Interpretation of 10 CFR 20.201 (b), "Survey Requirements"
HPPOS-138 PDR-9111210373
Title: Interpretation of 10 CFR 20.201 (b), "Survey
Requirements"
See the memorandum from J. Lieberman to P. F. McKee dated
October 23, 1986. Surveys are required to comply with 10
CFR 20. Licensees must also make surveys as are reasonable
under the circumstances to evaluated radiation hazards that
may be present. Citations are permitted against 10 CFR
20.201 (b) when no 10 CFR 20 limit or requirement is
violated. This health physics position also applies to
"new" 10 CFR 20.1501 (a).
A memorandum dated October 2, 1986, requested the views of
OGC on the meaning of subparagraph (2) of 10 CFR 20.201 (b)
which states: "Each licensee shall make or cause to be
made such surveys as (1) may be necessary for the licensee
to comply with the regulations in this part, and (2) are
reasonable under the circumstances to evaluate the extent
of radiation hazards that may be present." In addressing
the issues raised, OGC consulted the Statements of
Consideration which accompanied both the proposed rule
amending Section 201 (b), 45 FR 45302 (July 3, 1980) and
the publication of the final rule which added subparagraph
(2), 46 FR 53647 (October 30, 1981). The matter was also
discussed with the Rulemaking Division of OGC.
Section 20.201 (b) originally provided: "Each licensee
shall make or cause to be made such surveys as may be
necessary for him to comply with the regulations in this
part." The proposed rule would have amended this section
to read: "Each licensee shall make or cause to be made
such surveys as are reasonably called for by circumstances
surrounding the use of source, byproduct, or special
nuclear material." The Statements of Consideration which
accompanied the publication of the proposed rule stated
that the regulation was redrafted "to clarify the intent of
the survey requirement to assure that licensees are on
notice that the requirement is to make appropriate surveys
and that the requirement may be violated even if compliance
with some other requirement of Part 20 does not result from
the failure to survey...." In the final rule, the text of
revised Section 20.201 (b) differed from that set out in
the proposed rule. The existing text of the section was
retained, with the addition of subparagraph (2). As
indicated in the Statements of Consideration which
accompanied the publication of the final rule, this was
done in response to a public comment received on the
proposed amendment to the section which questioned whether
the proposed language eliminated the goal of preventing
overexposures. The commentary explained:
"While there is a significant relationship between the
survey and other Part 20 requirements in that information
obtained through responsible compliance with 20.201 (b) may
well prove essential in determining whether a licensee has
or has not satisfied other Part 20 requirements, this is
not the primary function of the survey requirement. The
principal role of the survey is preventive. Adequate
survey procedures provide measurable protection for the
health and safety of the worker and the public because they
provide the information necessary for the establishment of
adequate protective measures. The usefulness of this early
warning system may be seriously reduced if licensees are
not held responsible for failure to conduct any survey or
for failure to conduct an adequate survey when violations
of other Part 20 requirements have not occurred.... The
clarifying phrase provides that when a violation of other
Part 20 requirements has not occurred, the Commission will
consider in determining whether the 20.201 survey
requirement has met the reasonableness of the actions taken
in the light of all circumstances to evaluate the extent of
the radiation hazards."
Nowhere in the Statements of Consideration is the view
expressed that the surveys required are only those which
relate to or are necessary to comply with the regulations
of Part 20. Indeed, the commentary emphasizes that the
determination of whether a licensee has or has not
satisfied other Part 20 requirements is not the primary
function of the survey requirement. Based on the above,
OGC concluded that the correct interpretation of 10 CFR
20.201 (b) [or 10 CFR 20.1501 (a)] is that surveys are
required in accordance with specific Part 20 regulations
and also are required as is reasonable under the
circumstances to evaluate the extent of radiation hazards
that may be present. Consequently, citations are permitted
against 10 CFR 20.201 (b) [or 10 CFR 20.1501 (a)] when no
other specific Part 20 limit or requirement is violated.
Note: 10 CFR 20.1501 (a) states: "Each licensee shall make
or cause to be made, surveys that - (1) may be necessary
for the licensee to comply with the regulations in this
part; and (2) are reasonable under the circumstances to
evaluate - (i) the extent of radiation levels; (ii)
concentrations or quantities of radioactive materials; and
(iii) the potential radiological hazards that could be
present."
Regulatory references: 10 CFR 20.201, 10 CFR 20.1501
Subject codes: 7.1, 7.2, 7.6
Applicability: All