Archived Web Page: Draft Regulatory Document RD-364Joint Canada - United States Guide for Approval of Type B(U) and Fissile Material Transportation Packages

A. INTRODUCTION

This guide provides a standard format and content for applications for approval of Type B(U) and fissile material (Type B and Type A) transportation packages. The objective of this process is to facilitate regulatory approval by Canadian or U.S. competent authorities.

In Canada, the relevant regulations for this document are the Packaging and Transport of Nuclear Substances (PTNS) Regulations, SOR/2000-208 [7].

For all packages for international shipments, the package design must be reviewed and approved by the competent authority of the originating country, either the Canadian Nuclear Safety Commission (CNSC) or the U.S. Department of Transportation (DOT).

In Canada, all package designs, both for domestic and international shipments, must be reviewed and approved by the CNSC.

For all packages for U.S. domestic shipments, the package design must be reviewed and approved through issuance of a Certificate of Compliance by the U.S. Nuclear Regulatory Commission (NRC).

For those packages with unique design features, the DOT will exercise its option to have the NRC perform technical reviews for import/export purposes. Similarly, the CNSC will also perform technical reviews for those packages having unique design features.

This guide describes a method that is acceptable to the CNSC for complying with the Canadian PTNS Regulations, which are based on and incorporate by reference, in part, the International Atomic Energy Agency (IAEA) Regulations for the Safe Transport of Radioactive Material TS-R-1, 1996 Edition (Revised) [9], and is acceptable to the DOT and NRC for complying with the U.S. requirements in Title 10, Part 71, Packaging and Transportation of Radioactive Materials, of the Code of Federal Regulations (10 CFR Part 71) [26].

This guide is published in Canada as RD-364, Joint Canada-United States Guide for Approval of Type B(U) and Fissile Material Transportation Packages. In the United States it is published as NUREG-1886, Joint Canada-United States Guide for Approval of Type B(U) and Fissile Material Transportation Packages. RD-364 speaks to Canadian regulatory requirements, for questions pertaining to U.S. regulatory requirements, please refer to NUREG-1886.

Adherence to this guide does not preclude competent authorities of both countries from performing a more detailed technical review of any application.

Nothing contained in this document is to be construed as relieving any applicant from the requirements of any pertinent regulations. It is the applicant’s responsibility to identify and comply with any applicable legislation or standards.

B. PURPOSE

This guide assists applicants in preparing applications that thoroughly and completely demonstrate the ability of the given package to meet either Canadian or U.S. regulations, as applicable. It is also intended to assist reviewers in the review and approval of applications. Where differences in the regulatory requirements exist, guidance is provided to assist the applicant in appropriately addressing the specific regulatory requirement.

C. SCOPE

This guide applies specifically to applications for approval of Type B(U) and fissile material (Type B and Type A) transportation packages in accordance with NRC and CNSC package requirements. This guide does not apply to approval of special form materials, certain air shipments of Type B packages, low dispersible material (LDM), Type C packages, or fissile material in less than Type A packages.

Air Shipments

For shipments of Type B packages by air, the limits on the content specified in the International Civil Aviation Organization (ICAO) regulations must be met for international shipments and for shipments in Canada. In order to transport radioactive material in a package in quantities exceeding the limits for Type B packages specified in the ICAO regulations, the use of a Type C package is required or demonstration that the material conforms to the requirements for LDM is needed.

NRC regulations include specific provisions for the transport of plutonium by air. These regulations are 10 CFR 71.64, Special Requirements for Plutonium Air Shipments, and 10 CFR 71.88, Air Transport of Plutonium, which, among other things, specify the packages and shipments of plutonium that are affected, and 10 CFR 71.74, Accident Conditions for Air Transport of Plutonium, which specifies the test conditions for plutonium packages transported by air.

CNSC regulations include requirements that limit the quantity of radioactive material that can be transported by air in a Type B package (unless the material is certified as LDM). The CNSC requirements are not specific to plutonium but are applicable to all radioactive material greater than 3,000 A₁ or 100,000 A₂ (whichever is lower) for special form material and 3,000 A₂ for non-special form material. Therefore, applications for approval of air shipments of plutonium, materials above these values, and Type C packages are outside the scope of this document.

Low Dispersible Material Applications

LDM requires multilateral approval, and a Type B package carrying LDM also requires multilateral approval under the IAEA TS-R-1 regulations. Approval for LDM material is required from Canada and the United States in accordance with TS-R-1. Application for approval of LDM is outside the scope of this document.

Type B(U) Packages

Package designs to contain Type B quantity radioactive material for roadway, railway, and seaway are within the scope of this guide. The packages should be demonstrated to meet the requirements for Type B(U) packages for approval in Canada and the United States as described in this guide.

Fissile Material Packages

Package designs to contain fissile material should be demonstrated to meet the requirements for Type AF or Type B(U)F packages for approval in Canada and the United States as described in this guide. Industrial package designs for fissile material are not recognized in U.S. regulations.

D. APPLICATION PROCESS

General Information

The application should consist of the safety analysis report and the approval documents issued by Canada or the United States if available and a cover letter stating name, address, fax/email, and telephone number of the applicant; purpose of the application; and the mode of transport required. Canadian applicants should submit their applications to the Canadian competent authority for initial approval and to the U.S. competent authority for subsequent validation. U.S. applicants need to submit their applications to the NRC for Type B and fissile material packages for initial approval and to the Canadian competent authority for subsequent validation.

Addresses for Applications

The application should be submitted to the appropriate regulatory authority:

For Canadian packages and validation of non-Canadian packages:

Canadian Nuclear Safety Commission
Transport Licensing and Strategic Support Division
P.O. Box 1046, Station B
280 Slater Street
Ottawa, Ontario, Canada K1P 5S9

Fax: (613) 995-0556
Phone: 1-888-229-2672
Email: Transport@cnsc-ccsn.gc.ca

For U.S. validation of certificates for packages to be used for import or export shipments between the United States and Canada:

U.S. Department of Transportation
Radioactive Materials Branch
Office of Hazardous Materials Technology
Pipeline and Hazardous Materials Safety Administration
East Building, E21-303, PHH-23
1200 New Jersey Avenue, SE
Washington, DC, USA 20590

Fax: (202) 366-3753
Phone: (202) 366-4545
Email: ramcert@dot.gov

For U.S. approval of Type B packages for U.S. domestic shipments and for fissile material packages:

U.S. Nuclear Regulatory Commission
ATTN: Document Control Desk
Director, Division of Spent Fuel Storage and Transportation
Office of Nuclear Material Safety and Safeguards
Washington, DC, USA 20555-0001

Fax: (301) 492-3300
Phone: (301) 492-3345
Email: EIE@nrc.gov

Unless requested otherwise, all information submitted to the respective competent authorities will be available for public disclosure. Proprietary information, such as specific design details shown on certification drawings, may be withheld from public disclosure.

For the United States, the applicant’s request for withholding should be accompanied by an affidavit and should include information to support the claim that the material is proprietary under the U.S. regulations in accordance with10 CFR 2.390, Public Inspections, Exemptions, Requests for Withholding.

For Canada, the CNSC is subject to the Access to Information Act (http://laws-lois.justice.gc.ca/eng/acts/A-1/FullText.html ). The Act provides a right of access to records under the control of a government institution. All information is released in response to requests unless one or more of the limited and specific exceptions to the right of access apply. CNSC has an obligation to release all information that can reasonably be severed from that information which qualifies for an exception (CNSC does not blanket exempt a record if only part of the information qualifies for an exception). It is the applicant’s responsibility to prove that the information in a record meets the requirements set forth in each claimed exception. CNSC decisions to deny access to information may be reviewed independently by the Office of the Information Commissioner of Canada and by the Federal Court of Canada.

Schedule for Submittals

In general, the application should be submitted at least one year in advance for new designs, six months for amendments, and three months for renewals and revalidations before approvals are required.

Applicants should give sufficient advance notice to the respective competent authorities prior to any design confirmatory tests. Applicants are encouraged to meet with the regulatory body prior to and during the design process to facilitate clear understanding of the regulatory requirements.

E. APPLICATION FORMAT

General Information

The application is the principal document in which an applicant provides the information and basis for the respective competent authority’s staff to use in determining whether a given package meets the requirements of the respective country’s package standards. Toward that end, this guide identifies the information to be provided and establishes a standard format for presenting that information.

In addition to this guide, the information provided in the application should be current with respect to the state of technology for transportation of radioactive materials and should account for any recent changes in the competent authorities’ regulations and guides; industry codes and standards; developments in transportation safety; and experience in the design, construction, and use of packages for radioactive materials.

Applicants should strive for clear and concise presentation of the information required in the application. Confusing or ambiguous statements and unnecessarily verbose descriptions do not contribute to expeditious technical review. Claims regarding the adequacy of designs or design methods should be supported by technical bases (for example, an appropriate engineering evaluation or description of actual tests). Terms should be used as defined in the packaging and transportation regulations.

The safety analysis report should follow the numbering system and headings of the format to at least the third level (e.g., 2.1.2, Design Criteria) as shown in Section F of this guide. When a particular requirement does not apply to a given package, applicants should use the term “Not Applicable,” rather than omitting the corresponding section. In addition, applicants should offer a reason for not addressing a particular requirement when its applicability is questionable.

Appendices to each section of an application should include detailed information omitted from the main text. The first appendix to a given section of an application should provide a list of documents that are referenced in the text of that section, including page numbers, if appropriate. If an application references a proprietary document, it should also reference the non-proprietary summary description of that document.

Appendices to each section of an application should provide sufficient detail and photographs to support all physical tests of components and packages addressed in the given section. Applicants may also use appendices to provide supplemental information that is not explicitly identified in the standard format.

When an application cites numerical values, the number of significant figures should reflect the accuracy or precision to which the number is known. In addition, the SI units with equivalent conventional units, if appropriate, should be provided for the numerical values. When appropriate, the applicant should specify estimated limits of error or uncertainty. Applicants should not drop or round off significant figures if doing so would inadequately support subsequent conclusions.

Applicants should use abbreviations, symbols, and special terms consistently throughout an application and in a manner that is consistent with generally accepted usage. Each section of an application should define any abbreviations, symbols, or special terms used in the given section that are unique to the proposed packaging or not common in general usage.

Applicants should use drawings, diagrams, sketches, and charts when such means more accurately or conveniently present the information to be conveyed. Applicants should ensure that drawings, diagrams, sketches, and charts present information in a legible form with relevant symbols defined. However, the details included in the drawings should be at a level that is sufficient for certification purposes. Additional details on certification drawings, similar to those needed for fabrication drawings, would require frequent review and approval by regulatory authorities if any changes are made and may not be necessary to support package certification. In addition, applicants should not reduce drawings, diagrams, sketches, and charts to the extent that readers need visual aids to interpret pertinent information.

Applicants should number pages sequentially within each section and appendix. For example, the fourth page of Section 6 would be numbered 6-4.

Electronic Submissions

If an applicant submits all or part of an application electronically, the submission should be made in a manner that enables the agency to receive, read, authenticate, distribute, perform text search, and archive the submission and process and retrieve it one page at a time.

Revisions

For hard copies, applicants should update data and text by replacing pages, rather than using “pen and ink” or “cut and paste” changes. For electronic submissions, applicants should submit the updated safety analysis reports in their entirety. In addition, applicants should provide a list of the changes and highlight the updated or revised portion of each page using a change indicator consisting of a bold vertical line drawn in the margin opposite the binding margin. The line should be the same length as the portion actually changed.

All pages submitted to update, revise, or add pages to an application should show the date of the change and the corresponding change or amendment number. A transmittal letter, including a guide page listing the pages to be inserted and removed, should accompany the revised pages. When applicable, supplemental pages may follow the revised page.

All statements on a revised page should be accurate as of the date of each submittal. Applicants should take special care to ensure that they revise the main sections of the application to reflect any design changes reported in supplemental information (for example, responses to NRC and CNSC staff requests for information).