(a) The licensee, after requesting the certificate holder's input, shall submit a written report to the Commission of -
(1) Instances in which there is a significant reduction in the effectiveness of any NRC-approved Type B or Type AF packaging during use; or
(2) Details of any defects with safety significance in any NRC-approved Type B or fissile material packaging, after first use.
(3) Instances in which the conditions of approval in the Certificate of Compliance were not observed in making a shipment.
(b) The licensee shall submit a written report to the Commission of instances in which the conditions in the certificate of compliance were not followed during a shipment.
(c) Each licensee shall submit, in accordance with § 71.1, a written report required by paragraph (a) or (b) of this section within 60 days of the event or discovery of the event. The licensee shall also provide a copy of each report submitted to the NRC to the applicable certificate holder. Written reports prepared under other regulations may be submitted to fulfill this requirement if the reports contain all the necessary information, and the appropriate distribution is made. Using an appropriate method listed in § 71.1(a), the licensee shall report to: ATTN: Document Control Desk, Director, Division of Fuel Management, Office of Nuclear Material Safety and Safeguards. These written reports must include the following:
(1) A brief abstract describing the major occurrences during the event, including all component or system failures that contributed to the event and significant corrective action taken or planned to prevent recurrence.
(2) A clear, specific, narrative description of the event that occurred so that knowledgeable readers conversant with the requirements of part 71, but not familiar with the design of the packaging, can understand the complete event. The narrative description must include the following specific information as appropriate for the particular event.
(i) Status of components or systems that were inoperable at the start of the event and that contributed to the event;
(ii) Dates and approximate times of occurrences;
(iii) The cause of each component or system failure or personnel error, if known;
(iv) The failure mode, mechanism, and effect of each failed component, if known;
(v) A list of systems or secondary functions that were also affected for failures of components with multiple functions;
(vi) The method of discovery of each component or system failure or procedural error;
(vii) For each human performance-related root cause, a discussion of the cause(s) and circumstances;
(viii) The manufacturer and model number (or other identification) of each component that failed during the event; and
(ix) For events occurring during use of a packaging, the quantities and chemical and physical form(s) of the package contents.
(3) An assessment of the safety consequences and implications of the event. This assessment must include the availability of other systems or components that could have performed the same function as the components and systems that failed during the event.
(4) A description of any corrective actions planned as a result of the event, including the means employed to repair any defects, and actions taken to reduce the probability of similar events occurring in the future.
(5) Reference to any previous similar events involving the same packaging that are known to the licensee or certificate holder.
(6) The name and telephone number of a person within the licensee's organization who is knowledgeable about the event and can provide additional information.
(7) The extent of exposure of individuals to radiation or to radioactive materials without identification of individuals by name.
(d) Report legibility. The reports submitted by licensees and/or certificate holders under this section must be of sufficient quality to permit reproduction and micrographic processing.
[69 FR 3796, Jan. 26, 2004, as amended at 75 FR 73945, Nov. 30, 2010; 79 FR 75740, Dec. 19, 2014; 84 FR 65645, Nov. 29, 2019]