Appendix G to Part 20 - Requirements for Transfers of Low-Level Radioactive Waste Intended for Disposal at Licensed Land Disposal Facilities and Manifests
10:1.0.1.1.16.15.76.3.13 : Appendix G
Appendix G to Part 20 - Requirements for Transfers of Low-Level
Radioactive Waste Intended for Disposal at Licensed Land Disposal
Facilities and Manifests I. Manifest
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 (OMB Control Numbers
3150-0164, -0165, and -0166) reflecting information requested on
applicable NRC Forms 540 (Uniform Low-Level Radioactive Waste
Manifest (Shipping Paper)) and 541 (Uniform Low-Level Radioactive
Waste Manifest (Container and Waste Description)) and, if
necessary, on an applicable NRC Form 542 (Uniform Low-Level
Radioactive Waste Manifest (Manifest Index and Regional Compact
Tabulation)). NRC Forms 540 and 540A must be completed and must
physically accompany the pertinent low-level waste shipment. Upon
agreement between shipper and consignee, NRC Forms 541 and 541A and
542 and 542A may be completed, transmitted, and stored in
electronic media with the capability for producing legible,
accurate, and complete records on the respective forms. Licensees
are not required by NRC to comply with the manifesting requirements
of this part when they ship:
(a) LLW for processing and expect its return (i.e., for
storage under their license) prior to disposal at a licensed land
disposal facility;
(b) LLW that is being returned to the licensee who is the “waste
generator” or “generator,” as defined in this part; or
(c) Radioactively contaminated material to a “waste processor”
that becomes the processor's “residual waste.”
For guidance in completing these forms, refer to the
instructions that accompany the forms. Copies of manifests required
by this appendix may be legible carbon copies, photocopies, or
computer printouts that reproduce the data in the format of the
uniform manifest.
NRC Forms 540, 540A, 541, 541A, 542 and 542A, and the
accompanying instructions, in hard copy, may be obtained by writing
or calling the Office of the Chief Information Officer, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone
(301) 415-7232, or by visiting the NRC's Web site at
http://www.nrc.gov and selecting forms from the index found
on the home page.
This appendix includes information requirements of the
Department of Transportation, as codified in 49 CFR part 172.
Information on hazardous, medical, or other waste, required to meet
Environmental Protection Agency regulations, as codified in 40 CFR
parts 259, 261 or elsewhere, is not addressed in this section, and
must be provided on the required EPA forms. However, the required
EPA forms must accompany the Uniform Low-Level Radioactive Waste
Manifest required by this chapter.
As used in this appendix, the following definitions apply:
Chelating agent has the same meaning as that given in §
61.2 of this chapter.
Chemical description means a description of the principal
chemical characteristics of a low-level radioactive waste.
Computer-readable medium means that the regulatory
agency's computer can transfer the information from the medium into
its memory.
Consignee means the designated receiver of the shipment
of low-level radioactive waste.
Decontamination facility means a facility operating under
a Commission or Agreement State license whose principal purpose is
decontamination of equipment or materials to accomplish recycle,
reuse, or other waste management objectives, and, for purposes of
this part, is not considered to be a consignee for LLW
shipments.
Disposal container means a container principally used to
confine low-level radioactive waste during disposal operations at a
land disposal facility (also see “high integrity container”). Note
that for some shipments, the disposal container may be the
transport package.
EPA identification number means the number received by a
transporter following application to the Administrator of EPA as
required by 40 CFR part 263.
Generator means a licensee operating under a Commission
or Agreement State license who (1) is a waste generator as defined
in this part, or (2) is the licensee to whom waste can be
attributed within the context of the Low-Level Radioactive Waste
Policy Amendments Act of 1985 (e.g., waste generated as a result of
decontamination or recycle activities).
High integrity container (HIC) means a container commonly
designed to meet the structural stability requirements of § 61.56
of this chapter, and to meet Department of Transportation
requirements for a Type A package.
Land disposal facility has the same meaning as that given
in § 61.2 of this chapter.
NRC Forms 540, 540A, 541, 541A, 542, and 542A are
official NRC Forms referenced in this appendix. Licensees need not
use originals of these NRC Forms as long as any substitute forms
are equivalent to the original documentation in respect to content,
clarity, size, and location of information. Upon agreement between
the shipper and consignee, NRC Forms 541 (and 541A) and NRC Forms
542 (and 542A) may be completed, transmitted, and stored in
electronic media. The electronic media must have the capability for
producing legible, accurate, and complete records in the format of
the uniform manifest.
Package means the assembly of components necessary to
ensure compliance with the packaging requirements of DOT
regulations, together with its radioactive contents, as presented
for transport.
Physical description means the items called for on NRC
Form 541 to describe a low-level radioactive waste.
Residual waste means low-level radioactive waste
resulting from processing or decontamination activities that cannot
be easily separated into distinct batches attributable to specific
waste generators. This waste is attributable to the processor or
decontamination facility, as applicable.
Shipper means the licensed entity (i.e., the waste
generator, waste collector, or waste processor) who offers
low-level radioactive waste for transportation, typically
consigning this type of waste to a licensed waste collector, waste
processor, or land disposal facility operator.
Shipping paper means NRC Form 540 and, if required, NRC
Form 540A which includes the information required by DOT in 49 CFR
part 172.
Source material has the same meaning as that given in §
40.4 of this chapter.
Special nuclear material has the same meaning as that
given in § 70.4 of this chapter.
Uniform Low-Level Radioactive Waste Manifest or
uniform manifest means the combination of NRC Forms 540,
541, and, if necessary, 542, and their respective continuation
sheets as needed, or equivalent.
Waste collector means an entity, operating under a
Commission or Agreement State license, whose principal purpose is
to collect and consolidate waste generated by others, and to
transfer this waste, without processing or repackaging the
collected waste, to another licensed waste collector, licensed
waste processor, or licensed land disposal facility.
Waste description means the physical, chemical and
radiological description of a low-level radioactive waste as called
for on NRC Form 541.
Waste generator means an entity, operating under a
Commission or Agreement State license, who (1) possesses any
material or component that contains radioactivity or is
radioactively contaminated for which the licensee foresees no
further use, and (2) transfers this material or component to a
licensed land disposal facility or to a licensed waste collector or
processor for handling or treatment prior to disposal. A licensee
performing processing or decontamination services may be a “waste
generator” if the transfer of low-level radioactive waste from its
facility is defined as “residual waste.”
Waste processor means an entity, operating under a
Commission or Agreement State license, whose principal purpose is
to process, repackage, or otherwise treat low-level radioactive
material or waste generated by others prior to eventual transfer of
waste to a licensed low-level radioactive waste land disposal
facility.
Waste type means a waste within a disposal container
having a unique physical description (i.e., a specific waste
descriptor code or description; or a waste sorbed on or solidified
in a specifically defined media).
Information Requirements A. General Information
The shipper of the radioactive waste, shall provide the
following information on the uniform manifest:
1. The name, facility address, and telephone number of the
licensee shipping the waste;
2. An explicit declaration indicating whether the shipper is
acting as a waste generator, collector, processor, or a combination
of these identifiers for purposes of the manifested shipment;
and
3. The name, address, and telephone number, or the name and EPA
identification number for the carrier transporting the waste.
B. Shipment Information
The shipper of the radioactive waste shall provide the following
information regarding the waste shipment on the uniform
manifest:
1. The date of the waste shipment;
2. The total number of packages/disposal containers;
3. The total disposal volume and disposal weight in the
shipment;
4. The total radionuclide activity in the shipment;
5. The activity of each of the radionuclides H-3, C-14, Tc-99,
and I-129 contained in the shipment; and
6. The total masses of U-233, U-235, and plutonium in special
nuclear material, and the total mass of uranium and thorium in
source material.
C. Disposal Container and Waste Information
The shipper of the radioactive waste shall provide the following
information on the uniform manifest regarding the waste and each
disposal container of waste in the shipment:
1. An alphabetic or numeric identification that uniquely
identifies each disposal container in the shipment;
2. A physical description of the disposal container, including
the manufacturer and model of any high integrity container;
3. The volume displaced by the disposal container;
4. The gross weight of the disposal container, including the
waste;
5. For waste consigned to a disposal facility, the maximum
radiation level at the surface of each disposal container;
6. A physical and chemical description of the waste;
7. The total weight percentage of chelating agent for any waste
containing more than 0.1% chelating agent by weight, plus the
identity of the principal chelating agent;
8. The approximate volume of waste within a container;
9. The sorbing or solidification media, if any, and the identity
of the solidification media vendor and brand name;
10. The identities and activities of individual radionuclides
contained in each container, the masses of U-233, U-235, and
plutonium in special nuclear material, and the masses of uranium
and thorium in source material. For discrete waste types
(i.e., activated materials, contaminated equipment,
mechanical filters, sealed source/devices, and wastes in
solidification/stabilization media), the identities and activities
of individual radionuclides associated with or contained on these
waste types within a disposal container shall be reported;
11. The total radioactivity within each container; and
12. For wastes consigned to a disposal facility, the
classification of the waste pursuant to § 61.55 of this chapter.
Waste not meeting the structural stability requirements of §
61.56(b) of this chapter must be identified.
D. Uncontainerized Waste Information
The shipper of the radioactive waste shall provide the following
information on the uniform manifest regarding a waste shipment
delivered without a disposal container:
1. The approximate volume and weight of the waste;
2. A physical and chemical description of the waste;
3. The total weight percentage of chelating agent if the
chelating agent exceeds 0.1% by weight, plus the identity of the
principal chelating agent;
4. For waste consigned to a disposal facility, the
classification of the waste pursuant to § 61.55 of this chapter.
Waste not meeting the structural stability requirements of §
61.56(b) of this chapter must be identified;
5. The identities and activities of individual radionuclides
contained in the waste, the masses of U-233, U-235, and plutonium
in special nuclear material, and the masses of uranium and thorium
in source material; and
6. For wastes consigned to a disposal facility, the maximum
radiation levels at the surface of the waste.
E. Multi-Generator Disposal Container Information
This section applies to disposal containers enclosing mixtures
of waste originating from different generators. (Note: The origin
of the LLW resulting from a processor's activities may be
attributable to one or more “generators” (including “waste
generators”) as defined in this part). It also applies to mixtures
of wastes shipped in an uncontainerized form, for which portions of
the mixture within the shipment originate from different
generators.
1. For homogeneous mixtures of waste, such as incinerator ash,
provide the waste description applicable to the mixture and the
volume of the waste attributed to each generator.
2. For heterogeneous mixtures of waste, such as the combined
products from a large compactor, identify each generator
contributing waste to the disposal container, and, for discrete
waste types (i.e., activated materials, contaminated
equipment, mechanical filters, sealed source/devices, and wastes in
solidification/stabilization media), the identities and activities
of individual radionuclides contained on these waste types within
the disposal container. For each generator, provide the
following:
(a) The volume of waste within the disposal container;
(b) A physical and chemical description of the waste, including
the solidification agent, if any;
(c) The total weight percentage of chelating agents for any
disposal container containing more than 0.1% chelating agent by
weight, plus the identity of the principal chelating agent;
(d) The sorbing or solidification media, if any, and the
identity of the solidification media vendor and brand name if the
media is claimed to meet stability requirements in 10 CFR 61.56(b);
and
(e) Radionuclide identities and activities contained in the
waste, the masses of U-233, U-235, and plutonium in special nuclear
material, and the masses of uranium and thorium in source material
if contained in the waste.
II. Certification
An authorized representative of the waste generator, processor,
or collector shall certify by signing and dating the shipment
manifest that the transported materials are properly classified,
described, packaged, marked, and labeled and are in proper
condition for transportation according to the applicable
regulations of the Department of Transportation and the Commission.
A collector in signing the certification is certifying that nothing
has been done to the collected waste which would invalidate the
waste generator's certification.
III. Control and Tracking
A. Any licensee who transfers radioactive waste to a land
disposal facility or a licensed waste collector shall comply with
the requirements in paragraphs A.1 through 9 of this section. Any
licensee who transfers waste to a licensed waste processor for
waste treatment or repackaging shall comply with the requirements
of paragraphs A.4 through 9 of this section. A licensee shall:
1. Prepare all wastes so that the waste is classified according
to § 61.55 and meets the waste characteristics requirements in §
61.56 of this chapter;
2. Label each disposal container (or transport package if
potential radiation hazards preclude labeling of the individual
disposal container) of waste to identify whether it is Class A
waste, Class B waste, Class C waste, or greater then Class C waste,
in accordance with § 61.55 of this chapter;
3. Conduct a quality assurance program to assure compliance with
§§ 61.55 and 61.56 of this chapter (the program must include
management evaluation of audits);
4. Prepare the NRC Uniform Low-Level Radioactive Waste Manifest
as required by this appendix;
5. Forward a copy or electronically transfer the Uniform
Low-Level Radioactive Waste Manifest to the intended consignee so
that either (i) receipt of the manifest precedes the LLW shipment
or (ii) the manifest is delivered to the consignee with the waste
at the time the waste is transferred to the consignee. Using both
(i) and (ii) is also acceptable;
6. Include NRC Form 540 (and NRC Form 540A, if required) with
the shipment regardless of the option chosen in paragraph A.5 of
this section;
7. Receive acknowledgement of the receipt of the shipment in the
form of a signed copy of NRC Form 540;
8. Retain a copy of or electronically store the Uniform
Low-Level Radioactive Waste Manifest and documentation of
acknowledgement of receipt as the record of transfer of licensed
material as required by 10 CFR parts 30, 40, and 70 of this
chapter; and
9. For any shipments or any part of a shipment for which
acknowledgement of receipt has not been received within the times
set forth in this appendix, conduct an investigation in accordance
with paragraph E of this appendix.
B. Any waste collector licensee who handles only prepackaged
waste shall:
1. Acknowledge receipt of the waste from the shipper within one
week of receipt by returning a signed copy of NRC Form 540;
2. Prepare a new manifest to reflect consolidated shipments that
meet the requirements of this appendix. The waste collector shall
ensure that, for each container of waste in the shipment, the
manifest identifies the generator of that container of waste;
3. Forward a copy or electronically transfer the Uniform
Low-Level Radioactive Waste Manifest to the intended consignee so
that either: (i) Receipt of the manifest precedes the LLW shipment
or (ii) the manifest is delivered to the consignee with the waste
at the time the waste is transferred to the consignee. Using both
(i) and (ii) is also acceptable;
4. Include NRC Form 540 (and NRC Form 540A, if required) with
the shipment regardless of the option chosen in paragraph B.3 of
this section;
5. Receive acknowledgement of the receipt of the shipment in the
form of a signed copy of NRC Form 540;
6. Retain a copy of or electronically store the Uniform
Low-Level Radioactive Waste Manifest and documentation of
acknowledgement of receipt as the record of transfer of licensed
material as required by 10 CFR parts 30, 40, and 70 of this
chapter;
7. For any shipments or any part of a shipment for which
acknowledgement of receipt has not been received within the times
set forth in this appendix, conduct an investigation in accordance
with paragraph E of this appendix; and
8. Notify the shipper and the Administrator of the nearest
Commission Regional Office listed in appendix D of this part when
any shipment, or part of a shipment, has not arrived within 60 days
after receipt of an advance manifest, unless notified by the
shipper that the shipment has been cancelled.
C. Any licensed waste processor who treats or repackages waste
shall:
1. Acknowledge receipt of the waste from the shipper within one
week of receipt by returning a signed copy of NRC Form 540;
2. Prepare a new manifest that meets the requirements of this
appendix. Preparation of the new manifest reflects that the
processor is responsible for meeting these requirements. For each
container of waste in the shipment, the manifest shall identify the
waste generators, the preprocessed waste volume, and the other
information as required in paragraph I.E. of this appendix;
3. Prepare all wastes so that the waste is classified according
to § 61.55 of this chapter and meets the waste characteristics
requirements in § 61.56 of this chapter;
4. Label each package of waste to identify whether it is Class A
waste, Class B waste, or Class C waste, in accordance with §§ 61.55
and 61.57 of this chapter;
5. Conduct a quality assurance program to assure compliance with
§§ 61.55 and 61.56 of this chapter (the program shall include
management evaluation of audits);
6. Forward a copy or electronically transfer the Uniform
Low-Level Radioactive Waste Manifest to the intended consignee so
that either: (i) Receipt of the manifest precedes the LLW shipment
or (ii) the manifest is delivered to the consignee with the waste
at the time the waste is transferred to the consignee. Using both
(i) and (ii) is also acceptable;
7. Include NRC Form 540 (and NRC Form 540A, if required) with
the shipment regardless of the option chosen in paragraph C.6 of
this section;
8. Receive acknowledgement of the receipt of the shipment in the
form of a signed copy of NRC Form 540;
9. Retain a copy of or electronically store the Uniform
Low-Level Radioactive Waste Manifest and documentation of
acknowledgement of receipt as the record of transfer of licensed
material as required by 10 CFR parts 30, 40, and 70 of this
chapter;
10. For any shipment or any part of a shipment for which
acknowledgement of receipt has not been received within the times
set forth in this appendix, conduct an investigation in accordance
with paragraph E of this appendix; and
11. Notify the shipper and the Administrator of the nearest
Commission Regional Office listed in appendix D of this part when
any shipment, or part of a shipment, has not arrived within 60 days
after receipt of an advance manifest, unless notified by the
shipper that the shipment has been cancelled.
D. The land disposal facility operator shall:
1. Acknowledge receipt of the waste within one week of receipt
by returning, as a minimum, a signed copy of NRC Form 540 to the
shipper. The shipper to be notified is the licensee who last
possessed the waste and transferred the waste to the operator. If
any discrepancy exists between materials listed on the Uniform
Low-Level Radioactive Waste Manifest and materials received, copies
or electronic transfer of the affected forms must be returned
indicating the discrepancy;
2. Maintain copies of all completed manifests and electronically
store the information required by 10 CFR 61.80(l) until the
Commission terminates the license; and
3. Notify the shipper and the Administrator of the nearest
Commission Regional Office listed in appendix D of this part when
any shipment, or part of a shipment, has not arrived within 60 days
after receipt of an advance manifest, unless notified by the
shipper that the shipment has been cancelled.
E. Any shipment or part of a shipment for which acknowledgement
is not received within the times set forth in this section
must:
1. Be investigated by the shipper if the shipper has not
received notification or receipt within 20 days after transfer;
and
2. Be traced and reported. The investigation shall include
tracing the shipment and filing a report with the nearest
Commission Regional Office listed in appendix D to this part. Each
licensee who conducts a trace investigation shall file a written
report with the appropriate NRC Regional Office within 2 weeks of
completion of the investigation.
[60 FR 15664, Mar. 27, 1995, as amended at 60 FR 25983, May 16,
1995; 68 FR 58802, Oct. 10, 2003; 73 FR 30457, May 28, 2008; 80 FR
74979, Dec. 1, 2015]