Wipe, Bioassay, and Samples from Tracer and 

Field Flood Study Job Sites

Detectors Radiation Energy Range Efficiency

Liquid 

Scintillation 

Counter (LSC)*

Alpha All energies High

Beta All energies High

Gamma Moderate

Gamma Counter 

(NaI)*

Gamma All energies High

Gas Proportional Alpha All energies High

Beta All energies Moderate

Gamma All energies <1%

In addition to selecting an instrument that is appropriate for the radiation(s) of interest, it is 

important to know if the instrument is sufficiently sensitive to make measurements at the 

required level. This is particularly important for measurements such as leak-test samples and 

bioassay measurement, and for decommissioning of facilities or equipment. The “minimum 

detectable activity” (MDA) for the instrument should be a fraction (10 to 50 percent) of the 

criteria to be met.

Guidance for performing surveys for decommissioning, which require direct measurement 

surveys, scanning measurement surveys, and surveys for removable contamination, is found in

NUREG–1757, “Consolidated Decommissioning Guidance.” Additional information related to 

determining the MDA and minimum detectable concentration for direct measurements and 

scanning measurements may be found in Chapter 6 and Appendix H of NUREG–1575.

Model Radiation Survey Instrument Calibration Program

Training

Before independently calibrating radiation survey instruments, an individual should complete 

both classroom and on-the-job training as follows:

• Classroom training may be in the form of lecture, video, computer-based, or self-study 

and will cover the following subject areas:

— principles and practices of radiation protection

— radioactivity measurements, monitoring techniques, and the use of radiation 

detection instruments
H–3

— mathematics related to the use and measurement of radioactivity

— biological effects of radiation

• On-the-job training will consist of the following:

— observing authorized personnel performing radiation survey instrument 

calibration

— conducting radiation survey meter calibrations under the supervision and in the 

physical presence of an individual authorized to perform calibrations

Facilities and Equipment for Calibration of Dose and Dose Rate Measuring Instruments

• Individuals conducting radiation survey instrument calibrations will wear 

assigned dosimetry.

• Individuals conducting calibrations will use a calibrated and operable radiation 

survey instrument to ensure that unexpected changes in exposure rates are identified 

and corrected.

• To reduce doses received by individuals not calibrating radiation survey instruments, 

calibrations will be conducted in an isolated area of the facility or at times when no one 

else is present.

• The calibration source should be well collimated, and the calibration area should be 

designed to minimize scatter of radiation, which could affect the calibration process.

• The calibration area should be appropriately controlled so that persons entering the area 

will be aware if a radiation source is in use.

• Evaluate posting of the calibration area with appropriate radiation warning signs, as 

required by Subpart J of 10 CFR Part 20.

Frequency of Calibration of Radiation Measurement Instruments and Equipment

A licensee committed to a routine or emergency radiation survey program should perform an 

acceptable calibration of all radiation measurement instruments and equipment at the frequency 

specified in U.S. Nuclear Regulatory Commission (NRC) regulations, annually, or at the 

frequency recommended by the manufacturer, whichever period is shorter.

Special calibrations should be performed at any time there is reason to believe that the 

operating characteristics of a radiation measurement instrument have changed, by repair or 

alteration, or whenever system performance is observed to change significantly.

Routine maintenance of radiation measurement instruments should be performed as 

recommended by the manufacturer.

Primary or secondary standard instruments used to calibrate radiation measurement

instruments should be inspected frequently for consistency of performance.
H–4

Calibration Sources for Dose and Dose Rate Measuring Instruments

Radioactive sealed sources will be used for calibrating dose and dose rate measuring radiation 

survey instruments; these sources will have the following characteristics:

• The sources should approximate a point source.

• Calibration fields from gamma sources should be known with an accuracy when 

compared to secondary or primary national standards of 5 percent for dose rates greater 

than or equal to 1.0 microgray/hour (μGy/h) [0.1 millirad/hour (mrad/h)] and 10 percent 

for dose rates less than 1.0 μGy/h [0.1 mrad/h].

• The sources should contain a radionuclide that emits radiation of identical or similar type 

and energy as the environment in which the calibrated device will be used.

• The sources should be strong enough to give an exposure rate of at least 

7.7 microcoulomb per kilogram per hour [30 milliroentgen per hour] at 100 centimeters 

{e.g., 3.1 gigabecquerels [(85 mCi (millicuries)] of cesium-137 or 780 megabecquerels 

[21 mCi] of cobalt-60}.

Note: Inverse square and radioactive decay laws should be used to correct changes in 

exposure rate due to changes in distance or source decay.

Calibration of Dose or Dose Rate Measuring Instruments

There are three kinds of scales frequently used on dose and dose-rate survey meters. These 

are calibrated as follows:

• Linear readout instruments with a single calibration control for all scales should be 

adjusted at the point recommended by the manufacturer or at a point within the normal 

range of use. Instruments with calibration controls for each scale should be adjusted on 

each scale. After adjustment, check the response of the instrument at approximately 

20 percent and 80 percent of full scale. Instrument readings should be within ±x (noted 

below) of the conventionally true value for the following ranges:

— Background to 10 μGy/h [1.0 mrad/h]; ±x = ±30%

— 10 μGy/h [1.0 mrad/h] to 1.0 mGy/h [100 mrad/h]; ±x = ±20%

— 1.0 mGy/h [100 mrad/h] to 10 Gray/h [1,000 Rad/h]; ±x = ±10%

• Logarithmic readout instruments, which commonly have a single readout scale 

spanning several decades, normally have two or more adjustments. Adjust the 

instrument for each scale according to site specifications or the manufacturer’s 

specifications. After adjustment, check the calibration at a minimum of one point on 

each decade. Instrument readings should have a maximum deviation from the 

conventionally true value as described for linear readout instruments.
H–5

Digital readout instruments should be calibrated the same as linear readout instruments.

Note: Readings above 2.58 × 10–4 coulomb/kilogram/hour [1 roentgen/h] need not be 

calibrated, unless the licensee expects to make measurements at higher dose rates; regardless, 

such scales should be checked for operation and response to radiation.

Note: Instruments used to monitor higher energies are most easily calibrated in known 

radiation fields produced by sources of gamma rays of approximately the same energies as 

those to be measured.

Calibration of Surface Contamination Measurement Instruments

Instruments used to detect surface contamination usually consist of a count-rate meter and a 

detector that is appropriate for the types of radiations being measured.

The efficiency of radiation survey meters must be determined by using radiation sources with 

similar energies and types of radiation that users of the radiation survey instrument intend

to measure. 

If each scale has a calibration potentiometer, the reading should be adjusted to respond to the 

calibration source at approximately 80 percent of full scale, and the response at approximately 

20 percent of full scale should be observed. If only one calibration potentiometer is available, 

the response should be adjusted at mid-scale on one of the scales, and response on the other 

scales should be observed. The instrument efficiency factor (e.g., cpm/dpm) thus obtained 

should have a signal-to-noise ratio, including the compilation of source and instrument 

uncertainties, of ±x for the following ranges: 

• alpha measurement

0.01 Bq/cm2 to 2.0 Bq/cm2 [60 to 12,000 dpm/100 cm2

]; ±x = ±20%

2.0 Bq/cm2 to 200 Bq/cm2 [12,000 to 1,200,000 dpm/100 cm2

]; ±x = ±10%

• beta measurement

0.05 Bq/cm2 to 2.0 Bq/cm2 [300 to 12,000 dpm/100 cm2

]; ±x = ±20%

2.0 Bq/cm2 to 200 Bq/cm2 [12,000 to 1,200,000 dpm/100 cm2

]; ±x = ±10%

Calibration of Analytical Instruments Such as Liquid Scintillation Counters, Gamma 

Counters, Gas Flow Proportional Counters, and Multichannel Analyzers

Analytical instruments used to determine radioactivity in a sample may be specialized 

equipment according to the type of samples to be analyzed and the types and quantities of 

radioactivity to be measured. Typically, the sample sizes and activities are very small, and can 

be difficult to measure. Sample collection and preparation may differ for the various analytical 

instruments, so manufacturer procedures and industry standard practices should be followed. 

Such analytical instruments should be calibrated in accordance with the manufacturer’s 

instructions. Analytical instruments typically require routine maintenance and verification 

procedures to ensure that they are operating properly when used.
H–6

As with calibration of other radiation measurement instruments, calibration of analytical 

instruments use radioactive sealed sources. These should be suitable for the geometry of the 

samples to be analyzed. The calibration sources should have a known activity and be of similar 

type and energy as the radioactive materials to be analyzed. The analysis should be sensitive 

enough to detect the lowest levels of radioactivity desired. Correction of results for quenching, 

self-absorption, and other factors may be required, depending on the analytical instrument, the 

samples type, and other environmental conditions.

Calibration Records

Calibration records for all radiation survey instruments should indicate the procedure used and 

the results of the calibration. The records should include the following:

• the owner or user of the radiation survey instrument

• a description of the radiation survey instrument, including the manufacturer’s name, 

model number, serial number, and type of detector

• a description of the calibration source, including the exposure rate at a specified 

distance or activity on a specified date

• for each calibration point, the calculated exposure rate or count rate, the indicated 

exposure rate or count rate, the deduced correction factor (the calculated exposure rate 

or count rate divided by the indicated exposure rate or count rate), and the scale

selected on the instrument

• the exposure reading indicated with the radiation survey instrument in the “battery 

check” mode (if available on the instrument)

• for radiation survey instruments with external detectors, the angle between the radiation 

flux field and the detector (i.e., parallel or perpendicular)

• for radiation survey instruments with internal detectors, the angle between radiation flux 

field and a specified surface of the instrument

• for radiation detectors with removable shielding, an indication as to whether the shielding 

was in place or removed during the calibration procedure

• the exposure rate or count rate from a check source, if used

• the name and signature of the individual who performed the calibration and the date on 

which the calibration was performed

The following information will be attached to the radiation survey instrument as a calibration 

sticker or tag:

• for dose and dose rate measuring instruments, the source radionuclide used to calibrate 

the radiation survey instrument (with correction factors) for each scale
H–7

• for surface contamination measurement instruments, the efficiency of the radiation 

survey instrument, for each radionuclide the instrument will be used to measure 

(if efficiency is not calculated before each use)

• for each scale or decade not calibrated, an indication that the scale or decade was 

checked only for function but not calibrated

• the date of calibration and the next calibration due date

• the apparent exposure rate or count rate from the check source, if used

Service providers who will perform calibrations as a commercial service will also include their 

company name and radioactive materials license number on the calibration certificate.

Air Sampler Calibration

To assess accurately the air concentration of radioactive materials in a given location, the 

volume of air sampled and the quantity of contaminant in the sample must be determined. 

Accurate determination of the volume of air sampled requires standard, reproducible, and 

periodic calibration of the air metering devices that are used with air sampling instruments.

Licensees can find guidance on total air sample volume calibration methods acceptable to NRC 

staff in the publication titled “Air Sampling Instruments,” which can be found in the 9th Edition, 

American Conference of Governmental Industrial Hygienists, 2001. This information is

supplemented below.

Frequency of Calibration of Air Sampling Equipment

• A licensee committed to a routine or emergency air sampling program should perform an 

acceptable calibration of all airflow or volume metering devices at least annually 

(Regulatory Guide 8.25, Rev. 1, “Air Sampling in the Workplace”).

• Special calibrations should be performed at any time there is reason to believe that the 

operating characteristics of a metering device have been changed, by repair or 

alteration, or whenever system performance is observed to have changed significantly.

• Routine instrument maintenance should be performed as recommended by 

the manufacturer.

• Primary or secondary standard instruments used to calibrate air sampling instruments 

should be inspected frequently for consistency of performance.

Error Limit for Measurement of Air Sample Volume

Most methods of calibrating airflow or air volume metering devices require direct comparison to 

a primary or secondary standard instrument to determine a calibration curve or a correction 

factor. An example of a primary standard is a spirometer that measures total air volume directly 

with high precision by liquid displacement. An example of a secondary standard is a wet-test 

meter that has been calibrated against a primary standard.
H–8

The following are significant errors associated with determining the total air volume sampled:

EC: The error in determining the calibration factor. (An acceptable estimate is the percentage 

error associated with the standard instrument used in the calibration.)3

ES: Intrinsic error in reading the meter scale. (An acceptable estimate is the percentage 

equivalent of one-half of the smallest scale division, compared to the scale reading.)

Et: The percentage error in measurement of sampling time that should be kept within 

1 percent.

EV: The most probable value of the cumulative percentage error in the determination of the total 

air volume sampled. EV can be calculated from the following equation, provided there are no 

additional significant sources of errors:

EV = [ES

2 + EC2 + Et2

]

1/2

The most probable value of the cumulative error EV, in the determination of total volume, should 

be less than 20 percent.

A sample calculation of the most probable value of the cumulative error in total volume 

measured is as follows: If accuracies of the scale reading, the calibration factor, and sample 

time are ± 4, 2, and 1 percent, respectively, and there are no other significant sources of error, 

the cumulative error would be:

EV = [42 + 22 + 12

]

1/2 = 4.58% or approx. 5%

If there are significant differences in pressure and temperature between the calibration site 

and the sampling site, appropriate corrections should be made using the ideal gas laws 

provided below:

Vs = V1 * (P1/760) * (273/T1)

where Vs = volume at standard pressure and temperature (760 mm Hg and 273̊K)

V1 = volume measured at conditions P1 and T1

T1 = temperature of V1 in K

P1 = pressure of V1 in mm Hg

Documentation of Calibration of Air Metering Devices

The licensee should maintain records of all routine and special calibrations of airflow or volume 

metering devices, including the primary or secondary standard used, method employed, and 

estimates of accuracy of the calibrated metering devices. All instruments should be clearly 

 

3The calibration factor should be based on two kinds of determinations. First, correction factors should be 

determined at several flow rates distributed over the full-scale range. Each flow rate correction factor should be 

determined while adjusting flow rates upscale and again while adjusting flow rates downscale, and the two sets of 

data should be compared. Second, subsequent calibrations should compare the new correction factors to those 

determined during the previous calibration. If observed differences are significant compared to the overall volume 

error limit of 20 percent, licensees should include an additional error term in the calculation above.
H–9

labeled as to the date and results of the most recent calibration and should include the 

appropriate correction factors to be used.

References:

The Health Physics and Radiological Health Handbook, 4th Edition. Edited by 

Thomas E. Johnson and Brian K. Birky, dated 2012.

American National Standards Institute (ANSI) N323AB-2013, “American National Standard for 

Radiation Protection Instrumentation Test and Calibration, Portable Survey Instruments.” 

Copies may be obtained from the American National Standards Institute (ANSI) at 

www.ansi.org.

Regulatory Guide 8.25, Revision 1, “Air Sampling in the Workplace,” June 1992 NUREG–1400, 

“Air Sampling in the Workplace,” September 1993 

(ADAMS Accession No. ML13051A671).

“Air Sampling Instruments,” American Conference of Governmental Industrial Hygienists, 

9th Edition, 2001.

APPENDIX I

GUIDANCE FOR DEMONSTRATING THAT UNMONITORED INDIVIDUALS

ARE NOT LIKELY TO EXCEED 10 PERCENT OF THE ALLOWABLE LIMITS

I–1

Guidance for Demonstrating That Unmonitored Individuals Are Not Likely 

To Exceed 10 Percent of the Allowable Limits

Dosimetry is required for individual adults likely to receive, in a year from sources external to 

the body, an occupational dose in excess of 10 percent of the applicable regulatory limits in

Title 10 of the Code of Federal Regulations (10 CFR) 20.1201, “Occupational dose limits for 

adults.” However, logging supervisors or logging assistants are required by 10 CFR 39.65(a) to 

wear a personnel dosimeter that is processed and evaluated by an accredited National 

Voluntary Laboratory Accreditation Program processor at all times during the handling of 

licensed radioactive materials such as licensed tracer materials or sealed sources. Personnel 

dosimeters may be a film badge, a thermoluminescent dosimeter (TLD), or an optically 

stimulated luminescence (OSL) dosimeter. In instances where pocket ion chamber dosimeters 

are used instead of film badges, TLDs, or OSL dosimeters to assess radiation dosage of 

personnel who are not logging supervisors or logging assistants, a check of the response of the 

dosimeters to radiation should be made every 12 months. Acceptable pocket dosimeters 

should read within plus or minus 20 percent of the true radiation dose. To demonstrate to the 

NRC that dosimetry is not required for nonlogging personnel, a licensee may need to perform a 

prospective evaluation in accordance with 10 CFR 20.1502 to demonstrate that the unmonitored 

adult workers are not likely to exceed 10 percent of the applicable limits. 

The applicable total effective dose equivalent (TEDE) (whole body) limit is 50 mSv 

[5 rems] per year, and 10% of that value is 5 mSv [500 millirems] per year for an adult 

radiation worker.

Three common ways that individuals may exceed 10 percent of the applicable limits are 

mishandling tracer radionuclides, logging tools, or any devices containing sealed sources. 

However, most routine well logging or tracer activities result in minimal doses to well logging 

and tracer personnel. A licensee will need to conduct an evaluation of doses occupationally 

exposed adult workers could receive in performing tasks involving the handling of radioactive 

materials to assess the need for dosimetry.

Example: A careful radiation measurement using a survey meter of the location producing the 

highest dose rate at the rear of the logging truck where radioactive material is stored in its 

transport compartment and where mechanics routinely work, is found to be 0.015 mSv/h

[1.5 mrem/h]. Mechanics are not expected to spend any more than a total of 3 h per week at 

the location near the storage containers where the sealed sources are housed at the rear of the 

truck. Based on this measured dose rate, the annual dose is expected to be less than 2.34 mSv 

[234 mrem]. Specifically, 3 h/wk × 1.5 mrem/h × 52 wk/yr = 234 mrem. Based on the above, if 

any mechanic works in the area less than 6.4 h per week, no dosimetry is required.

Note: The measurement 6.4 h is the total amount of hours it would take for an individual to 

meet the 5 mSv [500 millirems] per year limit.

Table I–1 may be helpful in performing a prospective evaluation and provides an example of the 

documentation to show that unmonitored individuals will not exceed 10 percent of the allowable 

dose limits.

Licensees should review evaluations periodically and revise them, as needed. Licensees 

should check assumptions used in their evaluations to ensure that the assumptions are 

up-to-date and accurate, especially when there is an increase in the possession of 

radioactive material.
I–2

Table I–1. Dosimetry Evaluation

Dosimetry Evaluation for ___________________ 

A. Time needed to perform the entire 

work activity

_________ minutes _________ hour

(divide # of 

minutes by 60)

B. Expected whole body dose rate that the 

individual will encounter, determined using 

measured or manufacturer-provided data

____________ millirem/hour

C. Time the extremities were exposed to the 

unshielded source (if applicable)

_________ minutes _________ hour

D. Expected extremity dose rate that the 

individual will encounter, determined using 

measured or manufacturer-provided data for 

the unshielded source at the typical distance 

from the hands to the unshielded source

____________ millirem/hour

Estimated Whole Body Dose Equivalent*

Formula: (_____hours in Row A) × (______millirem/hour in Row B) = (_____estimated millirem) 

× (_____# times conducted each year) = _______ millirem

Estimated Extremity Dose Equivalent†

Formula: (_____hours in Row C) × (______millirem/hour in Row D) = (_____estimated 

millirem) × (_____# of times conducted each year) = _______ millirem

*An expected Whole Body Dose Equivalent less than 500 millirem requires no dosimetry.

†An expected Extremity Dose Equivalent less than 5,000 millirem requires no dosimetry.
APPENDIX J

GUIDANCE FOR DEMONSTRATING THAT INDIVIDUAL MEMBERS OF THE 

PUBLIC WILL NOT RECEIVE DOSES EXCEEDING THE ALLOWABLE LIMITS

J–1

Guidance for Demonstrating That Individual Members of the Public Will Not 

Receive Doses Exceeding the Allowable Limits

This appendix describes methods for determining radiation dose to members of the public.

Licensees must ensure that:

• The radiation dose received by individual members of the public does not exceed 

1 millisievert (mSv) [100 millirem (mrem)] in 1 calendar year resulting from the licensee’s 

possession or use of licensed materials.

• The radiation dose in unrestricted areas does not exceed 0.02 mSv [2 mrem] in any 

one hour.

• Air emissions of radioactive materials to the environment, excluding radon-222 and its 

daughters, do not result in doses greater than 0.1 mSv [10 mrem] per year total effective 

dose equivalent (TEDE). As required by Title 10 of the Code of Federal Regulations

(10 CFR) 20.1101(d), if the licensee exceeds the 0.1 mSv [10 mrem] per year air 

emission dose constraint, the licensee must report the exceedance as provided in 

10 CFR 20.2203, and promptly take appropriate corrective action to ensure against 

recurrence.

Members of the public include persons who live, work, study, or may be near locations where

licensed material is used or stored and employees whose assigned duties do not include the 

use of licensed material but who may work in the vicinity where such materials are used 

or stored.

Doses to Members of the Public

INCLUDES doses from:

• radiation or radioactive material released 

by a licensee

• sources of radiation under the control of a 

licensee

• air effluents from sources of licensed 

radioactive materials

• licensed material in transportation or 

storage at the licensee’s facility

DOES NOT INCLUDE doses from:

• sanitary sewerage discharges from 

licensee action taken in accordance with 

10 CFR 20.2003

• natural background radiation

• medical administration of radioactive 

material including patients released under 

10 CFR 35.75

• voluntary participation in medical research
J–2

As defined in 10 CFR 20.1003, the term unrestricted area means “an area, access to which is 

neither limited nor controlled by the licensee.” For purposes of this definition in 20.1003, an 

“unrestricted area” is an area where access is neither limited nor controlled by the licensees 

for purposes of limiting exposures to radiation and radioactive materials. An “unrestricted 

area” for purposes of 20.1003 may be controlled for other purposes, such as for security 

purposes (see, e.g., 10 CFR 20.1801 and 20.1802), and still be considered an “unrestricted 

area” as long as it is not required to be controlled for limiting exposure to radiation and 

radioactive materials. Typical unrestricted areas may include offices, shops, areas outside 

buildings, property, and storage areas for nonradioactive materials, and other facilities and 

laboratories where licensed materials are not normally used or stored.

Licensees must demonstrate compliance with the requirements noted above while taking into 

account exposure contributions from gamma and neutrons.

1

 For areas adjacent to facilities 

where licensed material is used or stored, calculations or a combination of calculations and 

measurements [e.g., using an environmental thermoluminescent dosimeters (TLD)] are often 

used to show compliance.

The licensee must show compliance with the annual dose limit for individual members of the 

public by:

• demonstrating by measurement or calculation that the TEDE to the individual likely to 

receive the highest dose, in an unrestricted area from licensed operations, does not 

exceed 1 mSv [100 mrem] in a year, or

• demonstrating that the annual average concentration of radioactive material released in 

gaseous and liquid effluents at the boundary of the unrestricted area does not exceed 

the values specified in Table 2, “Effluent Concentrations,” of Appendix B to 

10 CFR Part 20. The licensee must also show that if an individual were continuously 

present in an unrestricted area, the dose from external sources would not exceed 

0.02 mSv [2 mrem] in 1 hour and 0.5 mSv [0.05 rem] in a year, and

• demonstrating by measurement or calculation that the TEDE to an individual will not 

exceed 0.02 mSv [2 mrem] in any one hour at an established boundary for 

temporary jobsites

To perform a dose assessment, the licensee should identify all potential sources of external and 

internal radiation exposure to members of the public and all locations of use, transport, and 

storage of radioactive material at the facility. The licensee must then take radiation 

measurements or perform calculations to demonstrate compliance.

Measurements

The licensee may use measurements to demonstrate that the average annual releases are 

within regulatory limits, as well as demonstrate that the TEDE to the individual likely to receive 

 

1Thermal Neutron Dose Contributions (Handbook of Health Physics and Radiological Health, Third Edition, 

1998)1 Curie Am/Be source = ~34.7 mR/h @ 30 cm (neutron); 1 Curie Am/Be source = ~ 0.17 mR/h @ 30 cm 

(gamma); 2.8 106 neutrons/second/curie
J–3

the highest dose at the boundary of the unrestricted area does not exceed 1 mSv [100 mrem] in 

a year. These measurements may include:

• dose rate surveys for radiation exposures from external radiation sources

• measurements of radionuclides in air and water effluents

• use of environmental dosimeters in unrestricted areas

The method used to measure dose will depend upon the nature of the radiation source. If the 

source of radiation is constant, it may be adequate to measure the dose rate and integrate it 

over time. If the source of radiation differs or changes over time, it may be necessary to 

perform continuous measurements.

Radioactivity releases may be determined by effluent monitoring or by effluent sampling and 

analysis. Airborne effluents may be discharged when volatile materials are used, such as 

during waste compactions, but the discharge itself is usually not continuous since volatile 

materials are often used periodically rather than continuously. Liquid effluents may be 

discharged continuously or may be stored and subsequently discharged on a batch basis. For 

each type of source and for each route of potential exposure, consider the location of 

measurement points, whether continuous or periodic monitoring is required, the frequency of 

sampling and measurement, and any additional information. For discharges of airborne 

radionuclides, for example, it may be necessary to obtain information on the efficiency of filters 

and the air flow rate of the discharge system, as well as meteorological data and the distance to 

the nearest individual member of the public.

Calculation Method

Using a calculation method, the licensee must determine the highest dose an individual is likely 

to receive in an unrestricted area from licensed operations. The licensee must take into account 

the individual’s exposure from external sources and the concentration of radionuclides in 

gaseous and liquid releases. In practice, the licensee may wish to make conservative 

assumptions to simplify the dose calculation.

The public dose limit applies to the individual who is likely to receive the highest dose from 

licensed operations. Therefore, the dose calculations must consider the location with the 

potential for the highest internal and external exposures. The occupancy factor for an area is 

defined as the average fraction of time the maximally exposed individual is present and exposed 

to a radiation source. If a source is used intermittently, the occupancy factor is a fraction of the 

hours in a week that a given person would occupy the area. If the result of the calculation using 

an occupancy factor of 1 demonstrates that the public dose limit is not exceeded, then there is 

no need for further evaluation.

If, however, the licensee would rather choose a more realistic assumption of the individual’s 

occupancy at the points of highest internal and external exposures, then the licensee may use 

the occupancy factors in Table J–1 or may calculate a specific occupancy factor by determining 

the likely fraction of time that the individual is present. The occupancy factors in Table J–1 are 

general guidance values and may be used if more detailed information is not available.
J–4

Table J–1. Standard Occupancy Factors2

Occupancy Factor Description

1 Full occupancy areas such as administrative and clerical offices, 

receptionist areas, laboratories, pharmacies and other work areas fully 

occupied by an individual, attended waiting rooms, and occupied space in 

nearby buildings

1/2 Areas where individuals are present for a major part of the day 

1/5 Corridors, employee lounges, staff rest rooms, and classrooms

1/20 Unattended waiting rooms, public rest rooms, unattended vending rooms, 

storage areas, janitor’s closets, attics, outdoor areas with seating, and 

recreational areas

1/40 Outdoor areas with only transient pedestrian or vehicular traffic, 

unattended parking lots, vehicular drop off areas (unattended), stairways,

and unattended elevators

Records

In accordance with 10 CFR 20.2107, the licensee must maintain records to demonstrate 

compliance with the dose limit for individual members of the public, until the Commission 

terminates the license. In general, survey and monitoring records of ambient radiation and 

effluent radioactivity should be adequate.

Records demonstrating the dose to an individual member of the public will identify the 

instruments used in the survey, the name of the surveyor, the date of the survey, the location of 

the survey(s), including a description or drawing of the areas surveyed, survey results, and if 

applicable, the occupancy factors used and justification for their use. In addition, records 

demonstrating the dose to an individual member of the public that involve effluent sampling 

analysis should include information on concentrations of specific radionuclides, minimum 

detectable activity of the system, and the estimated uncertainty of measurements.

The following is a simple example to demonstrate the above concepts for calculating direct 

measurement with sensitive instrumentation and combination of calculating and measurement.

 

2Adapted from NCRP Report No. 147, “Structural Shielding Design for Medical X-Ray Imaging Facilities,” issued 

November 19, 2004 and NCRP Report No. 151, “Structural Shielding Design and Evaluation for MegaVoltage X- and 

Gamma-Ray Radiotherapy Facilities,” issued December 31, 2005
J–5

Figure J–1. Bird’s-Eye View of Office

Calculation Method3

These measurements must be made with calibrated radiation survey meters sufficiently 

sensitive to measure background levels of radiation. However, licensees must exercise caution 

when making these measurements, and they must use currently calibrated radiation survey 

instruments. A maximum dose of 1 mSv [100 mrem] received by an individual over a period of 

2080 h (i.e., a “work year” of 40 h/wk for 52 wk/yr) is equal to less than 0.5 microSievert 

[0.05 mrem]/h.

This rate is well below the minimum sensitivity of most commonly available Geiger-Mueller

(GM) survey instruments.

Instruments used to make measurements for calculations must be sufficiently sensitive. An 

instrument equipped with a scintillation-type detector [e.g., NaI(Tl)] or a micro-R meter used in 

making very low gamma radiation measurements should be adequate.

Licensees may also choose to use environmental TLDs in unrestricted areas next to the downhole source storage area for monitoring. This direct measurement method would provide a 

definitive measurement of actual radiation levels in unrestricted areas without any restrictive 

assumptions. Records of these measurements can then be evaluated to ensure that rates in 

unrestricted areas do not exceed the 1 mSv/yr [100 mrem/yr] limit.

 

3

For ease of use, the examples in this Appendix use conventional units. The conversions to SI units are as follows: 

1 foot (ft) = 0.305 meter; 1 mrem = 0.01 mSv.
J–6

TLDs used for personnel monitoring (e.g., Lithium Fluoride) may not have sufficient sensitivity 

for this purpose. Generally, the minimum reportable dose received is 0.1 mSv [10 mrem]. 

Suppose a TLD monitor’s dose received and is changed once a month. If the measurements 

are at the minimum reportable level, the annual dose received could have been about 1.2 mSv 

[120 mrem], a value in excess of the 1 mSv/yr [100 mrem/yr] limit. If licensees use TLDs to 

evaluate compliance with the public dose limits, they should consult with their TLD supplier 

and choose more sensitive TLDs, such as those containing CaF2 that are used for 

environmental monitoring.

The combined measurement-calculational method may be used to estimate the maximum dose 

to a member of the public. The combined measurement-calculational method takes a tiered 

approach, going through a two-part process, starting with a worst-case situation and moving 

toward more realistic situations. It makes the following simplifications: (i) each cesium-137

logging source is a point source; (ii) typical radiation levels are encountered when the source is 

in the unshielded position; and (iii) no credit is taken for any shielding found between the source 

storage area and the unrestricted areas. The method is only valid for the source activity at the 

time of measurement and must be repeated if the source strength or shielding is changed. 

Part 1 of the combined measurement-calculational method is simple but conservative. It 

assumes that an affected member of the public is present 24 hours a day and uses only the 

inverse square law to determine if the distance between the down-hole storage area and the 

affected member of the public is sufficient to show compliance with the public dose limits. 

Part 2 considers not only distance, but also the time that the affected member of the public is 

actually in the area under consideration. Using this approach, licensees make only those 

calculations that are needed to demonstrate compliance. The results of these calculations 

typically result in higher radiation levels than would exist at typical facilities, but they provide a 

method for estimating conservative doses that could be received.

Figure J–2. Down-Hole Storage Array
J–7

Example

To better understand the combined measurement-calculational method, we will examine 

EZ Well Logging, Inc., a well logging licensee. Yesterday, the company’s president noted that 

the top shield of the down-hole storage area is close to an area used by workers whose 

assigned duties do not include the use of licensed materials, and he asked the radiation safety 

officer (RSO), to determine if the company is complying with NRC’s regulations.

The area in question is near the floor under the workers’ desks, which constitutes the primary 

shield of the down-hole storage area. The RSO measures the distance from the shield to the 

center of the area in question and, using a calibrated radiation survey instrument, measures the 

highest dose rate at 1 foot from the shield to be 2 mrem/h.

Table J–2 summarizes the information the RSO has on the down-hole storage area.

Table J–2. Information Known About Dose at the Shield of the Cs-137 Source

Description of Known Information Cesium-137 Logging Source

Dose rate encountered at 1 foot from the top of the 

shield, in mrem/h.

2 mrem/h

Distance from the face of the shield to the nearest 

occupied work area, in ft.

4 ft

Example: Part 1

The RSO’s first thought is that the distance between the down-hole storage area shield and the 

area in question may be sufficient to show compliance with the regulation in 10 CFR 20.1301, 

“Dose Limits for Individual Members of the Public.” So, taking a worst-case approach, he 

assumes: (i) the cesium-137 is constantly located in the down-hole storage area [i.e., 24 h a 

day (h/d)], and (ii) the workers are constantly in the unrestricted work area (i.e., 24 h/d). The 

RSO proceeds to calculate the dose the workers might receive hourly and yearly from the 

source, as shown in Table J–3 below.

Table J–3. Calculational Method, Part 1: Hourly and Annual Doses Received from a 

Logging Source Stored in Above Ground Transportation Container

Step 

No. Description Input Data Results

1. Multiply the measured dose rate measured at 1.0 ft 

from the face of the shield floor in mrem/h by the 

square of the distance (ft) at which the 

measurement was made (e.g., 1 ft from the face of 

the shield)

2 × (1)2 2

2. Square of the distance (ft) from the face of the shield 

to the nearest unrestricted area, in ft2

(4)2 16
J–8

Table J–3. Calculational Method, Part 1: Hourly and Annual Doses Received from a 

Logging Source Stored in Above Ground Transportation Container

Step 

No. Description Input Data Results

3. Divide the result of Step 1 by the result of Step 2 to 

calculate the dose received by an individual in the 

area near the shield. HOURLY DOSE RECEIVED 

FROM SOURCE, in mrem in 1 hour

2/16 0.125

4. Multiply the result of Step 3 by 40 h/work week ×

52 weeks/year = MAXIMUM ANNUAL DOSE 

RECEIVED FROM Cs-137 Source, in mrem in 

a year

0.125 × 40 × 52 260

Note: The result in Step 3 demonstrates compliance with the 2 mrem in any 1 hour limit. 

Re-evaluate if assumptions change. If the result in Step 4 exceeds 100 mrem/yr, proceed to 

Part 2 of the calculational method.

At this point, the RSO is pleased to see that the total dose that an individual could receive in any 

1 hour is only 0.125 mrem, less than the 2 mrem in any 1 hour limit but notes that an individual 

could receive a dose of 260 mrem in a year, higher than the 100 mrem limit.

Example: Part 2

The RSO reviews the assumptions and recognizes that the workers are not in an area near the 

shield all of the time. A realistic estimate of the number of hours the workers spend in the area 

is made, keeping the other assumptions constant (i.e., the source is constantly in the down-hole 

storage area (i.e., 24 h/d). The annual dose received is then recalculated.

Table J–4. Calculational Method, Part 2: Annual Dose Received from a Logging 

Source Stored in Above Ground Transportation Container

Step 

No. Description Results

5. A. Average number of hours per day an individual spends in 

area of concern (e.g., a nonradiation worker spends 

3.0 h/day at their desk in the area near the shield; the 

remainder of the day the worker is away from the area 

assigned to jobs unrelated to radiation (e.g., painting, 

grounds keeping)

3.0

B. Average number of days per week in area 5

C. Average number of weeks per year in area (e.g., full time 

workers)

52

6. Multiply the results of Step 5.A. by the results of Step 5.B. by 

the results of Step 5.C. = AVERAGE NUMBER OF HOURS 

IN AREA OF CONCERN PER YEAR

3 × 5 × 52 = 780
J–9

Table J–4. Calculational Method, Part 2: Annual Dose Received from a Logging 

Source Stored in Above Ground Transportation Container

Step 

No. Step No.

7. Multiply the results in Step 3 by the results of Step 6 = 

ANNUAL DOSE RECEIVED FROM CESIUM-137 LOGGING 

SOURCE CONSIDERING REALISTIC ESTIMATE OF TIME 

SPENT IN AREA OF CONCERN, in mrem in a year.

0.125 × 780 = 97.5

The RSO is pleased to note that the calculated annual dose received is lower and does not 

exceed the 100 mrem in a year limit.

The RSO is glad to see that the results in Step 8 show compliance with the 100 mrem in a year 

limit. Had the result in Step 8 been higher than 100 mrem in a year, then the RSO could have 

done one or more of the following:

• Consider whether the assumptions used to determine occupancy are accurate, revise 

the assumptions as needed, and recalculate using any new assumptions.

• Consider the assumption used to determine occupancy, including the average time the 

source is stored at the down-hole storage area.

• Calculate the effect of any shielding located between the storage area and the floor of 

the public area—such calculation is beyond the scope of this Appendix.

• Take corrective action (e.g., change work patterns to reduce the time spent in the area 

near the shield) and perform new calculations to demonstrate compliance.

• Designate the area inside the use area as a restricted area and the workers as 

occupationally exposed individuals. This would require controlling access to the area for 

purposes of radiation protection and training the workers as required by 10 CFR 19.12, 

“Instruction to Workers.”

National Council on Radiation Protection and Measurements (NCRP) Report No. 151, 

“Structural Shielding Design and Evaluation for Megavoltage X- and Gamma-Ray 

Radiotherapy Facilities (2005),” contains helpful information to determine doses to members of 

the public based on occupancy factors, work load, and shielding. It is available from NCRP, 

7910 Woodmont Avenue, Suite 400, Bethesda, Maryland 20814-3095. NCRP’s telephone 

number is: 301-657-2652 or 1-800-229-2652. NCRP’s Web address is 

http://www.ncrppublications.org.

Note that in the example the RSO evaluated the unrestricted area outside only one wall of the 

down-hole storage area. Licensees also need to make similar evaluations for other unrestricted 

areas and to keep in mind the as low as is reasonably achievable (ALARA) principle, taking 

reasonable steps to keep radiation dose received below regulatory requirements. In addition, 

licensees need to be alert to changes in situations (e.g., adding sources to the storage area, 

changing the work habits of the workers, or otherwise changing the estimate of the portion of 

time spent in the area in question) and to perform additional evaluations, as needed.
J–10

RECORDKEEPING: Regulations in 10 CFR 20.2107 require licensees to maintain 

records demonstrating compliance with the dose limits for individual members of 

the public.
APPENDIX K

NOTIFICATION OF PROPER PERSONS IN THE EVENT OF AN ACCIDENT

K–1

Notification of Proper Persons In The Event of an Accident

Emergency Procedure

Notify the persons listed below of the situation, in the order shown.

Name* Work Phone Number* Home Phone Number*

Radiation Safety Officer (RSO)

Senior Logging Supervisors

Manufacturers/Distributors

Consultant

*Fill in with (and update, as needed) the names and telephone numbers of appropriate personnel [e.g., the 

Radiation Safety Officer (RSO) or other knowledgeable licensee staff, licensee’s consultant, device manufacturer]

to be contacted in case of emergency.

Follow the directions provided by the person contacted above.

RSO and licensee management discuss emergency operating procedures and ensure no 

operations are conducted until the situation has been discussed with and approved by the RSO 

or other knowledgeable staff, consultants, or the device manufacturer. Management should 

have access to emergency equipment to keep doses as low as is reasonably achievable. 

Emergency equipment may include special radiation survey equipment required by 

10 CFR 39.33(b).

Notify local authorities as well as the NRC, as required. (Even if notification is not required, 

ANY incident may be reported to the NRC by calling NRC’s Emergency Operations Center at 

301-816-5100, which is staffed 24 hours a day and accepts collect calls.) NRC notification is 

required when sources or devices containing licensed material are lost or stolen and when 

sealed or unsealed radioactive material or equipment is involved in incidents that may have 

caused or that threaten to cause an exposure in excess of the limits in 10 CFR 20.2202, 

“Notification of incidents,”. Reports to the NRC must be made within the reporting time 

frames specified by the regulations. Notification and reporting requirements are found in 

10 CFR 20.2201–2203, 10 CFR Part 21.21, 10 CFR 30.50, and 10 CFR 39.77. 

In addition, under 10 CFR 37.41(a)(3), any licensee that has not previously implemented the 

Security Orders (i.e., orders issued by the NRC to require licensees to implement interim 

security measures) or been subject to the provisions of 10 CFR Part 37, Subpart C shall notify 

the NRC at least 90 days before aggregating radioactive material to a quantity that equals or 

exceeds the Category 2 threshold. Reporting of an unauthorized entry that results in an actual 

or attempted theft, sabotage, or diversion of a Category 1 or Category 2 quantity of radioactive 

material or any suspicious activity related to possible theft, sabotage, or diversion of a 

Category 1 or Category 2 quantity of radioactive material must be reported to the local law 

enforcement agency and NRC per 10 CFR 37.57.

Note: The following list of notification and reporting requirements is provided to inform 

licensees about typical notification and reporting requirements that apply to their licensed 

activities. Licensees should note that the list is incomplete in that not all potentially applicable 

requirements have been included. Also, notification and reporting requirements change; 

therefore, licensees should consult the regulations for definitive information about 

current requirements.
K–2

Required Regulatory Notifications

Event

Telephone 

Notification

Written 

Report

Regulatory 

Requirement

Package received with 

removable radioactive surface 

contamination exceeding the 

limits of 10 CFR 71.87(i) or 

external radiation levels 

exceeding the limits of 

10 CFR 71.47

Immediate (NRC 

and final delivery 

carrier must be 

notified)

None 10 CFR 20.1906(d)

Theft or loss of material Immediate Within 30 days 10 CFR 20.2201(a)(1)(i)

& (b)(1)

Whole body dose greater 

than 0.25 Sv [25 rems]

per event

Immediate Within 30 days 10 CFR 20.2202(a)(1)(i)

10 CFR 20.2203(a)(1)

Extremity dose greater than 

2.5 Gy [250 rad]

Immediate Within 30 days 10 CFR 20.2202(a)(1)(iii)

10 CFR 20.2203(a)(1)

Whole body dose greater 

than 0.05 Sv [5 rems] in 

24 hours

Within 24 hours Within 30 days 10 CFR 20.2202(b)(1)(i)

10 CFR 20.2203(a)(1)

Extremity dose greater than 

0.5 Sv [50 rems] in 24 hours

Within 24 hours Within 30 days 10 CFR 20.2202(b)(1)(iii)

10 CFR 20.2203(a)(1)

Whole body dose greater 

than 0.05 Sv [5 rems] in 

a year

None Within 30 days 10 CFR 20.2203(a)(2)(i)

Dose to individual member of 

public greater than 1 mSv 

[100 mrems] in a year

None Within 30 days 10 CFR 20.2203(a)(2)(iv)

Defect in equipment that 

could create a substantial 

safety hazard subject to the 

requirements of 

10 CFR Parts 30, 40, and 70

Within 2 days Within 30 days 10 CFR 21.21(d)(3)(i)

& (ii)

Event that prevents 

immediate protective actions 

necessary to avoid exposure 

to radioactive materials that 

could exceed regulatory limits

Immediate Within 30 days 10 CFR 30.50(a)&(c)(2)
K–3

Event

Telephone 

Notification

Written 

Report

Regulatory 

Requirement

Unplanned contamination 

event that requires restricted 

access for more than 

24 hours and involves a 

quantity of material greater 

than five times the lowest 

annual limit on intake for the 

material as specified in 

Appendix B of 

10 CFR Part 20 and requires 

the area to be restricted for a 

reason other than to allow 

radionuclides with half-lives 

less than 24 hours to decay 

Within 24 hours Within 30 days 10 CFR 30.50(b)(1)

& (c)(2)

Equipment is disabled or fails 

to function as designed when 

required to prevent radiation 

exposure in excess of 

regulatory limits

Within 24 hours Within 30 days 10 CFR 30.50(b)(2)

& (c)(2)

Unplanned fire or explosion 

that affects the integrity of 

any licensed material or 

device, container, or 

equipment with 

licensed material

Within 24 hours Within 30 days 10 CFR 30.50(b)(4)

& (c)(2)

Coordination with local law 

enforcement agency (LLEA) 

has failed, either because the 

LLEA has not responded or 

because the LLEA does not 

plan to participate

3 business days Submittal of a 

written report 

concerning 

failures of 

coordination 

with LLEA as 

described in 

10 CFR 

37.45(b) is not 

required; 

however, 

licensees must 

document their 

efforts to 

coordinate with 

the LLEA and 

keep this 

documentation 

for 3 years

10 CFR 37.45(b) & (c)
K–4

Event

Telephone 

Notification

Written 

Report

Regulatory 

Requirement

Determination that an 

unauthorized entry resulted in 

an actual or attempted theft, 

sabotage, or diversion of 

Category 1 or Category 2 

quantity of 

radioactive material

As soon as 

possible (but not at 

the expense of 

causing delay or 

interfering with the 

LLEA response), 

but no later than 

4 hours 

after discovery

30 days 10 CFR 37.57(a) & (c)

Assessment of any 

suspicious activity related to 

possible theft, sabotage, or 

diversion of Category 1 or 

Category 2 quantities of 

radioactive material

As soon as 

possible, but no 

later than 4 hours 

after notifying 

the LLEA

None 10 CFR 37.57(b)

Determination that a 

shipment containing a 

Category 1 quantity of 

material is lost or missing in 

transport

Within 1 hour of the 

determination. 

Also notify LLEA 

within 1 hour of 

determination

30 days and 

periodic 

updates

(if subsequent 

substantive 

information)

10 CFR 37.81(a),(g)

& (h)

Determination that a 

shipment containing a 

Category 2 quantity of 

material is lost or missing 

in transport

Within 4 hours of 

the determination

and again within 

24 hours if the 

material has not yet 

been located and 

secured

30 days and 

periodic 

updates

(if subsequent 

substantive 

information)

10 CFR 37.81(b),(g)

& (h)

Discovery along the route of 

any actual or attempted theft 

or diversion, or suspicious 

activity, related to a 

Category 1 quantity of 

material in transport

As soon as 

possible upon 

discovery. Also

notify LLEA as 

soon as possible

upon discovery

30 days

(except no 

report for 

suspicious 

activity) and 

periodic 

updates after 

report (if 

subsequent 

substantive 

information)

10 CFR 37.81(c),(g)

& (h)
K–5

Event

Telephone 

Notification

Written 

Report

Regulatory 

Requirement

Discovery of any actual or 

attempted theft or diversion, 

or suspicious activity, related 

to a Category 2 quantity of 

material in transport

As soon as 

possible

30 days

(except no 

report for 

suspicious 

activity) and 

periodic 

updates after 

report 

(if subsequent 

substantive 

information)

10 CFR 37.81(d),(g)

& (h)

Upon recovery of any lost or 

missing Category 1 quantity

of material

As soon as 

possible. Also 

notify the LLEA as 

soon as possible

To be included 

in the 30-day 

report of an 

event 

described in 

10 CFR 

37.81(g), if 

recovered 

during that 

time or in a 

subsequent 

update

10 CFR 37.81(e) & (h)

Upon recovery of any lost or 

missing Category 2 quantity 

of material

As soon as 

possible

To be included 

in the 30-day 

report of an 

event 

described in 

10 CFR 

37.81(g), if 

recovered 

during that 

time or in a 

subsequent 

update

10 CFR 37.81(f) & (h)

Rupture of sealed source Immediate Within 30 days 10 CFR 39.77(a)

Sealed source becomes 

lodged in well bore and 

becomes classified as 

irretrievable

As soon as 

possible 

Within 30 days 10 CFR 39.77(c) & (d)

Leak test of sealed source 

resulting in leakage greater 

than 185 Bq 

[0.005 microcuries]

none Within 5 days 10 CFR 39.35(d)
K–6

Event

Telephone 

Notification

Written 

Report

Regulatory 

Requirement

Defect in equipment that 

could create a substantial 

safety hazard

Within 2 days Within 30 days 10 CFR 21.21(d)(3)(i)

& (ii)

Note: Telephone notifications will be made to the NRC Operations Center at 301-816-5100 or 

by facsimile to 301-816-5151 except as noted. The Center is staffed 24 hours a day and 

accepts collect calls. NRC notification is required when licensed materials are lost or stolen or 

are involved in an incident that may have resulted in doses in excess of NRC limits.
APPENDIX L

MODEL LEAK TEST PROGRAM

L–1

Model Leak Test Program

Requests to Perform Leak Testing and Sample Analysis

Training

Before allowing an individual to perform leak testing, the licensee must ensure that he or she 

has sufficient classroom and on-the-job training to show competency in performing leak testing 

and sample analysis independently.

Classroom training may be in the form of lecture, online, video, hands-on, or self-study and 

should cover the following subject areas:

• principles and practices of radiation protection

• radioactivity measurements, monitoring techniques, and instrument use

• mathematics and calculations used for measuring radioactivity

• biological effects of radiation

Appropriate on-the-job-training consists of the following:

• observing authorized personnel collecting and analyzing leak-test samples

• collecting and analyzing leak-test samples under the supervision and in the physical

presence of an individual authorized to perform leak testing and sample analysis

Facilities and Equipment

• To ensure achieving the required sensitivity of measurements, analyze leak tests in a 

low-background area.

• Use a calibrated and operable survey instrument to check leak test samples for gross 

contamination before they are analyzed.

• Analyze the leak test sample using an instrument that is appropriate for the type of 

radiation to be measured [e.g., NaI (Tl) well-counter system for gamma emitters, liquid 

scintillation for beta emitters, gas-flow proportional counters for alpha emitters].

• If the sensitivity of the counting system is unknown, determine the minimum detectable 

activity (MDA). The MDA may be determined using the following formula:

MDA = 

2.71 + 4.65 �bkg ×t

t ×E

where: MDA = minimum detectable activity in disintegrations per minute (dpm)

bkg = background count rate in counts per minute (cpm)

t = background counting time in minutes

E = detector efficiency in counts per disintegration
L–2

For example:

where: bkg = 200 counts per minute (cpm)

E = 0.1 counts per disintegration (10 percent efficient)

t = 2 minutes

MDA = 

2.71 + 4.65 �200 cpm × 2 minutes

2 × 0.1 = 

2.71 + 4.65 √400

0.2

= 

2.71 + 4.65(20)

0.2 = 

2.71 + 93

0.2 = 

95.71

0.2

= 

478.55 disintegrations

minute

becquerels (Bq) = 

1 disintegration

second

MDA = 

478.55 disintegration

minutes × 

minute

60 seconds = 7.976 Bq

Note: The MDA equation shown above assumes that counting times for the background 

measurement and for the sample will be equal. MDA equations for nonequal counting times, as 

well as derivations of equations and discussions of limitations, can be found in 

“Decommissioning Health Physics—A Handbook for MARSSIM Users,” Eric W. Abelquist, 

published by Taylor & Francis Group, 2001.

Frequency for Conducting Leak Tests of Sealed Sources

Leak tests will be conducted at the frequency specified in the respective Sealed Source and 

Device registration certificate. If a sealed source is not registered, leak tests should be 

conducted at 6-month intervals, unless a different interval is established during the licensing 

process. Leak testing of sealed sources may be required by license condition.

Procedure for Performing Leak Testing and Analysis

• For each sealed source to be tested, list identifying information such as the sealed 

source serial number, manufacturer, model number, radionuclides, and activity of the 

sealed source.

• Use a radiation survey meter to monitor exposure.

• Prepare a separate wipe sample (e.g., cotton swab or filter paper) for each source.

• Number each wipe to correlate with identifying information for each source.

• Wipe the most accessible area where contamination would accumulate if the 

sealed source were leaking, but do not wipe the surface of a plated or foil source 

(see manufacturer’s instructions).
L–3

• Select instrumentation that is sensitive enough to detect 185 becquerels (Bq)

[0.005 microcuries (μCi)] of the radionuclide contained in the sealed source.

• Using the selected instrument, count and record background count rate.

• Check the instrument’s counting efficiency using a standard source of the same 

radionuclide as the source being tested or one with similar energy characteristics. The 

calibration source should be in the same configuration as the sample. Accuracy of 

standards should be within plus or minus 5 percent of the stated value and traceable to 

primary radiation standards such as those maintained by the National Institute of 

Standards and Technology.

• Calculate the counting efficiency of the detector. 

Efficiency in cpm/Bq = [(cpm from std) – (cpm from bkg)]

activity of std in Bq

Where: cpm = counts per minute

std = standard

bkg = background

Bq = becquerel

• Count each wipe sample; determine net count rate.

• For each sample, calculate and record estimated activity in becquerels (or microcuries). 

The activity of the sample in becquerels may be calculated using the following formula:

Activity of sample [Bq] = [(cpm from wipe sample) - (cpm from bkg)]

efficiency in cpm/Bq

• Sign and date the list of sources, data, and calculations. Retain records for 3 years 

[under Title 10 of the Code of Federal Regulations (10 CFR) 20.2103(a)].

• If the wipe test activity is 185 becquerels [0.005 μCi] or greater, notify the radiation 

safety officer (RSO), so that the source can be withdrawn from use and disposed of 

properly. Also, notify the U.S. Nuclear Regulatory Commission (NRC). 

Reference: See NUREG–1556, Volume 18, “Consolidated Guidance About Materials Licenses: 

Program-Specific Guidance About Service Provider Licenses,” if the applicant wants to provide 

leak testing and sample analysis as a commercial service provider.

APPENDIX M

TRANSPORTATION—MAJOR DEPARTMENT OF TRANSPORTATION

REGULATIONS; SAMPLE SHIPPING DOCUMENTS, 

PLACARDS, AND LABELS

M–1

Transportation—Major Department of Transportation Regulations; 

Sample Shipping Documents, Placards and Labels

Note: The following list of U.S. Department of Transportation (DOT) regulations is provided to 

inform licensees about typical requirements that apply to the transportation of licensed material 

including the preparation of shipments of licensed material. Licensees should note that the list 

is incomplete in that not all potentially applicable requirements have been included. Also, 

transportation requirements change; therefore, licensees should consult the regulations for 

definitive information about current requirements. Additional information on transportation 

requirements may be found at the DOT Web site: https://www.dot.gov/.

Title 10 of the Code of Federal Regulations (10 CFR) 71.5 requires compliance with DOT 

regulations in 49 CFR Parts 107, 171 through 180 and 390 through 397, appropriate to the 

mode of transport. The following are the major areas in DOT regulations most relevant for 

transporting radioactive materials as Type A or Type B quantities:

• Table of Hazardous Materials and Special Provisions—49 CFR 172, Subpart B

— 49 CFR 172.101—Hazardous Materials Table [proper shipping name, hazard 

class, identification number]

— 49 CFR 172.101—List of Hazardous Substances and Reportable Quantities, 

Table 2 to Appendix A—Radionuclides

• Shipping Papers—49 CFR 172, Subpart C

— 49 CFR 172.201—Preparation and retention of shipping papers

— 49 CFR 172.202—Description of hazardous material on shipping papers

— 49 CFR 172.203—Additional description requirements

— 49 CFR 172.204—Shipper’s certification 

• Marking—49 CFR 172, Subpart D

— 49 CFR 172.300—Applicability

— 49 CFR 172.301—General marking requirements for nonbulk packagings

— 49 CFR 172.304—Marking requirements

— 49 CFR 172.310—Class 7 (radioactive) materials

— 49 CFR 172.324—Hazardous substances in nonbulk packagings 

[designation of “reportable quantities” with the letters “RQ”]

• Labeling—49 CFR 172, Subpart E

— 49 CFR 172.400—General labeling requirements

— 49 CFR 172.400a—Exceptions from labeling

— 49 CFR 172.401—Prohibited labeling

— 49 CFR 172.403—Class 7 (radioactive) material

— 49 CFR 172.406—Placement of labels

— 49 CFR 172.436—RADIOACTIVE WHITE-I label

— 49 CFR 172.438—RADIOACTIVE YELLOW-II label

— 49 CFR 172.440—RADIOACTIVE YELLOW-III label
M–2

• Placarding—49 CFR 172, Subpart F

— 49 CFR 172.500—Applicability of placarding requirements

— 49 CFR 172.504—General placarding requirements

— 49 CFR 172.516—Visibility and display of placards

— 49 CFR 172.556—RADIOACTIVE placard

• Emergency Response Information—49 CFR 172, Subpart G

— 49 CFR 172.600—Applicability and general requirements

— 49 CFR 172.602—Emergency response information

— 49 CFR 172.604—Emergency response telephone number

• Training—49 CFR 172, Subpart H

— 49 CFR 172.702—Applicability and responsibility for training and testing

— 49 CFR 172.704—Training requirements

• Safety and Security Plans—49 CFR 172, Subpart I

— 49 CFR 172.800—Purpose and applicability

— 49 CFR 172.802—Components of a security plan

• Shippers—General Requirements for Shipments and Packagings—49 CFR Part 173

Class 7 (Radioactive Materials) – Subpart I

— 49 CFR 173.25—Authorized packagings and overpacks

— 49 CFR 173.403—Definitions

— 49 CFR 173.411—Industrial packages

— 49 CFR 173.412—Additional design requirements for Type A packages

— 49 CFR 173.413—Requirements for Type B packages

— 49 CFR 173.415—Authorized Type A packages

— 49 CFR 173.416—Authorized Type B packages

— 49 CFR 173.433—Requirements for determining basic radionuclide values, and 

for the listing of radionuclides on shipping papers and labels

— 49 CFR 173.435—Table of A1 and A2 values for radionuclides

— 49 CFR 173.441—Radiation level limitations and exclusive use provisions

— 49 CFR 173.471—Requirements for U.S. Nuclear Regulatory Commission 

approved packages
M–3

— 49 CFR 173.475—Quality control requirements prior to each shipment of Class 7 

(radioactive) materials

— 49 CFR 173.476—Approval of special form Class 7 (radioactive) materials

• Carriage by Public Highway—49 CFR Part 177

— 49 CFR 177.817—Shipping papers

— 49 CFR 177.842—Class 7 (radioactive) material [includes requirement for 

blocking and bracing during transport]

Note: The following reference charts are for reference only and are not a substitute for DOT

and U.S. Nuclear Regulatory Commission transportation regulations.
M–4

1. Minimum Required Packaging for Class 7 (Radioactive) Material:[1] 

(49 CFR 173 and 10 CFR 71)[2]

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

Minimum Packaging Required for Radioactive Materials other than Low Specific Activity (LSA) Material and Surface Contaminated 

Objects (SCO) based on Activity of Package Contents

Radioactive Material Quantity[3] Limited Quantities and 

Articles Type A[4] [9] Type B 

Activity Restrictions ≤ the limits specified in

Table 4 of § 173.425

≤ A1 for special form

≤ A2 for normal form

> A1 for special form

> A2 for normal form

Contents of 

Package

Non-fissile and 

Fissile Excepted Excepted Package Type A Package Type B(U) or Type B(M) package

Fissile N/A Type AF[10] package Type B(U)F or Type B(M)F package

Minimum Packaging Required for LSA Material and SCO[5,6]

Type(s) of LSA 

and/or SCO LSA-I LSA-II LSA-III SCO-I SCO-II

Category of 

Package for 

Domestic or 

International 

Transport[7,8]

Unpackaged[8] - - Unpackaged[8] -

IP-1: solids or liquids/exclusive use - - IP-1 -

IP-2: liquids/non-exclusive use IP-2: exclusive use[9] IP-2: exclusive use - IP-2

Specification tank cars or cargo tank 

motor vehicles: liquids/exclusive use

IP-3: liquids or 

gases/non-exclusive 

use[9]

IP-3: non-exclusive 

use - -

Alternative 

Provisions for 

Domestic only 

Transport[8]

Packaging shall meet the requirements of §§ 173.24, 24a, and 173.410.

Transportation shall be an exclusive use shipment.

Activity per shipment must be less than an A2 quantity (see § 173.427(b)(4)).

[1] Additional provisions may apply for radioactive materials that are pyrophoric, oxidizing, fissile excepted, or uranium hexafluoride. 

[2] Each NRC licensee shall comply with the applicable requirements of the DOT regulations in 49 CFR parts 107, 171 through 180, 

and 390 through 397 (see § 71.5).

[3] Materials that contain radionuclides, where both the activity concentration and the total activity in the consignment exceed either the 

values specified in the table in § 173.436 or the values derived according to the instructions in § 173.433, must be regulated in 

transport as Class 7 (radioactive) material. 

[4] Except for LSA material and SCO, a Type A package may not contain a quantity of Class 7 (radioactive) material greater than A1 or 

A2 (see § 173.431(a)). See A1 and A2 definitions in § 173.403.

[5] The external dose rate from LSA material or SCO in a single package may not exceed 10 mSv/h (1 rem/h) at 3 meters from the 

unshielded material or objects (see §§ 173.427(a)(1) and (d)). 

[6] LSA material and SCOs that are or contain fissile material in quantities that are not fissile excepted must be packaged in appropriate 

Type AF or Type BF packages, and not classified as LSA material or SCO. For alternate domestic transport provisions, see 

§ 173.427(b)(4). For comprehensive guidance on packaging and transportation of LSA material and SCO, see NUREG-1608.

[7] For the quantity of LSA material and SCO transported in a single conveyance, see the limits specified in § 173.427(a)(2).

[8] LSA material or SCO shall be appropriately packaged in accordance with § 173.427(b) or (d). Certain LSA-I material and SCO-I may 

be transported unpackaged under the conditions in § 173.427(c).

[9] See §§ 173.411(c) and 173.415(a) for requirements related to package record retention (2 years) and associated documentation of 

physical tests. 

[10] See §§ 71.22(a), 71.23(a) and 173.417(a) for regulations regarding the use of non-AF packages for fissile materials. 
M–5

2. Radiation Level, TI and CSI Limits for Transportation by Mode:[1] (49 CFR 173 - 177, and 10 CFR 71)[10]

Type of Transport Non-exclusive use Exclusive use

Mode of Transport Road, Rail, Vessel and Air[9] Road and Rail Vessel Air (cargo 

only)

Radiation Level Limits[2]

Package Surface 2 mSv/h (200 mrem/h)

2 mSv/h (200 mrem/h): other than 

closed vehicles

10 mSv/h (1000 mrem/h): closed 

vehicles

2 mSv/h[11]

(200 mrem/h)

2 mSv/h 

(200 mrem/h)[3]

Conveyance[4] N/A

2 mSv/h (200 mrem/h): outer 

surfaces (sides, top and underside) 

of vehicle[5]

N/A N/A

0.1 mSv/h (10 mrem/h): at any 

point two (2) m (6.6 ft) from sides 

of the vehicle[5]

N/A N/A

Occupied position N/A 0.02 mSv/h (2 mrem/h): in any 

normally occupied area[6]

Requirements 

of 

§ 176.708 apply

N/A

Transport Index (TI) Limits[2]

Package[7]

3: passenger aircraft

10: road, rail, vessels and cargo 

aircraft

No limit 10

Conveyance[4]

50: road, rail and passenger aircraft

50 to No limit: vessels[8]

200: cargo aircraft

No limit 200

Overpack

N/A: for road, rail

50 to 200: vessel[8]

3: passenger aircraft; 

10: cargo aircraft

N/A No limit[8] N/A

Criticality Safety Index (CSI) Limit for fissile material[2]

Package[7] 50 100 100 100

Conveyance[4]

50: road, rail and air

50: for holds, compartments or 

defined deck areas of vessels[8]

200 to No limit: for a total vessel[8]

100

200 to No limit: 

for a total 

vessel[8]

100

Overpack 50: road, rail, vessels[8] and air N/A

[1] Radiation level, TI, and CSI are defined in § 173.403.

[2] In addition to any applicable radiation level, TI and CSI limits, separation distance requirements apply to packages, 

conveyances, freight containers and overpacks; to occupied positions; and to materials stored in transit. Separation distances 

are based on the sum of the TIs and, for fissile materials, the sum of the CSIs. [see applicable 49 CFR references for: Rail -

§ 174.700; Air – §§ 175.700 through 175.703; Vessel - §§ 176.700 through 176.708; and Highway - § 177.842].

[3] Higher package surface radiation levels may be allowed through an approved special arrangement.

[4] Conveyance is, for transport by public highway or rail, any transport vehicle or large freight container; and for transport by air, 

any aircraft. See definitions in § 173.403.

[5] The outer surfaces (sides, top and underside) of vehicles are specified for road and rail vehicles in § 173.441.

[6] For rail, normally occupied areas include the transport vehicle and adjacent rail cars. The 0.02 mSv/h (2 mrem/h) limit does not 

apply to carriers operating under a State or federally regulated radiation protection program where personnel wear radiation 

dosimetry devices.

[7] Additional TI and CSI limits apply for individual packages when non-fissile radioactive material packages are mixed with fissile 

material packages (see § 173.459).

[8] For details on TI and CSI limits for transport by vessel, see § 176.708.

[9] Only excepted packages and packages intended for use in research, medical diagnosis, and treatment are permitted on 

passenger aircraft (see §§ 173.448(f) and 175.700).

[10] The limits in this table do not apply to excepted packages. See the following references for the radiation level limits for: limited 

quantities, § 173.421; instruments and articles, § 173.424; articles containing natural uranium or thorium, § 173.426; or empty 

packaging, § 173.428.

[11] 2 mSv/h (200 mrem/h) other than intermodal transport of closed transport vehicles or exclusive use vessel.
M–6

 3. Contamination Limits and Quality Control for Class 7 (Radioactive) Materials:

(49 CFR 173.443 and 173.475, and 10 CFR 71)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

Maximum Permissible Limits for Non-fixed Radioactive Contamination on Packages When Offered for Transport

The level of non-fixed (removable) radioactive contamination on the external surface of each package, conveyance, freight container, and overpack offered 

for transport must be kept as low as reasonably achievable, and shall not exceed the values shown in the following table: 

Contaminant 

Maximum permissible limits (§ 173.443(a), Table 9)

Bq/cm2 μCi/cm2 dpm/cm2

Beta and gamma emitters and low toxicity alpha emitters 4 10-4 240

All other alpha emitting radionuclides 0.4 10-5 24

The non-fixed contamination shall be determined by:

(a) wiping, with an absorbent material using moderate pressure, sufficient areas on the package to obtain a representative sampling of the non-fixed 

contamination;

(b) ensuring each wipe area is 300 cm2 in size;

(c) measuring the activity on each single wiping material and dividing that value by the surface area wiped and the efficiency of the wipe procedure, 

where an actual wipe efficiency may be used, or it may be assumed to be 0.10.

Alternatively, the contamination level may be determined using alternative methods of equal or greater efficiency.

A conveyance used for non-exclusive use shipments is not required to be surveyed unless there is reason to suspect that it exhibits contamination (see 

§ 173.443(a)(2)).

Provisions for Control of Contamination on Radioactive Material Packages Offered for Transport and at the Time of Receipt

• When offered for transport, the non-fixed contamination on each package of radioactive material must be kept as low as reasonably achievable and may 

not exceed the limits set forth in § 173.443(a), Table 9 (as shown above).

• During transport, non-fixed contamination levels on packages transported as exclusive use by rail or highway may not exceed 10 times the limits in 

§ 173.443(a), Table 9 (as shown above).

Provisions for Non-fixed (Removable) Contamination on Excepted and Empty Radioactive Material Packages

• The non-fixed radioactive surface contamination on the external surface of excepted and empty packages shall not exceed the limits specified in 

§ 173.443(a), Table 9 (as shown above).

• The internal contamination of an empty package must not exceed 100 times the limits in § 173.443(a), Table 9 (as shown above).

Provisions for Non-fixed (Removable) Contamination on Packages and in Rail and Road Vehicles 

used for Exclusive Use Shipments of Radioactive Material

• The levels of non-fixed radioactive contamination on the packages (a) at the beginning of transport, may not exceed the levels prescribed in the above 

table, and (b) at any time during transport, may not exceed ten times the levels prescribed in § 173.443(a), Table 9 (as shown above) [see 

§ 173.443(b)].

• Each conveyance, overpack, freight container, or tank used for transporting Class 7 (radioactive) material as an exclusive use shipment that utilizes the 

provisions of § 173.443(b) must be surveyed with appropriate radiation detection instruments after each exclusive use transport. If contamination 

values exceed acceptable levels, the transport vehicle may not be returned to exclusive use transport service, and then only for subsequent exclusive 

use shipment, unless the radiation dose rate at each accessible surface is demonstrated to be 0.005 mSv/h (0.5 mrem/h) or less, and that there is no 

significant non-fixed radioactive surface contamination as specified in § 173.443(a), Table 9 (as shown above) [see § 173.443(c)].

Provisions for Non-fixed (Removable) Contamination in Closed Rail and Road Vehicles

that are used Solely for the Transportation of Radioactive Material (§ 173.443(d))

• The contamination levels must not exceed 10 times the levels prescribed in § 173.443(a), Table 9 (as shown above).

• Each vehicle is marked with the words “For Radioactive Materials Use Only” in letters at least 76 mm (3 in) high in a conspicuous place on both sides 

of the exterior of the vehicle.

• The vehicle must meet the placard requirements of Subpart F of Part 172.

• A survey of the interior surfaces of the empty closed vehicle must show that the radiation dose rate at any point does not exceed 0.1 mSv/h (10 

mrem/h) at the surface or 0.02 mSv/h (2 mrem/h) at 1 m (3.3 feet) from the surfaces.

• Each vehicle shall be kept closed except for loading or unloading.

Provisions for Quality Control Prior to Each Shipment of Radioactive Material (§ 173.475)

• Before each shipment of any radioactive materials package, the offer or must ensure, by examination or appropriate tests, that:

(a) the packaging is proper for the contents to be shipped; 

(b) the packaging is in unimpaired physical condition, except for superficial marks; 

(c) each closure device of the packaging, including any required gasket, is properly installed, secured, and free of defects; 

(d) for fissile material, each moderator and neutron absorber, if required, is present and in proper condition; 

(e) each special instruction for filling, closing, and preparation of the packaging for shipment has been followed; 

(f) each closure, valve, or other opening of the containment system is properly closed and sealed; 

(g) each packaging containing liquid in excess of an A2 quantity and intended for air shipment has been tested to show that it will not leak under an 

ambient atmospheric pressure of not more than 25 kPa, absolute (3.6 psia), where the test must be conducted on the entire containment system, 

or on any receptacle or vessel within the containment system, to determine compliance with this requirement;

(h) the internal pressure of the containment system will not exceed the design pressure during transportation; and

(i) the external radiation and contamination levels are within the allowable limits specified in §§ 173.441 and 173.443.
M–7

4. Hazard Communications for Class 7 (Radioactive) Materials: Shipping Papers (49 CFR 172, Subpart C)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

NOTE: IAEA, IATA/ICAO, and IMO may require additional hazard communication information. [1]

Shipping Paper Entries

Always Required Sometimes Required Optional Entries

Basic description (in sequence):

• UN Identification number

• Proper Shipping Name

• Hazard Class (7)

• Maximum activity contained in each 

package in SI units (e.g., Bq, TBq), 

or in both SI and customary units 

(e.g., Ci, mCi) with customary units in 

parentheses following the SI units

• Number and type of packages 

Additional description:

• Name of each radionuclide[2]

• Description of physical and 

chemical form (unless special form)

• “Special form” when not in the 

proper shipping name

• Category of label used

• Transport index (TI) of each package 

bearing a Yellow-II or Yellow-III label

Additional entry requirements:

• 24 hour emergency telephone 

number

• Shipper’s Certification shall be 

provided by each person offering 

radioactive material for 

transportation[3]

• Proper page numbering (e.g., Page 1 

of 4)

Materials-based Requirements:

• The criticality safety index (CSI) or “Fissile Excepted” for 

fissile material

• “Highway route controlled quantity” or “HRCQ” for highway 

route controlled quantities

• The letters “RQ” entered either before or after the basic 

description for each hazardous substance [see § 171.8]

• Enter applicable subsidiary hazard class(es) in parentheses 

immediately following the primary hazard class when a 

subsidiary hazard label is required

• A hazardous waste manifest and the word “Waste” 

preceding the proper shipping name is required for 

radioactive material that is hazardous waste

Package-based Requirements:

• The applicable DOE or NRC package approval identification 

marking for each Type B(U), Type B(M), or fissile material 

package

• The International Atomic Energy Agency (IAEA) Certificate of 

Competent Authority identification marking for export 

shipment or shipment in a foreign made package

Shipment- and Administrative-based Requirements:

• Specify “exclusive use shipment” as required

• Specify instructions for maintaining exclusive use controls for 

shipments of LSA material or SCO under exclusive use

• Specify the notation “DOT–SP” followed by the special 

permit number for a special permit shipment

• The weight in grams or 

kilograms may be 

inserted instead of 

activity units for fissile 

radionuclides, except for 

Pu-239 and Pu-241

• The weight in grams of 

Pu-239 and Pu-241 may 

be inserted in addition to 

the activity units

• Other information is 

permitted provided it 

does not confuse or 

detract from the proper 

shipping name or other 

required information

Special Considerations/Exceptions for Shipping Papers

• For shipments of multiple cargo types, any HAZMAT entries must appear as the first entries on the shipping papers, or be entered in a 

color that readily contrasts with any description on the shipping papers or highlighted on the shipping papers in a contrasting color, or be 

designated by an “X” (or “RQ” if appropriate).

• Emergency response information consistent with §§ 172.600 – 172.606 shall be readily available on the transport vehicle.

• Shipments of excepted radioactive material in excepted packages, under UN2908, UN2909, UN2910, and UN2911, are excepted from 

shipping paper requirements if (a) the material is not a hazardous substance or hazardous waste and (b) the package does not contain 

fissile material or contain fissile material that is excepted by § 173.453.

• For road transport, the shipping papers shall be (a) readily available to authorities in the event of accident or inspection, (b) stored within 

the driver’s immediate reach while he is restrained by the lap belt, (c) readily visible to a person entering the driver's compartment or in a 

holder which is mounted to the inside of the door on the driver's side of the vehicle, and (d) either in a holder mounted to the inside of the 

door on the driver's side of the vehicle or on the driver's seat [see § 177.817(e)].

[1] International Atomic Energy Agency (IAEA); International Air Transportation Association (IATA); International Civil Aviation 

Organization (ICAO); International Maritime Organization (IMO). 

[2] For mixtures of radionuclides, the radionuclides to be shown must be determined in accordance with § 173.433(g), which is commonly 

known as the 95% rule; abbreviations (symbols) are authorized.

[3] The Shipper’s certification shall satisfy the requirements of § 172.204.
M–8

5. Hazard Communication for Class 7 (Radioactive) Materials: Marking of Packages: 

(49 CFR 172, Subpart D; and 49 CFR 173.471, 178.3 and 178.350)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

NOTE: IAEA, IATA/ICAO, and IMO may require additional hazard communication information.

Markings on Packages

Markings Always Required 

Unless Excepted[1]

Additional Markings Sometimes Required Optional Markings 

For Non-bulk Packages:

• Proper shipping name

• Identification number 

(preceded by “UN” or “NA,” as 

appropriate) 

• Name and address of 

consignor or consignee, unless 

the package is:

 highway only and no motor 

carrier transfers; or

 part of a rail carload or 

truckload lot or freight 

container load, and entire 

contents of railcar, truck, or 

freight container are shipped 

from one consignor to one 

consignee

For Bulk Packages:

• Identification number on 

orange panel or white 

square-on-point display [see 

§§ 172.332 or 172.336]: 

 on each side and each end, 

if the packaging has a 

capacity of 3,785 L 

(1,000 gallons) or more[2], or

 on two opposing sides, if the 

packaging has a capacity of 

less than 3,785 L

(1,000 gallons)[2]

Package-based marking requirements:

• Gross mass, including the unit of measurement (which may be 

abbreviated) for each package with gross mass greater than 50 kg 

(110 lb)

• Package type as appropriate, i.e., “TYPE IP–1,” “TYPE 

IP–2,” “TYPE IP–3,” “TYPE A,” “TYPE B(U)” or “TYPE B(M)”[1]

• Marked with international vehicle registration code of country of origin 

for IP–1, IP–2, IP–3 or Type A package design (e.g., “USA”)

• Both the name and 

address of consignor 

and consignee is 

recommended.

• Other markings on 

packages such as 

advertising are 

permitted, but must be 

located away from 

required markings and 

labeling.

For marking exceptions for 

LSA material and SCO, 

[see 

§ 173.427(a)(6)(vi)] 

(e.g., RADIOACTIVE-LSA, 

RADIOACTIVE-SCO, or 

RQ, as appropriate).

For an overpack, the 

marking “OVERPACK” in 

lettering 12 mm 

(0.5 inches) high. This 

marking is not required if 

the package type 

contained in the overpack 

is visible from the outside

[see § 173.25].

• Radiation (trefoil) symbol[3] on outside of outermost 

receptacle of each Type B(U) or Type B(M) 

packaging design

• Each NRC-approved package (e.g., Type AF, Type B(U), Type B(M), 

Type B(U)F, and Type B(M)F) must be marked with the identification 

marking indicated in the package approval

• For Specification 7A packaging, mark on the outside with “USA DOT 7A 

Type A”, and the name and address or symbol of the manufacturer 

satisfying §§ 178.3 and 178.350

Materials-based requirements:

• For a non-bulk IP–1 package containing a liquid, use 

underlined double arrow symbol indicating upright 

orientation[4], where the symbol is placed on two 

opposite sides of the packaging [see § 172.312]

• For a non-bulk package containing a hazardous substance, mark the 

outside of each package with the letters “RQ” in association with the 

proper shipping name

Administrative-based requirements:

• For each Type B(U), Type B(M) or fissile material package destined for 

export shipment, mark “USA” in conjunction with specification marking, 

or certificate identification; and package identification indicated in the 

U.S. Competent Authority Certificate

• Mark “DOT–SP” followed by the special permit number assigned for 

each package authorized by special permit

• Competent authority identification marking and revalidation for foreign 

made Type B(U), Type B(M), Type H(U), Type H(M), or fissile material 

package for which a Competent Authority Certificate is required

Special Considerations for Marking Requirements

• All markings are to be (a) on the outside of each package, (b) durable and legible, (c) in English, (d) printed on or affixed to the surface of a 

package or on a label, tag, or sign, (e) displayed on a background of sharply contrasting color, and (f) unobscured by labels or 

attachments.

• When an overpack is used, see §§ 173.25 and 173.448(g) for marking requirements.

[1] Some marking exceptions exist for excepted packages, as specified in §§ 173.421, 173.422, 173.424, 173.426 and 173.428. 

[2] If the identification number marking on a bulk package is not visible, the transport vehicle or freight container must be marked on each 

side and each end [see § 172.331].

[3] The radiation symbol shall be resistant to the effects of fire and water, plainly marked by embossing, stamping or other means resistant 

to the effects of fire and water and conform to the size requirements of Appendix B to Part 172.

[4] The arrows must be either black or red on white or other suitable contrasting background and commensurate with the size of the 

package; depicting a rectangular border around the arrows is optional.
M–9

6. Hazard Communications for Class 7 (Radioactive) Materials: 

Labeling of Packages (49 CFR 172.400-450)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

NOTE: IAEA, IATA/ICAO, and IMO may require additional hazard communication information.

Requirements for Labels[1]

• Label each package, except for (a) excepted packages of radioactive material; and (b) Low Specific Activity (LSA) material and Surface 

Contaminated Objects (SCO), packaged or unpackaged, when transported under exclusive use controls domestically and when the 

material or object contains less than an A2 quantity.

• Labels are required to be (a) printed or affixed to a surface other than the bottom of the package, (b) placed near the proper shipping 

name marking, (c) printed or affixed to a background of contrasting color or have a dotted or solid line outer border, (d) clearly visible, 

(e) not obscured by markings or other attachments, (f) representative of the hazardous material content, and (g) in conformance with 

the label specifications of § 172.407.

• The appropriate radioactive label must be affixed to opposite sides or two ends (other than the bottom) of all non-bulk packages of 

radioactive material.

Category of Radioactive Labels [3] Other Radioactive Labels[2]

White-I Yellow-II Yellow-III Fissile Empty

Maximum Radiation Surface Level (RSL) Fissile labels required for 

each package containing 

fissile material, other than 

fissile-excepted material; 

and labels must be 

affixed adjacent to 

radioactive category 

labels.

Empty labels required 

for empty Class 7 

(radioactive) 

packages satisfying 

§ 173.428; and any 

previously-used 

labels must not be 

visible.

mSv/h RSL < 0.005 0.005 < RSL < 0.5 0.5 < RSL < 2[5]

mrem/h RSL < 0.5 0.5 < RSL < 50 50 < RSL < 200[5]

Transport Index (TI):[4]

TI = 0 0 < TI < 1 1 < TI < 10[5]

Contents on Labels

• Each radioactive category label must contain: (a) Except for LSA-I material, the names of the radionuclides in the package where, for 

mixtures of radionuclides, the names listed must be in accordance with the 95% rule specified in 

§ 173.433(g); and, for LSA-I material, the term “LSA-I”; (b) maximum activity in appropriate SI units (e.g., Bq, TBq), or appropriate 

customary units (e.g., Ci, mCi) in parentheses following SI units; and (c) for Yellow-II or Yellow-III labels the Transport Index (TI). 

Abbreviations and symbols may be used. Except for Pu-239 and Pu-241, the weight in g or kg of fissile radionuclides may be inserted 

instead of activity units; for Pu-239 and Pu-241, the weight in g of fissile radionuclides may be inserted in addition to the activity units 

[see § 173.403 for fissile material definition].

• Each fissile label must contain the relevant Criticality Safety Index (CSI) [see § 172.403(e)]. 

[1] Additional labels may be required if the contents of a package contains material that also meets the definition of one or more other 

hazard class. See §§ 172.402 and 406(c) for details on additional labeling requirements. [See §§ 172.400a, 173.421 through 

173.427 for details when labels are not required, and see § 172.407 for details on label durability, design, size, color, form 

identification, exceptions, and the trefoil symbol size].

[2] A “Cargo Aircraft Only” label is required for each package containing a hazardous material which is authorized for cargo aircraft only 

[see § 172.402(c)].

[3] The category of the label must be the higher of the two values specified for RSL and TI [see § 172.403(b)].

[4] The TI is determined from the radiation level 1 meter from the package surface [see TI definition in § 173.403]. If the measured TI is 

not greater than 0.05, the value may be considered to be zero. When an overpack is used, it must be labeled in accordance with 

§ 72.403(h).

[5] Packages with a TI > 10 or an RSL > 2 mSv/h (200 mrem/h) must be transported under exclusive use provisions [see § 173.441(b)]. 

Any package containing a Highway Route Controlled Quantity (HRCQ) must be labelled as RADIOACTIVE YELLOW-III.
M–10

7. Hazard Communications for Class 7 (Radioactive) Materials: Placarding (49 CFR 172, Subpart F)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

NOTE: IAEA, IATA/ICAO, and IMO may require additional hazard communication information.

Conditions when Display of Placards is Required [§§ 172.504, 172.507(a), 172.508, and 172.512]

• Each bulk package, freight container, unit load device[1], transport vehicle, or rail car containing any quantity of hazardous material 

must be placarded on each side and each end with the placards specified in § 172.504(e).

• Radioactive placards are required for: shipments that contain a package labeled as Radioactive Yellow-III; unpackaged LSA-I or 

SCO-I when transported under exclusive use provisions; shipments required by §§ 173.427, 173.441, and 173.457 to be operated 

under exclusive use; and closed vehicles marked “For Radioactive Materials Use Only” transported under § 173.443(d).

• The Radioactive placard is placed on a square background on any motor vehicle used to transport a package containing a Highway 

Route Controlled Quantity (HRCQ) Class 7 (radioactive) material[2].

Visibility and Display of Radioactive Placards [§ 172.516]

• Placards are required to:

• be clearly visible, on a motor vehicle and rail car, from the direction they face, except from the direction of another transport 

vehicle or rail car to which the motor vehicle or rail car is coupled[3]

• be securely attached or affixed thereto or placed in a holder thereon

• be located clear of appurtenances and devices such as ladders, pipes, doors, and tarpaulins

• be located, so far as practical, so dirt or water is not directed to it from the transport vehicle wheels

• be located at least 3 inches (76.0 mm) away from any marking (e.g. advertising) that could reduce its effectiveness

• have “RADIOACTIVE” printed on it displayed horizontally, reading from left to right

• be maintained by the carrier so format, legibility, color, and visibility of the placard will not be substantially reduced due to 

damage, deterioration, or obscurement by dirt or other matter

• be affixed to a background of contrasting color, or have a dotted or solid line outer border which contrasts with the background 

color.

Radioactive Placards

PLACARD (FOR OTHER THAN HRCQ) PLACARD FOR HRCQ

White triangular background color in the lower portion 

with yellow triangle in the upper portion; trefoil symbol, 

text, class number and inner and outer borders in black. 

[see § 172.556 and Appendix B of Part 172]

Square background must consist of a white square surrounded by 

one-inch black border. The placard inside the square is identical to 

that for other than HRCQ.

[see § 172.527]

General Specifications for Placards and Subsidiary Hazard Placarding

• Placards must conform to the specifications in § 172.519.

• A CORROSIVE placard is also required for each transport vehicle that contains 454 kg (1001 pounds) or more gross weight of nonfissile, fissile-excepted, or fissile uranium hexafluoride [see § 172.505(b)].

• Placards are also required for subsidiary hazards of POISON INHALATION HAZARD, POISON GAS, or DANGEROUS WHEN WET 

[see § 172.505].

[1] See § 172.512 for exceptions and variations to the placarding requirements for freight containers and aircraft unit load devices. 

[2] See § 173.403 for the definition of Highway Route Controlled Quantity (HRCQ). A package containing an HRCQ must be labeled 

with RADIOACTIVE Yellow-III labels [see §§ 172.403(c) and 172.507(a)].

[3] Required placarding of the front of a motor vehicle may be on the front of a truck-tractor instead of or in addition to the placarding 

on the front of the cargo body to which a truck-tractor is attached § 172.516(b).
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8. Requirements/Guidance for Registration, Emergency Response and Action for Class 7 (Radioactive) Materials: 

(49 CFR 107, Subpart G; 49 CFR 171.15; 49 CFR 172, Subparts F and G)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

Provisions for Persons Who Offer or Transport Class 7 (Radioactive) Materials (49 CFR 107, Subpart G)

• Any person, other than those excepted by § 107.606, who offers for transportation, or transports, in foreign, interstate or intrastate commerce any of 

the following Class 7 (radioactive) materials must satisfy registration and fee requirements of Part 107, Subpart G:

o a highway route-controlled quantity of radioactive material;

o a shipment in a bulk packaging with a capacity > 13,248 L (3,500 gallons) for liquids or gases, or > 13.24 cubic meters (468 cubic feet) for solids; 

or

o any quantity of radioactive material that requires placarding, under provisions of Part 172, Subpart F.

• Any person required to register must submit a complete and accurate registration statement on DOT Form F 5800.2 by June 30th for each registration 

year, or in time to have on file a current Certificate of Registration in accordance with § 107.620.

• Each registrant or designee must maintain for a period of 3 years from the date of issuance a copy of the registration statement and Certificate of 

Registration issued by PHMSA and must furnish its Certificate of Registration (or a copy thereof) and related records to an authorized representative or 

special agent of DOT upon request.

• Each motor carrier subject to registration requirements of this subpart must carry a copy of its current Certificate of Registration or another document 

bearing the registration number on board each truck and truck tractor, and the Certificate of Registration or document must be made available, upon 

request, to enforcement personnel.

• The amount of fees to be paid and procedures to be followed are found at §§ 107.612 and 107.616.

Provisions for Providing and Maintaining Emergency Response Information (49 CFR 172, Subpart G)

• When shipping papers for the transportation of radioactive materials are required [see Part 172, Subpart C], emergency response information shall

o be provided and maintained during transportation and at facilities where materials are loaded for transportation, stored incidental to transportation, 

or otherwise handled during any phase of transportation; 

o be provided by persons who offer for transportation, accept for transportation, transfer or otherwise handle hazardous materials during 

transportation;

o be immediately available for use at all times the hazardous material is present; and

o include and make available the emergency response telephone number [see § 172.604] to any person, representing a Federal, State or local 

government agency, who responds to an incident involving the material or is conducting an investigation which involves the material.

• Emergency response information is information that can be used in mitigating an incident involving radioactive materials. It must contain at least the 

information specified in §§ 172.602 and 172.604; and includes an emergency response telephone number that is monitored at all times the material is

in transportation by (a) knowledgeable person, or (b) a person who has immediate access to a knowledgeable person, or (c) an organization capable of 

accepting responsibility for providing the necessary detailed information concerning the material.

• Each carrier who transports or accepts for transportation radioactive material for which a shipping paper is required shall instruct, according to the 

requirements of § 172.606, the operator of a conveyance to contact the carrier in the event of an incident involving the material.

Actions to be Taken in the Event of Spillage, Breakage, or Suspected Contamination by Radioactive Material

• If there is evidence of a leaking package or conveyance, access to the package or conveyance must be restricted, the area impacted and the extent of 

the contamination must be determined, and appropriate measures must be taken to minimize impact to persons and the environment [see 

§ 173.443(e)].

• Except for a road vehicle used solely for transporting Class 7 (radioactive) material [see § 173.443(d)], each aircraft used routinely, and each motor 

vehicle used for transporting radioactive materials under exclusive use, must be (a) periodically checked for radioactive contamination, (b) taken out of 

service if contamination levels are above acceptable limits, and (c) remain out of service until the radiation dose rates at accessible surfaces are less 

than 0.005 mSv/h (0.5 mrem/h) and non-fixed radioactive surface contamination levels are below the limits in §§ 173.443(a), Table 9; and 173.443(c) 

for exclusive use vehicle provisions [see Chart 3].

• Following any breakage, spillage, release or suspected radioactive contamination incident, any rail or air carrier shall notify, as soon as possible, the 

offer or (i.e. the consignor); special provisions apply for buildings, areas, and equipment that might become contaminated during rail transport. 

Alternative provisions may apply for motor vehicles transporting radioactive materials under exclusive use [see §§ 174.750(a), 175.705(e), and

177.843(b)].

Provisions for Immediate Notification for Reportable Incidents Involving Radioactive Materials (§§ 171.15 and 171.16)

• Each person in physical possession of radioactive material must provide notice in the event of a reportable incident (see § 171.15(b)) as soon as 

practical, but no later than 12 hours after the occurrence of the reportable incident, to the National Response Center (NRC) by telephone at 800–424–

8802 (toll free) or 202–267–2675 (toll call) or online at http://www.nrc.uscg.mil.

• Each notice must include the information specified in § 171.15(a)(1) – (a)(7).

• A detailed incident report must also submitted as required by § 171.16.

Guidance on Responding to Emergencies (Emergency Response Guidebook)

• The DOT issues guidance to aid first responders in quickly identifying the hazards of the dangerous goods involved in an accident or 

incident, and for protecting themselves and the general public during the initial response to the accident or incident. For each proper 

shipping name or UN ID Number, the user is led to a specific guide that provides insight into potential hazards and steps to be taken 

for public safety and emergency response.

• The current edition of the Emergency Response Guidebook is available at http://phmsa.dot.gov/hazmat/outreach-training/erg.
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9. Requirements for Training and Safety and Security Plans for Class 7 (Radioactive) Materials:

(49 CFR 172, Subparts H and I, 49 CFR 173, and 10 CFR 37)

These are basic reference charts; refer to current U.S. DOT and NRC regulations for complete requirements.

Training (49 CFR 172, Subpart H)

• For any person who is employed by an employer or is self-employed, and who directly affects hazardous materials transportation 

safety, a systematic program shall be established to ensure that the person:

• has familiarity with the general provisions of Part 172, Subpart H;

• is able to recognize and identify radioactive materials;

• has knowledge of specific requirements of Part 172 that are applicable to functions performed by the employee;

• has knowledge of emergency response information, self-protection measures and accident prevention methods and procedures; 

and

• does not perform any function related to the requirements of Part 172 unless instructed in the requirements that apply to 

that function.

• The person shall be trained pursuant to the requirements of § 172.704(a) and (b), may be trained by the employer or by other public 

or private sources, and shall be tested by appropriate means. The training must include the following:

(a) general awareness training providing familiarity with applicable regulatory requirements;

(b) function-specific training applicable to functions the employee performs;

(c) safety training concerning emergency response information, measures to protect the employee from hazards, and 

methods and procedures for avoiding accidents;

(d) security awareness training providing awareness of security risks and methods designed to enhance transportation 

security; and

(e) in-depth security training if a security plan is required for the shipment(s) involved.

• Initial and recurrent training shall comply with the requirements of § 172.704(c).

• Records of training shall be created and retained in compliance with the requirements of § 172.704(d).

Security (49 CFR 172, Subpart I, 49 CFR 173, and 10 CFR 37)

• A security plan for hazardous materials that conforms to the requirements of Part 172, Subpart I must be developed and adhered to 

by each person who offers for transportation in commerce or transports in commerce in a motor vehicle, rail car, or freight container 

any of the following radioactive materials:

(a) IAEA Code of Conduct Category 1 and 2 materials (see §§ 172.800(b)(15) and 10 CFR 37);

(b) a highway route controlled quantity (HRCQ) of radioactive material as defined in § 173.403 [see § 172.800(b)(15)];

(c) known radionuclides in forms listed as radioactive material quantities of concern (RAM–QC) by the NRC [see §§ 172.800(b)(15) 

and 10 CFR 37]; or

(d) a quantity of uranium hexafluoride requiring placarding under § 172.505(b) [see § 172.800(b)(14)].

• The security plan must include an assessment of possible transportation security risks and appropriate measures to address the 

assessed risks.

• Specific measures put into place by the plan may vary commensurate with the level of threat at a particular time.

• At a minimum, a security plan must address personnel security, unauthorized access, and enroute security.

• The security plan must be

(a) in writing;

(b) retained for as long as it remains in effect;

(c) available as copies or portions thereof to the employees who are responsible for implementing it, consistent with personnel 

security clearance or background investigation restrictions and a demonstrated need to know;

(d) revised and updated as necessary to reflect changing circumstances; and

(e) maintained (all copies) as of the date of the most recent revision, when it is updated or revised.

• Security plans that conform to regulations, standards, protocols, or guidelines issued by other Federal agencies, international 

organizations, or industry organizations may be used to satisfy the requirements in Part 172, provided such security plans address 

the requirements specified in Part 172, Subpart I.

• Additional security planning requirements may apply for rail transport of a highway route controlled quantity of radioactive material 

[see §§ 172.820 and 173.403].
APPENDIX N

MODEL WASTE MANAGEMENT PROCEDURES

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Model Waste Management Procedures

General Guidelines

• All radioactivity labels must be defaced or removed from containers and packages prior 

to disposal into ordinary “nonradioactive” waste streams. If waste is compacted, all 

labels that are visible in the compacted mass must be defaced or removed.

• Remind workers that nonradioactive waste should not be mixed with radioactive waste.

• Occasionally monitor all procedures to ensure that radioactive waste is not created 

unnecessarily. Review all new procedures to ensure that waste is handled in a manner 

consistent with established procedures.

• In all cases, consider the entire effect of various available disposal routes. Consider 

occupational and public exposure to radiation, other hazards associated with the 

material and routes of disposal (e.g., toxicity, carcinogenicity, pathogenicity, 

flammability), and costs.

• The waste management program should include waste handling procedures. Also, 

procedures should be available for well logging personnel who may collect waste from 

areas of use to bring to the storage area for eventual disposal.

• A waste generator, collector, or processor who transports, or offers for transportation, 

low-level radioactive waste intended for ultimate disposal at a licensed low-level 

radioactive waste land disposal facility must prepare a Manifest in accordance with 

Title 10 of the Code of Federal Regulations (10 CFR) Part 20, Appendix G, 

“Requirements for Transfers of Low-Level Radioactive Waste Intended for Disposal at 

Licensed Land Disposal Facilities and Manifests.”

Model Procedure for Disposal by Decay-in-Storage

Applicants should ensure that adequate space and facilities are available for the storage of 

waste for decay-in-storage (DIS). Licensees can minimize the need for storage space if the 

waste is segregated according to physical half-life.

• Only short-lived waste (physical half-life of less than or equal to 120 days) should be 

disposed of by DIS.

• Short-lived waste should be segregated from long-lived waste (half-life greater than 

120 days) at the source.

• Waste should be stored in suitable, well-marked containers, and the containers should 

be adequately shielded.

• Liquid and solid wastes should be stored separately.

• When the waste container is full, it should be sealed. The sealed container should be 

identified with a label affixed or attached to it.
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• The identification label should include the date when the container was sealed, the 

longest-lived radionuclide in the container, total activity, and the name of the individual 

who sealed the container. The container may be transferred to the DIS area. When 

large quantities are held for DIS, sufficient quantities may be present even after many 

half-lives and persons performing surveys should be aware of the potential for 

measurable radiation.

• The contents of the container should be allowed to decay for a period of time after which 

it is expected that the radiation levels would not be distinguishable from background. 

The period of time depends on both the half-life of the radionuclide(s) and the original 

amount present.

• Prior to disposal as ordinary trash, each container should be monitored with an 

appropriate radiation detection instrument, on the lowest setting, as follows:

— Check the radiation detection survey meter for proper operation.

— Survey the contents of each container in a low background area.

— Remove any shielding from around the container.

— Monitor all surfaces of the container.

— Discard the contents as ordinary trash only if the surveys of the contents indicate 

no residual radioactivity (i.e., surface readings are indistinguishable from 

background).

— If the surveys indicate residual radioactivity, return the container to the DIS area 

and contact the RSO for further instructions.

— If the surveys indicate no residual radioactivity, record the date when the 

container was sealed, the disposal date, type of waste (e.g., used or unused 

material, gloves), survey instrument used, and the name of the individual 

performing surveys and disposing of the waste.

Model Procedure for Disposal of Liquids into Sanitary Sewerage

• Confirm that the sewer system is a public system, not a private sanitary sewer, septic 

system, or leach field.

• Confirm that the liquid waste being discharged is soluble (or is material that is readily 

dispersible) in water.

• Calculate the amount of each radionuclide that can be discharged by using the 

information from prior, similar discharges and the information in 10 CFR Part 20, 

Appendix B.

• Make sure that the amount of each radionuclide does not exceed the monthly and 

annual discharge limits specified in 10 CFR 20.2003(a)(4) and 10 CFR Part 20, 

Appendix B, Table 3.
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• If more than one radionuclide is released, the sum of the ratios of the average monthly 

discharge of a radionuclide to the corresponding limit in 10 CFR Part 20, Appendix B, 

Table 3 must not exceed unity.

• Confirm that the total quantity of licensed material released into the sanitary sewerage 

system in a year does not exceed 185 gigabecquerel (GBq) [5 Curies (Ci)] of H-3 

(tritium), 37 GBq [1 Ci] of C-14, and 37 GBq [1 Ci] of all other radionuclides combined.

• Record the date, radionuclide(s), estimated activity of each radionuclide, location where 

the material is discharged, and the name of the individual discharging the waste.

• Liquid radioactive waste should be discharged only via designated locations.

• Discharge liquid waste slowly (to minimize splashing) with water running, to be sure that 

the material moves out of the sink and into the sewer system.

• Survey the sink and surrounding work surfaces to confirm that no residual material or 

contamination remained in the sink or on work surfaces.

• Prior to leaving the area, decontaminate all areas or surfaces, if found to 

be contaminated.

• Maintain records of releases of licensed material to the sanitary sewer system. These 

records should include, for each release, the date, radionuclide(s), estimated activity of 

each radionuclide, location where the material is discharged, and the initials of the 

individual discharging the waste. For the licensed facility as a whole, records should be 

maintained of the quantity and concentration of radionuclides that are released into the 

sewer system that demonstrate compliance with the regulatory limits for total quantity 

released and concentrations released by the licensed facility.

Model Procedure for Compaction

The following information should be provided by licensees that propose to compact waste.

• Describe the compactor to demonstrate that it is adequately designed and manufactured 

to safely compact the type and quantity of waste generated during licensed operations. 

Provide manufacturer’s specifications, annotated sketches or photographs, and other 

information about the compactor’s design.

• Describe the type, quantities, and concentrations of waste to be compacted.

• Provide an analysis of the potential for airborne release of radioactive material during 

compaction activities.

• Provide the location of any compactors within the waste processing area(s), as well as a 

description of the ventilation and filtration systems used in conjunction with the 

compactors. Include a description of the procedures for monitoring filter blockage and 

exchange.

• Discuss the methods used to monitor worker breathing zones and exhaust systems.
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• Discuss the types and frequencies of surveys that will be performed for contamination 

control in the compactor area.

• Discuss the instruction provided to compactor operators, including instructions for 

protective clothing, checks for proper functioning of equipment, method of handling 

uncompacted waste, and examining containers for defects.
APPENDIX O

ACTIONS TO BE TAKEN IF A SEALED SOURCE IS RUPTURED OR IF 

LICENSED MATERIALS HAVE CAUSED CONTAMINATION

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Actions to be Taken if a Sealed Source is Ruptured or if Licensed Materials 

Have Caused Contamination

Regulations in Title 10 of the Code of Federal Regulations (10 CFR) 39.69(a) require immediate 

initiation of emergency procedures if there is evidence that a sealed source has ruptured or that 

licensed materials have caused contamination.

The procedures required under 10 CFR 39.63 should instruct logging personnel to:

• Stop well logging activities immediately after finding evidence that a sealed source has 

ruptured or that licensed materials have caused contamination.

• Notify immediately the Radiation Safety Officer (RSO) or other appropriate 

management personnel.

• Follow emergency procedures as directed by the RSO.

• Secure and restrict access to the area until responsible individuals arrive.

• Instruct individuals on site not to take any unnecessary actions that could 

spread contamination.

• Minimize inhalation or ingestion of licensed material by using protective clothing 

and respirators.

• Discuss procedures for preventing the spread of contamination and for minimizing 

inhalation or ingestion with any potentially exposed personnel.

• Obtain suitable radiation survey instruments as required by 10 CFR 39.33, “Radiation 

Detection Instruments.”

• Notify the well owner or operator as soon as possible.

• Notify immediately the U.S. Nuclear Regulatory Commission operations center at the 

telephone number specified in 10 CFR 20.2202(d)(2) at 301-816-5100. Collect calls 

are accepted.

APPENDIX P

MODEL DELEGATION OF AUTHORITY

P–1

Model Delegation of Authority

Memo To: Radiation Safety Officer

From: Chief Executive Officer

Subject: Delegation of Authority

You, _______________________________, have been appointed radiation safety officer and 

are responsible for ensuring the safe and secure use of radiation. You are responsible for 

managing the Radiation Protection Program, identifying radiation protection problems, initiating, 

recommending, or providing corrective actions, verifying implementation of corrective actions, 

stopping unsafe activities, and ensuring compliance with regulations. You are hereby delegated 

the authority necessary to meet those responsibilities, including prohibiting the use of byproduct 

material by employees who do not meet the necessary requirements and shutting down 

operations, when justified, to maintain radiation safety. You are required to notify management 

if staff does not cooperate and does not address radiation safety issues. In addition, you are 

free to raise issues with the U.S. Nuclear Regulatory Commission at any time. It is estimated 

that you will spend _____ hours per week conducting radiation protection activities.

__________________________________ ____________________

Signature of Management Representative Date

I accept the above responsibilities,

___________________________________ ____________________

Signature of Radiation Safety Officer Date

cc: Affected department heads

APPENDIX Q

CHECKLIST FOR REQUESTS TO WITHHOLD PROPRIETARY 

INFORMATION FROM PUBLIC DISCLOSURE (UNDER 10 CFR 2.390)

Q–1

Checklist for Requests to Withhold Proprietary Information from Public 

Disclosure (Under 10 CFR 2.390)

In order to request that the U.S. Nuclear Regulatory Commission (NRC) withhold information 

from public disclosure, the applicant or licensee must submit the information, including an 

affidavit, in accordance with Title 10 of the Code of Federal Regulations (10 CFR) 2.390, “Public 

inspections, exemptions, requests for withholding.” The applicant should submit all of the 

following:

 A proprietary copy of the information. Brackets should be placed around the material 

considered to be proprietary. This copy should be marked as proprietary.

 A nonproprietary copy of the information. Applicants should white out or black out the 

proprietary portions (i.e., those in the brackets), leaving the nonproprietary portions 

intact. This copy should not be marked as proprietary.

 An affidavit that:

 Is signed under oath and affirmation (notarization may suffice).

 Clearly identifies (such as by name or title and date) the document to be withheld.

 Clearly identifies the position of the person executing the affidavit. This person must be 

an officer or upper-level management official who has been delegated the function of 

reviewing the information the organization is seeking to withhold and is authorized to 

apply for withholding on behalf of the organization.

 States that the organization submitting the information is the owner of the information or 

is required, by agreement with the owner of the information, to treat the information 

as proprietary.

 Provides a rational basis for holding the information in confidence.

 Fully addresses the following issues:

 Is the information submitted to, and received by, the NRC in confidence? 

Provide details.

 To the best of the applicant’s knowledge, is the information currently available in 

public sources?

 Does the applicant customarily treat this information, or this type of information, as 

confidential? Explain why.

 Would public disclosure of the information be likely to cause substantial harm to the 

competitive position of the applicant? If so, explain why in detail. The explanation 

should include the value of the information to your organization, the amount of effort or 

money expended in developing the information, and the ease or difficulty for others to 

acquire the information.

APPENDIX R

SAFETY CULTURE STATEMENT OF POLICY

R–1

Safety Culture Statement of Policy

The safety culture policy statement was published in the Federal Register (76 FR 34773) on 

June 14, 2011 and can be found at: https://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/

2011-14656.pdf. It is also posted in the NRC’s Agencywide Documents Access and 

Management System, Accession No. ML11146A047. 

Safety Culture Policy Statement

The purpose of this Statement of Policy is to set forth the Commission’s expectation that 

individuals and organizations establish and maintain a positive safety culture commensurate

with the safety and security significance of their activities and the nature and complexity of their 

organizations and functions. This includes all licensees, certificate holders, permit holders,

authorization holders, holders of quality assurance program approvals, vendors and suppliers of 

safety-related components, and applicants for a license, certificate, permit, authorization, or 

quality assurance program approval, subject to U.S. Nuclear Regulatory Commission (NRC)

authority. The Commission encourages the Agreement States, Agreement State licensees, and 

other organizations interested in nuclear safety to support the development and maintenance of 

a positive safety culture, as articulated in this Statement of Policy.

Nuclear Safety Culture is defined as “the core values and behaviors resulting from a collective 

commitment by leaders and individuals to emphasize safety over competing goals to ensure 

protection of people and the environment.” Individuals and organizations performing regulated 

activities bear the primary responsibility for safety and security. The performance of individuals 

and organizations can be monitored and trended and, therefore, may be used to determine 

compliance with requirements and commitments and may serve as an indicator of possible 

problem areas in an organization’s safety culture. The NRC will not monitor or trend values. 

These will be the organization’s responsibility as part of its safety culture program.

Organizations should ensure that personnel in the safety and security sectors have an 

appreciation for the importance of each, emphasizing the need for integration and balance to

achieve both safety and security in their activities. Safety and security activities are closely 

intertwined. While many safety and security activities complement each other, there may be

instances in which safety and security interests create competing goals. It is important that 

consideration of these activities be integrated so as not to diminish or adversely affect either; 

thus, mechanisms should be established to identify and resolve these differences. A safety 

culture that accomplishes this would include all nuclear safety and security issues associated 

with NRC-regulated activities.

Experience has shown that certain personal and organizational traits are present in a positive 

safety culture. A trait, in this case, is a pattern of thinking, feeling, and behaving that

emphasizes safety, particularly in goal conflict situations, e.g., production, schedule, and the 

cost of the effort versus safety. It should be noted that although the term ‘‘security’’ is not

expressly included in the following traits, safety and security are the primary pillars of the NRC’s 

regulatory mission. Consequently, consideration of both safety and security issues, 

commensurate with their significance, is an underlying principle of this Statement of Policy.

The following are traits of a positive safety culture:

(1) Leadership Safety Values and Actions–Leaders demonstrate a commitment to safety in 

their decisions and behaviors;
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(2) Problem Identification and Resolution–Issues potentially impacting safety are promptly 

identified, fully evaluated, and promptly addressed and corrected commensurate with 

their significance;

(3) Personal Accountability–All individuals take personal responsibility for safety;

(4) Work Processes–The process of planning and controlling work activities is implemented 

so that safety is maintained;

(5) Continuous Learning–Opportunities to learn about ways to ensure safety are sought out 

and implemented;

(6) Environment for Raising Concerns–A safety-conscious work environment is maintained 

where personnel feel free to raise safety concerns without fear of retaliation, intimidation, 

harassment, or discrimination;

(7) Effective Safety Communication–Communications maintain a focus on safety;

(8) Respectful Work Environment–Trust and respect permeate the organization; and

(9) Questioning Attitude–Individuals avoid complacency and continuously challenge existing 

conditions and activities in order to identify discrepancies that might result in error or 

inappropriate action.

There may be traits not included in this Statement of Policy that are also important in a positive 

safety culture. It should be noted that these traits were not developed to be used for 

inspection purposes.

It is the Commission’s expectation that all individuals and organizations, performing or 

overseeing regulated activities involving nuclear materials, should take the necessary steps to

promote a positive safety culture by fostering these traits as they apply to their organizational 

environments. The Commission recognizes the diversity of these organizations and 

acknowledges that some organizations have already spent significant time and resources in the 

development of a positive safety culture. The Commission will take this into consideration as 

the regulated community addresses the Statement of Policy.






NUREG-1556, Vol. 14

Revision 1, Final

Consolidated Guidance About Materials Licenses: Program-Specific

Guidance About Well Logging, Tracer, and Field Flood Study Licenses