[Federal Register Volume 79, Number 224 (Thursday, November 20, 2014)]
[Notices]
[Pages 69136-69142]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-27515]
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NUCLEAR REGULATORY COMMISSION
[NRC-2014-0251; EA-14-156]
In the Matter of Issuance of a Non-Manufacturing and Distribution
Service Provider Order
AGENCY: Nuclear Regulatory Commission.
ACTION: Order imposing trustworthiness and reliability requirements for
unescorted access to certain radioactive material; issuance.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) issued an order
imposing trustworthiness and reliability requirements for unescorted
access to certain radioactive material by request of a service provider
licensee that is not a manufacturer or distribution. The order was
issued on October 2, 2014, and became effective immediately.
DATES: Effective Date: October 2, 2014.
ADDRESSES: Please refer to Docket ID NRC-2014-0251 when contacting the
NRC about the availability of information regarding this document. You
may obtain publicly-available information related to this action by the
following methods:
Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2014-0251. Address
questions about NRC dockets to Carol Gallagher; telephone: 301-287-
3422; email: [email protected]. For questions about this Order,
contact the individual listed in the FOR FURTHER INFORMATION CONTACT
section of this document.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may access publicly available documents online in the NRC
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS,
[[Page 69137]]
please contact the NRC's Public Document Room (PDR) reference staff at
1-800-397-4209, 301-415-4737, or by email to [email protected]. The
ADAMS accession number for each document referenced in this document
(if that document is available in ADAMS) is provided the first time
that a document is referenced.
NRC's PDR: You may examine and purchase copies of public
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland 20852.
FOR FURTHER INFORMATION CONTACT: Michelle Killian, Office of Nuclear
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001; telephone: 301-415-6711; email:
[email protected].
SUPPLEMENTARY INFORMATION: The text of the Order is attached.
Dated at Rockville, Maryland, this 13th day of November 2014.
For the Nuclear Regulatory Commission.
Catherine Haney,
Director, Office of Nuclear Material Safety and Safeguards.
UNITED STATES NUCLEAR REGULATORY COMMISSION
EA-14-156
In the Matter of Certain Licensees Requesting Unescorted Access
to Radioactive Material
Order Imposing Trustworthiness and Reliability Requirements for
Unescorted Access to Certain Radioactive Material (Effective
Immediately)
I
The licensee identified in Attachment 1 \1\ to this Order holds a
license issued by the U.S. Nuclear Regulatory Commission (NRC) or an
Agreement State, in accordance with the Atomic Energy Act (AEA) of
1954, as amended. The license authorizes it to perform services on
devices containing certain radioactive material for customers licensed
by the NRC or an Agreement State to possess and use certain quantities
of the radioactive materials listed in Attachment 2 to this Order.
Commission regulations at 10 CFR 20.1801 or equivalent Agreement State
regulations require licensees to secure, from unauthorized removal or
access, licensed materials that are stored in controlled or
unrestricted areas. Commission regulations at 10 CFR 20.1802 or
equivalent Agreement State regulations require licensees to control and
maintain constant surveillance of licensed material that is in a
controlled or unrestricted area and that is not in storage.
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\1\ Attachment 1 contains sensitive information and will not be
released to the public.
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II
Subsequent to the terrorist events of September 11, 2001, the NRC
issued immediately effective Security Orders to NRC and Agreement State
licensees under the Commission's authority to protect the common
defense and security of the nation. The Orders required certain
manufacturing and distribution (M&D) licensees to implement Additional
Security Measures (ASMs) for the radioactive materials listed in
Attachment 2 to this Order (the radionuclides of concern), to
supplement the existing regulatory requirements. The ASMs included
requirements for determining the trustworthiness and reliability of
individuals that require unescorted access to the radionuclides of
concern. Section 652 of the Energy Policy Act of 2005, which became law
on August 8, 2005, amended Section 149 of the AEA to require
fingerprinting and a Federal Bureau of Investigation (FBI)
identification and criminal history records check for ``any individual
who is permitted unescorted access to radioactive materials or other
property subject to regulation by the Commission that the Commission
determines to be of such significance to the public health and safety
or the common defense and security as to warrant fingerprinting and
background checks.'' Section 149 of the AEA also requires that ``all
fingerprints obtained by an individual or entity shall be submitted to
the Attorney General of the United States through the Commission for
identification and a criminal history records check.'' Due to the 2005
revision of the AEA, the trustworthiness and reliability requirements
of the ASMs were updated and the M&D licensees were issued additional
Orders imposing the new fingerprinting requirements.
In late 2005, the NRC and the Agreement States began issuing
Increased Controls (IC) Orders or other legally binding requirements to
licensees who are authorized to possess the radionuclides of concern at
IC licensee facilities. Paragraph IC 1.c, in Attachment B of the
December 1, 2005, IC Order, ``Increased Controls for Licensees That
Possess Sources Containing Radioactive Material Quantities of
Concern,'' stated that ``service providers shall be escorted unless
determined to be trustworthy and reliable by an NRC-required background
investigation as an employee of a manufacturing and distribution
licensee'' (70 FR 72130). Starting in December 2007, the NRC and the
Agreement States began issuing additional Orders or other legally
binding requirements to the IC licensees, imposing the new
fingerprinting requirements. In the December 13, 2007, Fingerprinting
Order, paragraph IC 1.c of the prior Order was superseded by the
requirement that ``Service provider licensee employees shall be
escorted unless determined to be trustworthy and reliable by an NRC-
required background investigation'' (72 FR 70901). However, the NRC did
not require background investigations for non-M&D service provider
licensees. Consequently, only service representatives of certain M&D
licensees may be granted unescorted access to the radionuclides of
concern at an IC licensee facility, even though non-M&D service
provider licensees provide similar services and have the same degree of
knowledge of the devices they service as M&D licensees. To maintain
appropriate access control to the radionuclides of concern, and to
allow M&D licensees and non-M&D service provider licensees to have the
same level of access at customers' facilities, NRC is imposing
trustworthiness and reliability requirements for unescorted access to
the radionuclides of concern set forth in Table 1 of Attachment 2 of
this Order. These requirements apply to non-M&D service provider
licensees that request and have a need for unescorted access by their
representatives to the radionuclides of concern at IC and part 37
licensee facilities. These trustworthiness and reliability requirements
are equivalent to the requirements for M&D licensees who perform
services requiring unescorted access to the radionuclides of concern.
In order to provide assurance that non-M&D service provider
licensees are implementing prudent measures to achieve a consistent
level of protection for service providers requiring unescorted access
to the radionuclides of concern at IC and part 37 licensee facilities,
the licensee identified in Attachment 1 to this Order shall implement
the requirements of this Order. In addition, pursuant to 10 CFR 2.202,
because of potentially significant adverse impacts associated with a
deliberate malevolent act by an individual with unescorted access to
the radionuclides of concern, I find that the public health, safety,
and interest require this Order to be effective immediately.
III
Accordingly, pursuant to Sections 81, 149, 161b, 161i, 161o, 182,
and 186 of
[[Page 69138]]
the Atomic Energy Act of 1954, as amended, and the Commission's
regulations in 10 CFR 2.202, 10 CFR parts 20, 30 and 33, IT IS HEREBY
ORDERED, EFFECTIVE IMMEDIATELY, THAT THE LICENSEE IDENTIFIED IN
ATTACHMENT 1 TO THIS ORDER COMPLY WITH THE REQUIREMENTS SET FORTH IN
THIS ORDER.
A.1. The licensee shall establish and maintain a fingerprinting
program that meets the requirements of Attachment 3 to this Order for
individuals that require unescorted access to the radionuclides of
concern. The licensee shall complete implementation of the requirements
of Attachment 3 to this Order within one hundred eighty (180) days of
the date of this Order, or before providing written verification to
another licensee subject to the IC or part 37 requirements, or
attesting to or certifying the trustworthiness and reliability of a
service provider for unescorted access to the radionuclides of concern
at a customer's facility.
A.2. Within ninety (90) days of the date of this Order, the
licensee shall designate a ``Reviewing Official'' for determining
unescorted access to the radioactive materials as listed in Attachment
2 to this Order by other individuals. Before submittal of the
individual's fingerprints to the NRC, the licensee must perform a
trustworthiness and reliability review per the requirements in
Attachment 3 of the Order. The licensee must verify the employment
history, education, and personal references of the designated Reviewing
Official for at least the past three (3) years. Additionally, the
designated Reviewing Official must be authorized unescorted access to
the radioactive materials listed in Attachment 2 to this Order as part
of his or her job duties or have access to Safeguards Information.
After this process, the licensee designates the Reviewing Official to
NRC by submitting the individual's fingerprints and processing fee.
A.3. Fingerprints for unescorted access need not be taken if a
designated Reviewing Official is relieved from the fingerprinting
requirement by 10 CFR 73.61, or has been favorably adjudicated by a
U.S. Government program involving fingerprinting and a FBI
identification and criminal history records check \2\ within the last
five (5) years, or for any person who has an active federal security
clearance (provided in the latter two cases that they make available
the appropriate documentation \3\). The licensee may provide, for NRC
review, written confirmation from the Agency/employer which granted the
federal security clearance or reviewed the FBI identification and
criminal history records results based upon a fingerprint
identification check. The NRC will determine whether, based on the
written confirmation, the designated Reviewing Official may have
unescorted access to the radioactive materials listed in Attachment 2
to this Order, and therefore, be permitted to serve as the licensee's
Reviewing Official.\4\
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\2\ Examples of such programs include (1) National Agency Check,
(2) Transportation Worker Identification Credentials in accordance
with 49 CFR part 1572, (3) Bureau of Alcohol Tobacco Firearms and
Explosives background checks and clearances in accordance with 27
CFR part 555, (4) Health and Human Services security risk
assessments for possession and use of select agents and toxins in
accordance with 42 CFR part 73, and (5) Hazardous Material security
threat assessment for hazardous material endorsement to commercial
drivers license in accordance with 49 CFR part 1572, Customs and
Border Protection's Free and Secure Trade (FAST) Program. The FAST
program is a cooperative effort between the Bureau of Customs and
Border Protection and the governments of Canada and Mexico to
coordinate processes for the clearance of commercial shipments at
the U.S.-Canada and U.S.-Mexico borders. Participants in the FAST
program, which requires successful completion of a background
records check, may receive expedited entrance privileges at the
northern and southern borders.
\3\ This documentation must allow the NRC or NRC-approved
Reviewing Official to verify that the individual has fulfilled the
unescorted access requirements of Section 149 of the AEA by
submitting to fingerprinting and a FBI identification and criminal
history records check.
\4\ The NRC's determination of this individual's unescorted
access to the radionuclides of concern in accordance with the
process described in Enclosure 4 to the transmittal letter of this
Order is an administrative determination that is outside the scope
of this Order.
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A.4. A designated Reviewing Official may not review the results
from the FBI identification and criminal history records checks or make
unescorted access determinations until the NRC has approved the
individual as the licensee's Reviewing Official.
A.5. The NRC will determine whether this individual (or any
subsequent Reviewing Official) may have unescorted access to the
radionuclides of concern, and therefore, will be permitted to serve as
the licensee's Reviewing Official. The NRC-approved Reviewing Official
shall be the recipient of the results of the FBI identification and
criminal history records check of the other licensee employees
requiring unescorted access to the radioactive materials listed in
Attachment 2 to this Order, and shall control such information as
specified in the ``Protection of Information'' section of Attachment 3
to this Order.
A.6. The NRC-approved Reviewing Official shall determine whether an
individual may have unescorted access to radioactive materials that
equal or exceed the quantities in Attachment 2 to this Order, in
accordance with the requirements described in Attachment 3 to this
Order.
B. Prior to requesting fingerprints from a licensee employee, a
copy of this Order shall be provided to that person.
C.1. The licensee shall, in writing, within twenty-five (25) days
of the date of this Order, notify the Commission, (1) if it is unable
to comply with any of the requirements described in this Order,
including Attachment 3 to this Order, (2) if compliance with any of the
requirements is unnecessary in its specific circumstances, or (3) if
implementation of any of the requirements would cause the licensee to
be in violation of the provisions of any Commission or Agreement State
regulation or its license. The notification shall provide the
licensee's justification for seeking relief from or variation of any
specific requirement.
C.2. The licensee shall complete implementation of the requirements
of Attachment 3 to this Order within one hundred eighty (180) days of
the date of this Order.
C.3 The licensee shall report to the Commission when they have
achieved full compliance with the requirements described in Attachment
3 to this Order. The report shall be made within twenty-five (25) days
after full compliance has been achieved.
C.4. If during the implementation period of this Order, the
licensee is unable, due to circumstances beyond its control, to meet
the requirements of this Order by March 30, 2015, the licensee shall
request, in writing, that the Commission grant an extension of time to
implement the requirements. The request shall provide the licensee's
justification for seeking additional time to comply with the
requirements of this Order.
C.5. Licensees shall notify the NRC's Headquarters Operations
Office at 301-816-5100 within 24 hours if the results from a FBI
identification and criminal history records check indicate that an
individual is identified on the FBI's Terrorist Screening Data Base.
Licensee responses to C.1, C.2., C.3., and C.4. above shall be
submitted in writing to the Director, Office of Federal and State
Materials and Environmental Management Programs, U.S. Nuclear
Regulatory Commission, Washington, DC 20555. Licensee responses shall
be marked as ``Security-Related Information--Withhold Under 10 CFR
2.390.''
The Director, Office of Federal and State Materials and
Environmental Management Programs, may, in writing,
[[Page 69139]]
relax or rescind any of the above conditions upon demonstration of good
cause by the licensee.
IV
In accordance with 10 CFR 2.202, the licensee must, and any other
person adversely affected by this Order may, submit an answer to this
Order within twenty-five (25) days of the date of this Order. In
addition, the licensee and any other person adversely affected by this
Order may request a hearing on this Order within twenty-five (25) days
of the date of the Order. Where good cause is shown, consideration will
be given to extending the time to request a hearing. A request for
extension of time must be made, in writing, to the Director, Division
of Materials Safety and State Agreements, Office of Federal and State
Materials and Environmental Management Programs, U.S. Nuclear
Regulatory Commission, Washington, DC 20555, and include a statement of
good cause for the extension.
The answer may consent to this Order. If the answer includes a
request for a hearing, it shall, under oath or affirmation,
specifically set forth the matters of fact and law on which the
licensee relies and the reasons as to why the Order should not have
been issued. If a person other than the licensee requests a hearing,
that person shall set forth with particularity the manner in which his
interest is adversely affected by this Order and shall address the
criteria set forth in 10 CFR 2.309(d).
A request for a hearing must be filed in accordance with the NRC E-
Filing rule, which became effective on October 15, 2007. The E-Filing
Final Rule was issued on August 28, 2007 (72 FR 49139). The E-Filing
process requires participants to submit and serve documents over the
internet or, in some cases, to mail copies on electronic optical
storage media. Participants may not submit paper copies of their
filings unless they seek a waiver in accordance with the procedures
described below.
To comply with the procedural requirements associated with E-
Filing, at least five (5) days prior to the filing deadline the
requestor must contact the Office of the Secretary by email at
[email protected], or by calling (301) 415-1677, to request (1) a
digital ID certificate, which allows the participant (or its counsel or
representative) to digitally sign documents and access the E-Submittal
server for any NRC proceeding in which it is participating; and/or (2)
creation of an electronic docket for the proceeding (even in instances
when the requestor (or its counsel or representative) already holds an
NRC-issued digital ID certificate). Each requestor will need to
download the Workplace Forms ViewerTM to access the
Electronic Information Exchange (EIE), a component of the E-Filing
system. The Workplace Forms ViewerTM is free and is
available at http://www.nrc.gov/site-help/e-submittals/install-viewer.html. Information about applying for a digital ID certificate
also is available on NRC's public Web site at http://www.nrc.gov/site-help/e-submittals/apply-certificates.html.
Once a requestor has obtained a digital ID certificate, had a
docket created, and downloaded the EIE viewer, it can then submit a
request for a hearing through the EIE. Submissions should be in
Portable Document Format (PDF) in accordance with NRC guidance
available on the NRC public Web site at http://www.nrc.gov/site-help/e-submittals.html. A filing is considered complete at the time the filer
submits its document through the EIE.
To be timely, electronic filings must be submitted to the EIE
system no later than 11:59 p.m. Eastern Time on the due date. Upon
receipt of a transmission, the E-Filing system time-stamps the document
and sends the submitter an email notice confirming receipt of the
document. The EIE system also distributes an email notice that provides
access to the document to the NRC Office of the General Counsel and any
others who have advised the Office of the Secretary that they wish to
participate in the proceeding, so that the filer need not serve the
document on those participants separately. Therefore, any others who
wish to participate in the proceeding (or their counsel or
representative) must apply for and receive a digital ID certificate
before a hearing request is filed so that they may obtain access to the
document via the E-Filing system.
A person filing electronically may seek assistance through the
``Contact Us'' link located on the NRC Web site at http://www.nrc.gov/site-help/e-submittals.html or by calling the NRC technical help line,
which is available between 8:00 a.m. and 8:00 p.m., Eastern Time,
Monday through Friday. The help line number is (866) 672-7640.
Participants who believe that they have good cause for not
submitting documents electronically must, in accordance with 10 CFR
2.302(g), file an exemption request with the initial paper filing
showing good cause as to why the participant cannot file electronically
and requesting authorization to continue to submit documents in paper
format. Such filings must be submitted by (1) first class mail
addressed to the Office of the Secretary of the Commission, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemaking and Adjudications Staff; or (2) courier, express mail, or
expedited delivery service to the Office of the Secretary, Sixteenth
Floor, One White Flint North, 11555 Rockville Pike, Rockville,
Maryland, 20852, Attention: Rulemaking and Adjudications Staff.
Participants filing a document in this manner are responsible for
serving the document on all other participants. Filing is considered
complete by first-class mail as of the time of deposit in the mail, or
by courier, express mail, or expedited delivery service upon depositing
the document with the provider of the service.
Documents submitted in adjudicatory proceedings will appear in
NRC's electronic hearing docket, which is available to the public at
http://ehd1.nrc.gov/EHD/, unless excluded pursuant to an order of the
Commission, an Atomic Safety and Licensing Board, or a Presiding
Officer. Participants are requested not to include personal privacy
information, such as social security numbers, home addresses, or home
phone numbers in their filings. With respect to copyrighted works,
except for limited excerpts that serve the purpose of the adjudicatory
filings and would constitute a Fair Use application, participants are
requested not to include copyrighted materials in their works.
If a hearing is requested by the licensee or a person whose
interest is adversely affected, the Commission will issue an Order
designating the time and place of any hearing. If a hearing is held the
issue to be considered at such hearing shall be whether this Order
should be sustained.
Pursuant to 10 CFR 2.202(c)(2)(i), the licensee may, in addition to
requesting a hearing, at the time the answer is filed or sooner, move
the presiding officer to set aside the immediate effectiveness of the
Order on the ground that the Order, including the need for immediate
effectiveness, is not based on adequate evidence but on mere suspicion,
unfounded allegations, or error.
In the absence of any request for hearing, or written approval of
an extension of time in which to request a hearing, the provisions
specified in Section III above shall be final twenty-five (25) days
from the date of this Order without further order or proceedings. If an
extension of time for requesting a hearing has been approved, the
provisions specified in Section III shall be final when the extension
expires if a hearing request has not been received.
[[Page 69140]]
AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE
EFFECTIVENESS OF THIS ORDER.
Dated this 2nd day of October, 2014.
For The Nuclear Regulatory Commission.
Brian E. Holian,
Acting Director, Office of Federal and State Materials and
Environmental Management Programs.
Attachment 1: List of Applicable Materials Licensees
Redacted
Attachment 2: Table 1: Radionuclides of Concern
Table 1--Radionuclides of Concern
------------------------------------------------------------------------
Quantity of Quantity of
Radionuclide concern \1\ concern \2\ (Ci
(TBq) )
------------------------------------------------------------------------
Am-241.............................. 0.6 16
Am-241/Be........................... 0.6 16
Cf-252.............................. 0.2 5.4
Cm-244.............................. 0.5 14
Co-60............................... 0.3 8.1
Cs-137.............................. 1 27
Gd-153.............................. 10 270
Ir-192.............................. 0.8 22
Pm-147.............................. 400 11,000
Pu-238.............................. 0.6 16
Pu-239/Be........................... 0.6 16
Ra-226.............................. 0.4 11
Se-75............................... 2 54
Sr-90 (Y-90)........................ 10 270
Tm-170.............................. 200 5,400
Yb-169.............................. 3 81
Combinations of radioactive (\4\) ................
materials listed above \3\.........
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\1\ The aggregate activity of multiple, collocated sources of the same
radionuclide should be included when the total activity equals or
exceeds the quantity of concern.
\2\ The primary values used for compliance with this Order are
Terabecquerels (TBq). The curie (Ci) values are rounded to two
significant figures for informational purposes only.
\3\ Radioactive materials are to be considered aggregated or collocated
if breaching a common physical security barrier (e.g., a locked door
at the entrance to a storage room) would allow access to the
radioactive material or devices containing the radioactive material.
\4\ If several radionuclides are aggregated, the sum of the ratios of
the activity of each source, i, of radionuclide, n, A(i,n), to the
quantity of concern for radionuclide n, Q(n), listed for that
radionuclide equals or exceeds one. [(aggregated source activity for
radionuclide A) / (quantity of concern for radionuclide A)] +
[(aggregated source activity for radionuclide B) / (quantity of
concern for radionuclide B)] + etc. . . . [gteqt]1
Guidance for Aggregation of Sources
NRC supports the use of the International Atomic Energy
Association's (IAEA) source categorization methodology as defined in
IAEA Safety Standards Series No. RS-G-1.9, ``Categorization of
Radioactive Sources,'' (2005) (see http://www-pub.iaea.org/MTCD/publications/PDF/Pub1227_web.pdf) and as endorsed by the agency's
Code of Conduct for the Safety and Security of Radioactive Sources,
January 2004 (see http://www-pub.iaea.org/MTCD/publications/PDF/Code-2004_web.pdf). The Code defines a three-tiered source
categorization scheme. Category 1 corresponds to the largest source
strength (equal to or greater than 100 times the quantity of concern
values listed in Table 1.) and Category 3, the smallest (equal or
exceeding one-tenth the quantity of concern values listed in Table
1.). Additional security measures apply to sources that are equal to
or greater than the quantity of concern values listed in Table 1,
plus aggregations of smaller sources that are equal to or greater
than the quantities in Table 1. Aggregation only applies to sources
that are collocated.
Licensees who possess individual sources in total quantities
that equal or exceed the Table 1 quantities are required to
implement additional security measures. Where there are many small
(less than the quantity of concern values) collocated sources whose
total aggregate activity equals or exceeds the Table 1 values,
licensees are to implement additional security measures.
Some source handling or storage activities may cover several
buildings, or several locations within specific buildings. The
question then becomes, ``When are sources considered collocated for
purposes of aggregation?'' For purposes of the additional controls,
sources are considered collocated if breaching a single barrier
(e.g., a locked door at the entrance to a storage room) would allow
access to the sources. Sources behind an outer barrier should be
aggregated separately from those behind an inner barrier (e.g., a
locked source safe inside the locked storage room). However, if both
barriers are simultaneously open, then all sources within these two
barriers are considered to be collocated. This logic should be
continued for other barriers within or behind the inner barrier.
The following example illustrates the point: A lockable room has
sources stored in it. Inside the lockable room, there are two
shielded safes with additional sources in them. Inventories are as
follows:
The room has the following sources outside the safes: Cf-252,
0.12 TBq (3.2 Ci); Co-60, 0.18 TBq (4.9 Ci), and Pu-238, 0.3 TBq
(8.1 Ci). Application of the unity rule yields: (0.12 / 0.2) + (0.18
/ 0.3) + (0.3 / 0.6) = 0.6 + 0.6 + 0.5 = 1.7. Therefore, the sources
would require additional security measures.
Shielded safe #1 has a 1.9 TBq (51 Ci) Cs-137 source and a 0.8
TBq (22 Ci) Am-241 source. In this case, the sources would require
additional security measures, regardless of location, because they
each exceed the quantities in Table 1.
Shielded safe #2 has two Ir-192 sources, each having an activity
of 0.3 TBq (8.1 Ci). In this case, the sources would not require
additional security measures while locked in the safe. The combined
activity does not exceed the threshold quantity 0.8 TBq (22 Ci).
Because certain barriers may cease to exist during source
handling operations (e.g., a storage location may be unlocked during
periods of active source usage), licensees should, to the extent
practicable, consider two modes of source usage--``operations''
(active source usage) and ``shutdown'' (source storage mode).
Whichever mode results in the greatest inventory (considering
barrier status) would require additional security measures for each
location.
Use the following method to determine which sources of
radioactive material require implementation of the Additional
Security Measures:
Include any single source equal to or greater than the
quantity of concern in Table 1
Include multiple collocated sources of the same
radionuclide when the combined quantity equals or exceeds the
quantity of concern
For combinations of radionuclides, include multiple
collocated sources of different radionuclides when the aggregate
quantities satisfy the following unity rule:
[[Page 69141]]
[(amount of radionuclide A) / (quantity of concern of radionuclide
A)] + [(amount of radionuclide B) / (quantity of concern of
radionuclide B)] + etc. . . . [gteqt]1
Attachment 3: Requirements for Service Provider Licensees Providing
Written Verification Attesting to or Certifying the Trustworthiness and
Reliability of Service Providers for Unescorted Access to Certain
Radioactive Material at Customer Facilities, Including Requirements for
Fingerprinting and Criminal History Checks
A. General Requirements
Licensees subject to the provisions of this Order shall comply
with the requirements of this attachment. The term ``certain
radioactive material'' means the radionuclides in quantities equal
to or greater than the quantities listed in Attachment 2 to this
Order.
1. The Licensee shall provide the customer's facility written
verification attesting to or certifying the trustworthiness and
reliability of an individual as a service provider only for
employees the Licensee has approved in writing (see requirement A.3
below). The Licensee shall request unescorted access to certain
radioactive material at customer licensee facilities only for
approved service providers that require the unescorted access in
order to perform a job duty.
2. The trustworthiness, reliability, and true identity of a
service provider shall be determined based on a background
investigation. The background investigation shall address at least
the past three (3) years, and as a minimum, include fingerprinting
and a Federal Bureau of Investigation (FBI) criminal history records
check as required in Section B, verification of employment history,
education, and personal references. If a service provider's
employment has been less than the required three (3) year period,
educational references may be used in lieu of employment history.
3. The Licensee shall document the basis for concluding that
there is reasonable assurance that a service provider requiring
unescorted access to certain radioactive material at a customer
facility is trustworthy and reliable, and does not constitute an
unreasonable risk for unauthorized use of the radioactive material.
The Licensee shall maintain a list of service providers approved for
unescorted access to certain radioactive material.
4. The Licensee shall retain documentation regarding the
trustworthiness and reliability of approved service providers for
three years after the individual no longer requires unescorted
access to certain radioactive material associated with the
Licensee's activities.
5. Each time the Licensee revises the list of approved service
providers (see requirement 3 above), the Licensee shall retain the
previous list for three (3) years after the revision.
6. The Licensee shall provide to a customer written
certification for each service provider for whom unescorted access
to certain radioactive material at the customer's facility is
required and requested. The written certification shall be dated and
signed by the Reviewing Official. A new written certification is not
required if an individual service provider returns to the customer
facility within three years, provided the customer has retained the
prior certification.
B. Specific Requirements Pertaining to Fingerprinting and Criminal
History Records Checks
1. The Licensee shall fingerprint each service provider to be
approved for unescorted access to certain radioactive materials
following the procedures outlined in Enclosure 3 of the transmittal
letter. The Licensee shall review and use the information received
from the FBI identification and criminal history records check and
ensure that the provisions contained in the subject Order and this
attachment are satisfied.
2. The Licensee shall notify each affected individual that the
fingerprints will be used to secure a review of his/her criminal
history record and inform the individual of the procedures for
revising the record or including an explanation in the record, as
specified in the ``Right to Correct and Complete Information''
section of this attachment.
3. Fingerprints for unescorted access need not be taken if an
employed individual (e.g., a Licensee employee, contractor,
manufacturer, or supplier) is relieved from the fingerprinting
requirement by 10 CFR 73.61, or any person who has been favorably-
decided by a U.S. Government program involving fingerprinting and an
FBI identification and criminal history records check (e.g.,
National Agency Check, Transportation Worker Identification
Credentials in accordance with 49 CFR Part 1572, Bureau of Alcohol
Tobacco Firearms and Explosives background checks and clearances in
accordance with 27 CFR Part 555, Health and Human Services security
risk assessments for possession and use of select agents and toxins
in accordance with 42 CFR Part 73, Hazardous Material security
threat assessment for hazardous material endorsement to commercial
drivers license in accordance with 49 CFR Part 1572, Customs and
Border Protection's Free and Secure Trade Program \5\) within the
last five (5) years, or any person who has an active federal
security clearance (provided in the latter two cases that they make
available the appropriate documentation \6\). Written confirmation
from the Agency/employer which granted the federal security
clearance or reviewed the FBI criminal history records results based
upon a fingerprint identification check must be provided. The
Licensee must retain this documentation for a period of three (3)
years from the date the individual no longer requires unescorted
access to certain radioactive material associated with the
Licensee's activities.
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\5\ The FAST program is a cooperative effort between the Bureau
of Customs and Border Protection and the governments of Canada and
Mexico to coordinate processes for the clearance of commercial
shipments at the U.S.-Canada and U.S.-Mexico borders. Participants
in the FAST program, which requires successful completion of a
background records check, may receive expedited entrance privileges
at the northern and southern borders.
\6\ This documentation must allow the Reviewing Official to
verify that the individual has fulfilled the unescorted access
requirements of Section 149 of the AEA by submitting to
fingerprinting and an FBI identification and criminal history
records check.
---------------------------------------------------------------------------
4. All fingerprints obtained by the Licensee pursuant to this
Order must be submitted to the Commission for transmission to the
FBI.
5. The Licensee shall review the information received from the
FBI and consider it, in conjunction with the trustworthiness and
reliability requirements of Section A of this attachment, in making
a determination whether to approve and certify the individual for
unescorted access to certain radioactive materials.
6. The Licensee shall use any information obtained as part of a
criminal history records check solely for the purpose of determining
an individual's suitability for unescorted access to certain
radioactive materials.
7. The Licensee shall document the basis for its determination
whether to approve the individual for unescorted access to certain
radioactive materials.
C. Prohibitions
A Licensee shall not base a final determination to not provide
certification for unescorted access to certain radioactive material
for an individual solely on the basis of information received from
the FBI involving: an arrest more than one (1) year old for which
there is no information of the disposition of the case, or an arrest
that resulted in dismissal of the charge or an acquittal.
A Licensee shall not use information received from a criminal
history check obtained pursuant to this Order in a manner that would
infringe upon the rights of any individual under the First Amendment
to the Constitution of the United States, nor shall the Licensee use
the information in any way which would discriminate among
individuals on the basis of race, religion, national origin, sex, or
age.
D. Right To Correct and Complete Information
Prior to any final adverse determination, the Licensee shall
make available to the individual the contents of any criminal
records obtained from the FBI for the purpose of assuring correct
and complete information. Written confirmation by the individual of
receipt of this notification must be maintained by the Licensee for
a period of one (1) year from the date of the notification.
If, after reviewing the record, an individual believes that it
is incorrect or incomplete in any respect and wishes to change,
correct, or update the alleged deficiency, or to explain any matter
in the record, the individual may initiate challenge procedures.
These procedures include either direct application by the individual
challenging the record to the agency (i.e., law enforcement agency)
that contributed the questioned information, or direct challenge as
to the accuracy or completeness of any entry on the criminal history
record to the Assistant Director, Federal Bureau of Investigation
Identification Division, Washington, DC 20537-9700 (as set
[[Page 69142]]
forth in 28 CFR Part 16.30 through 16.34). In the latter case, the
FBI forwards the challenge to the agency that submitted the data and
requests that agency to verify or correct the challenged entry. Upon
receipt of an Official communication directly from the agency that
contributed the original information, the FBI Identification
Division makes any changes necessary in accordance with the
information supplied by that agency. The Licensee must provide at
least ten (10) days for an individual to initiate an action
challenging the results of an FBI identification and criminal
history records check after the record is made available for his/her
review. The Licensee may make a final unescorted access to certain
radioactive material determination based upon the criminal history
record only upon receipt of the FBI's ultimate confirmation or
correction of the record. Upon a final adverse determination on
unescorted access to certain radioactive material, the Licensee
shall provide the individual its documented basis for denial.
Unescorted access to certain radioactive material shall not be
granted to an individual during the review process.
E. Protection of Information
1. Each Licensee who obtains a criminal history record on an
individual pursuant to this Order shall establish and maintain a
system of files and procedures for protecting the record and the
personal information from unauthorized disclosure.
2. The Licensee may not disclose the record or personal
information collected and maintained to persons other than the
subject individual, his/her representative, or to those who have a
need to access the information in performing assigned duties in the
process of determining whether to verify the individual for
unescorted access to certain radioactive material. No individual
authorized to have access to the information may re-disseminate the
information to any other individual who does not have a need-to-
know.
3. The personal information obtained on an individual from a
criminal history record check may be transferred to another Licensee
if the Licensee holding the criminal history record check receives
the individual's written request to re-disseminate the information
contained in his/her file, and the gaining Licensee verifies
information such as the individual's name, date of birth, social
security number, sex, and other applicable physical characteristics
for identification purposes.
4. The Licensee shall make criminal history records, obtained
under this section, available for examination by an authorized
representative of the NRC to determine compliance with the
regulations and laws.
5. The Licensee shall retain all fingerprints and criminal
history records from the FBI, or a copy if the individual's file has
been transferred:
a. For three (3) years after the individual no longer requires
unescorted access, or
b. for three (3) years after unescorted access to certain
radioactive material was denied.
After the required three (3) year period, these documents shall
be destroyed by a method that will prevent reconstruction of the
information in whole or in part.
[FR Doc. 2014-27515 Filed 11-19-14; 8:45 am]
BILLING CODE 7590-01-P