In the Matter of All Licensees Authorized To Manufacture or Initially Transfer Items Containing Radioactive Material for Sale or Distribution and Possess High-Risk Radioactive Material of Concern; Order Imposing Additional Security Measures (Effective Immediately), 66079-66086 [2013-26376]
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Federal Register / Vol. 78, No. 213 / Monday, November 4, 2013 / Notices
SUPPLEMENTARY INFORMATION:
For the U.S. Nuclear Regulatory
Commission.
Tyrone D. Naquin,
Project Manager, Fuel Manufacturing Branch,
Division of Fuel Cycle Safety and Safeguards,
Office of Nuclear Material Safety and
Safeguards.
I. Introduction
[FR Doc. 2013–26380 Filed 11–1–13; 8:45 am]
Material Safety and Safeguards, U.S.
Nuclear Regulatory Commission,
Washington, D.C. 20555–0001;
telephone: 301–287–9144; email:
Tyrone.Naquin@nrc.gov.
BILLING CODE 7590–01–P
Pursuant to Section 2.106 of Title 10
of the Code of Federal Regulations (10
CFR), the NRC is providing notice of the
issuance of License Renewal to Material
License No. SNM–362, to NIST, which
uses licensed materials for research,
development, calibration, and testing
activities. Under SNM–362, NIST
develops, maintains, and disseminates
national standards for ionizing radiation
and radioactivity to support health care,
industry, and homeland security at its
Gaithersburg, Maryland location. The
licensee’s request for renewal of its
license was previously made on June 29,
2007. In accordance with 10 CFR Part
51, an environmental assessment of this
action was completed and a finding of
no significant impact was published in
the Federal Register on April 13, 2012
(77 FR 22362).
This license renewal complies with
the standards and requirements of the
Atomic Energy Act of 1954, as amended,
and the NRC’s rules and regulations as
set forth in 10 CFR Chapter 1.
Accordingly, this license renewal was
issued on September 10, 2013, and is
effective immediately.
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II. Further Information
The NRC has prepared a Safety
Evaluation Report (SER) that documents
the information that was reviewed and
the NRC’s conclusion. In accordance
with 10 CFR 2.390 of the NRC’s
‘‘Agency Rules of Practice and
Procedure,’’ details with respect to this
action, including the SER and
accompanying documentation included
in the license renewal package, are
available online in the NRC Library at
https://www.nrc.gov/reading-rm/
adams.html. From this site, you can
access the NRC’s Agencywide
Documents Access and Management
System (ADAMS), which provides text
and image files of the NRC’s public
documents.
These documents may also be viewed
electronically on the public computers
located at the NRC’s PDR, Room O–
1F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland
20852. The PDR reproduction contractor
will copy documents for a fee.
Dated at Rockville, Maryland, this 29th day
of October 2013.
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NUCLEAR REGULATORY
COMMISSION
66079
nrc.gov. Determinations on requests for
reasonable accommodation will be
made on a case-by-case basis.
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Members of the public may request to
receive this information electronically.
If you would like to be added to the
distribution, please contact the Office of
the Secretary, Washington, DC 20555
(301–415–1969), or send an email to
Darlene.Wright@nrc.gov.
Dated: October 30, 2013.
Rochelle C. Bavol,
Policy Coordinator, Office of the Secretary.
[NRC–2013–0001]
[FR Doc. 2013–26489 Filed 10–31–13; 4:15 pm]
Sunshine Act Meeting Notice
BILLING CODE 7590–01–P
Week of October 28, 2013.
PLACE: Commissioners’ Conference
Room, 11555 Rockville Pike, Rockville,
Maryland.
STATUS: Public and Closed.
DATES:
Week of October 28, 2013
Thursday, October 31, 2013
12:55 p.m. Affirmation Session (Public
Meeting) (Tentative)
a. Exelon Generation Co., LLC
(Limerick Generating Station, Units
1 and 2), Board’s Referred Ruling in
LBP–13–1 (Feb. 6, 2013) (Tentative)
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*The schedule for Commission
meetings is subject to change on short
notice. To verify the status of meetings,
call (recording)—301–415–1292.
Contact person for more information:
Rochelle Bavol, 301–415–1651.
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Additional Information
By a vote of 5–0 on October 30, 2013,
the Commission determined pursuant to
U.S.C. 552b(e) and § 9.107(a) of the
Commission’s rules that the above
referenced Affirmation Session be held
with less than one week notice to the
public. The meeting is scheduled on
October 31, 2013.
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The NRC Commission Meeting
Schedule can be found on the Internet
at: https://www.nrc.gov/public-involve/
public-meetings/schedule.html.
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The NRC provides reasonable
accommodation to individuals with
disabilities where appropriate. If you
need a reasonable accommodation to
participate in these public meetings, or
need this meeting notice or the
transcript or other information from the
public meetings in another format (e.g.
braille, large print), please notify
Kimberly Meyer, NRC Disability
Program Manager, at 301–287–0727, or
by email at kimberly.meyer-chambers@
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NUCLEAR REGULATORY
COMMISSION
[NRC–2013–0242; EA–13–189]
In the Matter of All Licensees
Authorized To Manufacture or Initially
Transfer Items Containing Radioactive
Material for Sale or Distribution and
Possess High-Risk Radioactive
Material of Concern; Order Imposing
Additional Security Measures
(Effective Immediately)
I
The Licensees identified in
Attachment 1 1 to this Order hold
licenses issued in accordance with the
Atomic Energy Act of 1954, as amended,
by the U.S. Nuclear Regulatory
Commission (NRC) or an Agreement
State authorizing them to manufacture
or initially transfer items containing
radioactive material for sale or
distribution. The Commission’s
regulations in § 20.1801 of Title 10 of
the Code of Federal Regulations (10
CFR), or equivalent Agreement State
regulations require Licensees to secure,
from unauthorized removal or access,
licensed materials that are stored in
controlled or unrestricted areas. The
Commission’s regulations in § 20.1802
or equivalent Agreement States
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.
II
On September 11, 2001, terrorists
simultaneously attacked targets in New
York, NY, and near Washington, DC,
utilizing large commercial aircraft as
weapons. In response to the attacks and
intelligence information subsequently
obtained, the Commission issued a
1 Attachment 1 contains sensitive information
and will not be released to the public.
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number of Safeguards and Threat
Advisories to its Licensees in order to
strengthen Licensees’ capabilities and
readiness to respond to a potential
attack on a nuclear facility. The
Commission has also communicated
with other Federal, State and local
government agencies and industry
representatives to discuss and evaluate
the current threat environment in order
to assess the adequacy of security
measures at licensed facilities. In
addition, the Commission has been
conducting a review of its safeguards
and security programs and
requirements.
As a result of its consideration of
current safeguards and license
requirements, as well as a review of
information provided by the intelligence
community, the Commission has
determined that certain additional
security measures are required to be
implemented by Licensees as prudent
measures to address the current threat
environment. Therefore, the
Commission is imposing the
requirements set forth in Attachment 2 2
on certain Manufacturing and
Distribution Licensees identified in
Attachment 1 of this Order who
currently possess, or have near term
plans to possess, high-risk radioactive
material of concern. These
requirements, which supplement
existing regulatory requirements, will
provide the Commission with
reasonable assurance that the public
health and safety and common defense
and security continue to be adequately
protected in the current threat
environment. Attachment 3 of this
Order contains the requirements for
fingerprinting and criminal history
record checks for individuals when a
licensee’s reviewing official is
determining access to Safeguards
Information or unescorted access to the
radioactive materials. These
requirements will remain in effect until
the Commission determines otherwise.
The Commission concludes that the
security measures must be embodied in
an Order consistent with the established
regulatory framework. Furthermore, the
Commission has determined that some
of the security measures contained in
Attachment 2 of this Order contain
Safeguards Information and will not be
released to the public as per the NRC’s
‘‘Order Imposing Requirements for the
Protection of Certain Safeguards
Information’’ (EA–12–193 or EA–13–
2 Attachment 2 contains some requirements that
are SAFEGUARDS INFORMATION, and cannot be
released to the public. The remainder of the
requirements contained in Attachment 2 that are
not SAFEGUARDS INFORMATION will be released
to the public.
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040, as applicable), regarding the
protection of Safeguards Information.
The Commission hereby provides notice
that it intends to treat all violations of
the requirements contained in
Attachment 2 to the NRC’s ‘‘Order
Imposing Requirements for the
Protection of Certain Safeguards
Information’’ (EA–12–193 or EA–13–
040, as applicable), applicable to the
handling and unauthorized disclosure
of Safeguards Information, as serious
breaches of adequate protection of the
public health and safety and the
common defense and security of the
United States. Access to Safeguards
Information is limited to those persons
who have established a need-to-know
the information, are considered to be
trustworthy and reliable, have been
fingerprinted, and have undergone a
Federal Bureau of Investigation (FBI)
identification and criminal history
records check in accordance with the
NRC’s ‘‘Order Imposing Fingerprinting
and Criminal History Records Check
Requirements for Access to Safeguards
Information’’ (EA–12–194 or EA–13–
041, as applicable). A need-to-know
means a determination by a person
having responsibility for protecting
Safeguards Information that a proposed
recipient’s access to Safeguards
Information is necessary in the
performance of official, contractual, or
licensee duties of employment.
Individuals who have been
fingerprinted and granted access to
Safeguards Information by the reviewing
official under the NRC’s ‘‘Order
Imposing Fingerprinting and Criminal
History Records Check Requirements for
Access to Safeguards Information’’ (EA–
12–194 or EA–13–041, as applicable) do
not need to be fingerprinted again for
purposes of being considered for
unescorted access.
This Order also requires that a
reviewing official must consider the
results of the Federal Bureau of
Investigations criminal history records
check in conjunction with other
applicable requirements to determine
whether an individual may be granted
or allowed continued unescorted access.
The reviewing official may be one that
has previously been approved by the
NRC in accordance with the ‘‘Order
Imposing Fingerprinting and Criminal
History Records Check Requirements for
Access to Safeguards Information’’ (EA–
12–194 or EA–13–041, as applicable).
Licensees may nominate additional
reviewing officials for making
unescorted access determinations in
accordance with NRC Orders EA–12–
194 or EA–13–041, as applicable. The
nominated reviewing officials must
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have access to Safeguards Information
or require unescorted access to the
radioactive material as part of their job
duties.
To provide assurance that Licensees
are implementing prudent measures to
achieve a consistent level of protection
to address the current threat
environment, Manufacturing and
Distribution Licensees identified in
Attachment 1 to this Order shall
implement the requirements identified
in Attachments 2 and 3 to this Order. In
addition, pursuant to § 2.202, I find that
in light of the common defense and
security matters identified above, which
warrant the issuance of this Order, the
public health, safety and interest require
that this Order be effective immediately.
III
Accordingly, pursuant to Sections 81,
147, 149, 161b, 161i, 161o, 182, and 186
of the Atomic Energy Act of 1954, as
amended, and the Commission’s
regulations in § 2.202, 10 CFR Part 30,
and 10 CFR Part 32, it is hereby ordered,
effective immediately, that all licensees
identified in attachment 1 to this order
shall comply with the requirements of
this order as follows:
A. The Licensee shall,
notwithstanding the provisions of any
Commission or Agreement State
regulation or license to the contrary,
comply with the requirements described
in Attachments 2 and 3 to this Order.
This Order is effective immediately.
B. 1. The Licensee shall, within
twenty (20) days of the date of this
Order, notify the Commission, (1) if it is
unable to comply with any of the
requirements described in Attachments
2 or 3, (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.
2. If the Licensee considers that
implementation of any of the
requirements described in Attachments
2 or 3 to this Order would adversely
impact safe operation of the facility, the
Licensee must notify the Commission,
within twenty (20) days of this Order, of
the adverse safety impact, the basis for
its determination that the requirement
has an adverse safety impact, and either
a proposal for achieving the same
objectives specified in Attachments 2 or
3 requirement in question, or a schedule
for modifying the facility to address the
adverse safety condition. If neither
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approach is appropriate, the Licensee
must supplement its response to
Condition B.1 of this Order to identify
the condition as a requirement with
which it cannot comply, with attendant
justifications as required in Condition
B.1.
C. 1. In accordance with the NRC’s
‘‘Order Imposing Fingerprinting and
Criminal History Records Check
Requirements for Access to Safeguards
Information’’ (EA–12–194 or EA–13–
041, as applicable) only the NRCapproved reviewing official shall review
results from an FBI criminal history
records check. The licensee may use a
reviewing official previously approved
by the NRC as its reviewing official for
determining access to Safeguards
Information or the licensee may
nominate another individual
specifically for making unescorted
access to radioactive material
determinations, using the process
described in EA–12–194 or EA–13–041,
as applicable. The reviewing official
must have access to Safeguards
Information or require unescorted
access to the radioactive material as part
of their job duties. The reviewing
official shall determine whether an
individual may have, or continue to
have, unescorted access to radioactive
materials that equal or exceed the
quantities in Attachment 2 to this Order.
Fingerprinting and the FBI
identification and criminal history
records check are not required for
individuals exempted from
fingerprinting requirements under 10
CFR 73.61 [72 FR 4945 (February 2,
2007)]. In addition, individuals who
have a favorably decided U.S.
Government criminal history records
check within the last five (5) years, or
have an active federal security clearance
(provided in each case that the
appropriate documentation is made
available to the Licensee’s reviewing
official), have satisfied the Atomic
Energy Act of 1954, as amended,
fingerprinting requirement and need not
be fingerprinted again for purposes of
being considered for unescorted access.
2. No person may have access to
Safeguards Information or unescorted
access to radioactive materials if the
NRC has determined, in accordance
with its administrative review process
based on fingerprinting and an FBI
identification and criminal history
records check, either that the person
may not have access to Safeguards
Information or that the person may not
have unescorted access to a utilization
facility or radioactive material or other
property subject to regulation by the
NRC.
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D. Fingerprints shall be submitted and
reviewed in accordance with the
procedures described in Attachment 3
to this Order. Individuals who have
been fingerprinted and granted access to
Safeguards Information by the reviewing
official under Orders EA–12–194 or EA–
13–041, as applicable, do not need to be
fingerprinted again for purposes of
being considered for unescorted access.
E. The Licensee may allow any
individual who currently has
unescorted access to radioactive
materials, in accordance with this
Order, to continue to have unescorted
access without being fingerprinted,
pending a decision by the reviewing
official (based on fingerprinting, an FBI
criminal history records check and a
trustworthy and reliability
determination) that the individual may
continue to have unescorted access to
radioactive materials that equal or
exceed the quantities listed in
Attachment 2.
F. 1. The Licensee shall, within
twenty (20) days of the date of this
Order, submit to the Commission a
schedule for completion of each
requirement described in Attachments 2
and 3.
2. The Licensee shall report to the
Commission when they have achieved
full compliance with the requirements
described in Attachments 2 and 3.
G. Notwithstanding any provisions of
the Commission’s or an Agreement
State’s regulations to the contrary, all
measures implemented or actions taken
in response to this Order shall be
maintained until the Commission
determines otherwise.
Licensee responses to Conditions B.1,
B.2, F.1, and F.2 above shall be
submitted to the Director, Office of
Federal and State Materials and
Environmental Management Programs,
U.S. Nuclear Regulatory Commission,
Washington, DC 20555–0001. In
addition, Licensee submittals that
contain specific physical protection or
security information considered to be
Safeguards Information shall be put in
a separate enclosure or attachment and,
marked as ‘‘SAFEGUARDS
INFORMATION—MODIFIED
HANDLING’’ and mailed (no electronic
transmittals i.e., no email or FAX) to the
NRC.
The Director, Office of Federal and
State Materials and Environmental
Management Programs, may, in writing,
relax or rescind any of the above
conditions upon demonstration by the
Licensee of good cause.
IV
In accordance with 10 CFR 2.202, the
Licensee must, and any other person
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66081
adversely affected by this Order may,
submit an answer to this Order within
twenty (20) days of the date of this
Order. In addition, the Licensee and any
other person adversely affected by this
Order may request a hearing of this
Order within twenty (20) 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, Office
of Federal and State Materials and
Environmental Management Programs,
U.S. Nuclear Regulatory Commission,
Washington, DC 20555–0001, 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).
All documents filed in the NRC
adjudicatory proceedings, including a
request for hearing, a petition for leave
to intervene, any motion or other
document filed in the proceeding prior
to the submission of a request for
hearing or petition to intervene, and
documents filed by interested
governmental entities participating
under 10 CFR 2.315(c), must be filed in
accordance with the NRC’s E-Filing rule
(72 FR 49139; August 28, 2007). The EFiling process requires participants to
submit and serve all adjudicatory
documents over the internet, or in some
cases to mail copies on electronic
storage media. Participants may not
submit paper copies of their filings
unless they seek an exemption in
accordance with the procedures
described below.
To comply with the procedural
requirements of E-Filing, at least 10
days prior to the filing deadline, the
participant should contact the Office of
the Secretary by email at
hearing.docket@nrc.gov, or by telephone
at 301–415–1677, to request (1) a digital
identification (ID) certificate, which
allows the participant (or its counsel or
representative) to digitally sign
documents and access the E-Submittal
server for any proceeding in which it is
participating; and (2) advise the
Secretary that the participant will be
submitting a request or petition for
hearing (even in instances in which the
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participant, or its counsel or
representative, already holds an NRCissued digital ID certificate). Based upon
this information, the Secretary will
establish an electronic docket for the
hearing in this proceeding if the
Secretary has not already established an
electronic docket.
Information about applying for a
digital ID certificate is available on
NRC’s public Web site at https://
www.nrc.gov/site-help/e-submittals/
apply-certificates.html. System
requirements for accessing the ESubmittal server are detailed in NRC’s
‘‘Guidance for Electronic Submission,’’
which is available on the agency’s
public Web site at https://www.nrc.gov/
site-help/e-submittals.html. Participants
may attempt to use other software not
listed on the Web site, but should note
that the NRC’s E-Filing system does not
support unlisted software, and the NRC
Meta System Help Desk will not be able
to offer assistance in using unlisted
software.
If a participant is electronically
submitting a document to the NRC in
accordance with the E-Filing rule, the
participant must file the document
using the NRC’s online, Web-based
submission form. In order to serve
documents through the Electronic
Information Exchange System, users
will be required to install a Web
browser plug-in from the NRC’s Web
site. Further information on the Webbased submission form, including the
installation of the Web browser plug-in,
is available on the NRC’s public Web
site at https://www.nrc.gov/site-help/esubmittals.html.
Once a participant has obtained a
digital ID certificate and a docket has
been created, the participant can then
submit a request for a hearing or
petition for leave to intervene.
Submissions should be in Portable
Document Format (PDF) in accordance
with the NRC guidance available on the
NRC’s public Web site at https://
www.nrc.gov/site-help/esubmittals.html. A filing is considered
complete at the time the documents are
submitted through the NRC’s E-Filing
system. To be timely, an electronic
filing must be submitted to the E-Filing
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
E-Filing system also distributes an email
notice that provides access to the
document to the NRC’s Office of the
General Counsel and any others who
have advised the Office of the Secretary
that they wish to participate in the
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proceeding, so that the filer need not
serve the document on those
participants separately. Therefore,
applicants and other participants (or
their counsel or representative) must
apply for and receive a digital ID
certificate before a hearing request/
petition to intervene is filed so that they
can obtain access to the document via
the E-Filing system.
A person filing electronically using
the agency’s adjudicatory E-Filing
system may seek assistance by
contacting the NRC Meta System Help
Desk through the ‘‘Contact Us’’ link
located on the NRC Web site at https://
www.nrc.gov/site-help/esubmittals.html, by email to
MSHD.Resource@nrc.gov, or by a tollfree call at 1–866–672–7640. The NRC
Meta System Help Desk is available
between 8 a.m. and 8 p.m., Eastern
Time, Monday through Friday,
excluding government holidays.
Participants who believe that they
have good cause for not submitting
documents electronically must file an
exemption request, in accordance with
10 CFR 2.302(g), with their initial paper
filing 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 firstclass 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. A presiding
officer, having granted an exemption
request from using E-Filing, may require
a participant or party to use E-Filing if
the presiding officer subsequently
determines that the reason for granting
the exemption from use of E-Filing no
longer exists.
Documents submitted in adjudicatory
proceedings will appear in the NRC’s
electronic hearing docket which is
available to the public at https://
ehd1.nrc.gov/EHD/, unless excluded
pursuant to an order of the Commission,
or the presiding officer. Participants are
requested not to include personal
privacy information, such as social
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security numbers, home addresses, or
home phone numbers in their filings,
unless an NRC regulation or other law
requires submission of such
information. 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
submission.
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
(20) 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.
An answer or a request for hearing shall
not stay the immediate effectiveness of
this order.
Dated this 29th day of October 2013.
For The Nuclear Regulatory Commission.
Brian E. Holian,
Acting Director, Office of Federal and State
Materials and Environmental Management
Programs.
Attachment 1: Service List of
Applicable Materials Licenses—
Redacted
Attachment 2: Additional Security
Measures for Manufacturing and
Distribution Materials Licensees (U)—
Revision 2
These Additional Security Measures
(ASMs) and new requirements are
established to delineate licensee
responsibility in response to the current
threat environment. The following
security measures apply to Radioactive
Material Manufacturing and
Distribution Licensees who, at any given
time, possess greater than or equal to the
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quantities of concern of radioactive
material defined in Table 1 (unless the
licensee documents the basis for
concluding that radioactive material
possessed cannot be easily aggregated
into quantities in excess of the limits
defined in Table 1). As with the
additional security measures previously
provided to other licensees who possess
risk significant radioactive sources,
these increased security measures and
requirements address licensees who are
authorized to possess high-activity
radioactive material which poses a high
risk to human health if not managed
safely and securely.
1. Establish a security zone (or zones).
A security zone is an area, determined
by the licensee that provides for both
isolation of radioactive material and
access control.
a. Only use and store the radioactive
material within the established security
zone(s); and
b. The licensee shall demonstrate for
each security zone, a means to deter,
detect and delay any attempt of
unauthorized access to licensed
material. The security zone is not
required to be the same as the restricted
area or controlled area, as defined in 10
CFR part 20 or equivalent agreement
state regulations; and
c. Security zones can be permanent or
temporary to meet transitory or
intermittent business activities (such as
during periods of maintenance, source
delivery, source replacement, and
temporary job sites.). Different isolation/
access control measures may be used for
periods during which the security zone
is occupied versus unoccupied.
2. Control access at all times to the
security zone and limit admittance to
those individuals who are approved and
require access to perform their duties.
3. Implement a system to monitor,
detect, assess and respond to
unauthorized entries into or activities in
the security zone.
a. [This paragraph contains
SAFEGUARDS INFORMATION and
will not be publicly disclosed]
b. Provide a positive measure to
detect unauthorized removal of the
radioactive material from the security
zone; and
c. [This paragraph contains
SAFEGUARDS INFORMATION and
will not be publicly disclosed]
4. [This paragraph contains
SAFEGUARDS INFORMATION and
will not be publicly disclosed]
5. Licensees shall document the basis
for concluding that there is reasonable
assurance that individuals granted
access to safeguards information or
unescorted access to the security zone
are trustworthy and reliable, and do not
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constitute an unreasonable risk for
malevolent use of the regulated
material. ‘‘Access’’ means that an
individual could exercise some physical
control over the material or device
containing radioactive material.
a. The trustworthiness and reliability
of individuals shall be determined
based on a background investigation.
The background investigation shall
address at least the past 3 years and, as
a minimum, include fingerprinting and
a Federal Bureau of Investigation (FBI)
criminal history check, verification of
work or education references as
appropriate to the length of
employment, and confirmation of
employment eligibility.
b. Fingerprints shall be submitted and
reviewed in accordance with the
procedures described in Attachment 3
to this Order.
c. A reviewing official that the
licensee nominated and has been
approved by the NRC, in accordance
with NRC ‘‘Order Imposing
Fingerprinting and Criminal History
Records Check Requirements for Access
to Safeguards Information,’’ may
continue to make trustworthiness and
reliability determinations. The licensee
may also nominate another individual
specifically for making unescorted
access determinations using the process
identified in the NRC ‘‘Order Imposing
Fingerprinting and Criminal History
Records Check Requirements for Access
to Safeguards Information.’’
d. Individuals for whom the licensee
has not made a determination of
trustworthiness and reliability, based on
the appropriate background
investigation above, shall be escorted
within the security zone to prevent
unauthorized access or actions to the
licensed radioactive material. The
licensee shall also ensure these
individuals are clearly identifiable as
needing an escort while in the security
zone.
6. Before transfer of radioactive
materials that exceed the quantities in
Table 1, Licensees shall:
a. [This paragraph contains
SAFEGUARDS INFORMATION and
will not be publicly disclosed]
b. [This paragraph contains
SAFEGUARDS INFORMATION and
will not be publicly disclosed]
c. Assure that the material is shipped
to an address authorized in the license
and that the address is valid,
d. Verify the address for deliveries to
temporary job site, and
e. Document the verification or
validation process.
7. For domestic highway and rail
shipments of materials in quantities
greater than or equal to the quantities in
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Fmt 4703
Sfmt 4703
66083
Table 1, per conveyance, the licensee
shall:
a. Only use carriers who:
(1) Use established package tracking
systems,
(2) Implement methods to assure
trustworthiness of drivers,
(3) Maintain constant control and/or
surveillance during transit, and
(4) Have the capability for immediate
communication to summon appropriate
response or assistance.
The licensee shall verify and
document that the carrier employs the
measures listed above.
b. Coordinate departure and arrival
times with the recipient.
c. Immediately initiate an
investigation with the carrier and
intended recipient if the shipment does
not arrive by close of business on the
day of the previously coordinated
arrival time. Not later than one hour
after the time when, through the course
of the investigation, it is determined the
shipment has become lost or stolen, the
licensee shall notify the appropriate
local law enforcement agency, the NRC
Operations Center at 301–816–5100, and
the appropriate Agreement State
regulatory agency. If after 24 hours of
initiating the investigation, the
radioactive material cannot be located,
it shall be presumed lost and the
licensee shall immediately notify the
NRC Operations Center and, for
Agreement State licensees, the
appropriate Agreement State regulatory
agency.
d. In addition to a and b above, for
highway and rail shipments of material
in quantities greater than or equal to 100
times the quantities in Table 1, per
conveyance, the licensee shall
implement the NRC Order for
Additional Security Measures on the
Transportation of Radioactive Material
Quantities of Concern.
8. For imports and exports of material
in quantities greater than the quantities
in Table 1, per conveyance, the licensee
shall follow the requirements in the
Final Rule 10 CFR Part 110, July 1, 2005
(70 FR 37985 and 46066), Export and
Import of Radioactive Materials:
Security Policies.
9. The licensee shall protect preplanning, coordinating, and reporting
information required by ASM 7 related
to shipments of radioactive material and
the radioisotopes identified in Table 1
as sensitive information (proprietary
business financial or confidential).
Licensees shall restrict access to this
information to those licensee and
contractor personnel with a need to
know. Licensees shall require all parties
receiving this information to protect it
similarly. Information may be
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Federal Register / Vol. 78, No. 213 / Monday, November 4, 2013 / Notices
transmitted either in writing or
electronically and shall be marked as
‘‘Security-Related Information—
Withhold Under 10 CFR 2.390.’’
10. The licensee shall maintain all
documentation required by these ASMs
for a period of not less than three (3)
years after the document is superceded
or no longer effective.
TABLE A: RADIONUCLIDES OF CONCERN
Quantity of concern 1
(TBq)
Radionuclide
Am-241 ....................................................................................................................................
Am-241/Be ...............................................................................................................................
Cf-252 ......................................................................................................................................
Cm-244 ....................................................................................................................................
Co-60 .......................................................................................................................................
Cs-137 .....................................................................................................................................
Gd-153 .....................................................................................................................................
Ir-192 ........................................................................................................................................
Pm-147 ....................................................................................................................................
Pu-238 .....................................................................................................................................
Pu-239/Be ................................................................................................................................
Ra-226 .....................................................................................................................................
Se-75 .......................................................................................................................................
Sr-90 (Y–90) ............................................................................................................................
Tm-170 .....................................................................................................................................
Yb-169 .....................................................................................................................................
Combinations of radioactive materials listed above 3 ..............................................................
0.6
0.6
0.2
0.5
0.3
1
10
0.8
400
0.6
0.6
0.4
2
10
200
3
See Footnote Below 4
Quantity of concern 2
(Ci)
16
16
5.4
14
8.1
27
270
22
11,000
16
16
11
54
270
5,400
81
........................................
TKELLEY on DSK3SPTVN1PROD with NOTICES
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. . . . ≥1
Guidance for Aggregation of Sources
The 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
https://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
https://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
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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
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Frm 00125
Fmt 4703
Sfmt 4703
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 Pu238, 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) Am241 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
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Federal Register / Vol. 78, No. 213 / Monday, November 4, 2013 / Notices
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
• 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: [(amount of radionuclide A)
÷ (quantity of concern of radionuclide
A)] + [(amount of radionuclide B) ÷
(quantity of concern of radionuclide B)]
+ etc.....≥ 1
Attachment 3: Requirements for
Fingerprinting and Criminal History
Checks of Individuals When Licensee’s
Reviewing Official is Determining
Access to Safeguards Information or
Unescorted Access to Radioactive
Materials
TKELLEY on DSK3SPTVN1PROD with NOTICES
General Requirements
Licensees shall comply with the
following requirements of this
attachment.
1. Each Licensee subject to the
provisions of this attachment shall
fingerprint each individual who is
seeking or permitted access to
Safeguards Information (SGI) or
unescorted access radioactive materials
equal to or greater than the quantities
listed in Attachment 2 to this Order.
The Licensee shall review and use the
information received from the Federal
Bureau of Investigation (FBI) and ensure
that the provisions contained in this
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 access to SGI or
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
73.59 for access to SGI or 10 CFR 73.61
for unescorted access, has a favorablydecided U.S. Government criminal
history check (e.g. National Agency
Check, Transportation Worker
Identification Credentials in accordance
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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 27 CFR Part 555,
Hazardous Material security threat
assessments for hazardous material
endorsement to commercial driver’s
license in accordance with 49 CFR Part
1572, Customs and Border Protection’s
Free and Secure Trade Program 1)
within the last five (5) years, or has an
active federal security clearance.
Written confirmation from the Agency/
employer which granted the federal
security clearance or reviewed the
criminal history 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 access to SGI or
unescorted access to radioactive
materials associated with the Licensee’s
activities.
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
trustworthy and reliability requirements
of this Order, in making a determination
whether to grant, or continue to allow,
access to SGI or unescorted access to
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 access to SGI
or unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order.
7. The Licensee shall document the
basis for its determination whether to
grant, or continue to allow, access to
SGI or unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order.
Prohibitions
A Licensee shall not base a final
determination to deny an individual
access to radioactive materials solely on
1 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.
PO 00000
Frm 00126
Fmt 4703
Sfmt 4703
66085
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.
Procedures for Processing Fingerprint
Checks
For the purpose of complying with
this Order, Licensees shall, using an
appropriate method listed in 10 CFR
73.4, submit to the NRC’s Division of
Facility and Security, Mail Stop T–
03B46M, one completed, legible
standard fingerprint card (Form FD–258,
ORIMDNRC000Z) or, where practicable,
other fingerprint records for each
individual seeking access to SGI or
unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order, to the Director of the Division of
Facility and Security, marked for the
attention of the Division’s Criminal
History Program. Copies of these forms
may be obtained by writing the Office of
Information Services, U.S. Nuclear
Regulatory Commission, Washington,
DC 20555–0001, by calling 630–829–
9565, or by email to forms.resource@
nrc.gov. Practicable alternative formats
are set forth in 10 CFR 73.4. The
Licensee shall establish procedures to
ensure that the quality of the
fingerprints taken results in minimizing
the rejection rate of fingerprint cards
due to illegible or incomplete cards.
The NRC will review submitted
fingerprint cards for completeness. Any
Form FD–258 fingerprint record
containing omissions or evident errors
will be returned to the Licensee for
corrections. The fee for processing
fingerprint checks includes one resubmission if the initial submission is
returned by the FBI because the
fingerprint impressions cannot be
classified. The one free re-submission
must have the FBI Transaction Control
Number reflected on the re-submission.
If additional submissions are necessary,
they will be treated as initial submittals
and will require a second payment of
the processing fee. Fees for processing
fingerprint checks are due upon
application. Licensees shall submit
payment with the application for
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Federal Register / Vol. 78, No. 213 / Monday, November 4, 2013 / Notices
TKELLEY on DSK3SPTVN1PROD with NOTICES
processing fingerprints by corporate
check, certified check, cashier’s check,
or money order, made payable to ‘‘U.S.
NRC.’’ [For guidance on making
electronic payments, contact the Facility
Security Branch, Division of Facility
and Security, at 301–415–7513].
Combined payment for multiple
applications is acceptable. The
application fee (currently $26) is the
sum of the user fee charged by the FBI
for each fingerprint card or other
fingerprint record submitted by the NRC
on behalf of a Licensee, and an NRC
processing fee, which covers
administrative costs associated with
NRC handling of Licensee fingerprint
submissions. The Commission will
directly notify Licensees who are
subject to this regulation of any fee
changes.
The Commission will forward to the
submitting Licensee all data received
from the FBI as a result of the Licensee’s
application(s) for criminal history
checks, including the FBI fingerprint
record.
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
criminal history records check after the
record is made available for his/her
review. The Licensee may make a final
determination on access to SGI or
unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order 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 access to SGI or
unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order, the Licensee shall provide the
individual its documented basis for
denial. Access to SGI or unescorted
access to radioactive materials equal to
or greater than the quantities used in
Attachment 2 to this Order shall not be
granted to an individual during the
review process.
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
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
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 access to SGI or
unescorted access to radioactive
materials equal to or greater than the
quantities used in Attachment 2 to this
Order. No individual authorized to have
access to the information may redisseminate 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 receives the
individual’s written request to redisseminate 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
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17:07 Nov 01, 2013
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Frm 00127
Fmt 4703
Sfmt 4703
determine compliance with the
regulations and laws.
5. The Licensee shall retain all
fingerprint and criminal history records
received from the FBI, or a copy if the
individual’s file has been transferred,
for three (3) years after termination of
employment or determination of access
to SGI or unescorted access to
radioactive materials equal to or greater
than the quantities used in Attachment
2 to this Order (whether access was
approved or 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. 2013–26376 Filed 11–1–13; 8:45 am]
BILLING CODE 7590–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
30770; 812–14004]
DBX ETF Trust, et al.; Notice of
Application
October 29, 2013.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of an application for an
order under section 6(c) of the
Investment Company Act of 1940
(‘‘Act’’) for an exemption from sections
2(a)(32), 5(a)(1), 22(d) and 22(e) of the
Act and rule 22c–1 under the Act, under
sections 6(c) and 17(b) of the Act for an
exemption from sections 17(a)(1) and
(a)(2) of the Act, and under section
12(d)(1)(J) of the Act for an exemption
from sections 12(d)(1)(A) and (B) of the
Act.
AGENCY:
DBX ETF Trust and db-X
Exchange Traded Funds, Inc.
(collectively, the ‘‘Trusts’’); DBX
Advisors LLC and DBX Strategic
Advisors LLC (each, an ‘‘Adviser,’’ and
collectively, the ‘‘Advisers’’); and ALPS
Distributors, Inc. (the ‘‘Distributor’’).
SUMMARY OF APPLICATION: Applicants
request an order that permits: (a)
Actively-managed series of certain
open-end management investment
companies to issue shares (‘‘Shares’’)
redeemable in large aggregations only
(‘‘Creation Units’’); (b) secondary market
transactions in Shares to occur at
negotiated market prices; (c) certain
series to pay redemption proceeds,
under certain circumstances, more than
seven days from the tender of Shares for
redemption; (d) certain affiliated
persons of the series to deposit
securities into, and receive securities
from, the series in connection with the
APPLICANTS:
E:\FR\FM\04NON1.SGM
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]]>Agencies
[Federal Register Volume 78, Number 213 (Monday, November 4, 2013)]
[Notices]
[Pages 66079-66086]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26376]
-----------------------------------------------------------------------
NUCLEAR REGULATORY COMMISSION
[NRC-2013-0242; EA-13-189]
In the Matter of All Licensees Authorized To Manufacture or
Initially Transfer Items Containing Radioactive Material for Sale or
Distribution and Possess High-Risk Radioactive Material of Concern;
Order Imposing Additional Security Measures (Effective Immediately)
I
The Licensees identified in Attachment 1 \1\ to this Order hold
licenses issued in accordance with the Atomic Energy Act of 1954, as
amended, by the U.S. Nuclear Regulatory Commission (NRC) or an
Agreement State authorizing them to manufacture or initially transfer
items containing radioactive material for sale or distribution. The
Commission's regulations in Sec. 20.1801 of Title 10 of the Code of
Federal Regulations (10 CFR), or equivalent Agreement State regulations
require Licensees to secure, from unauthorized removal or access,
licensed materials that are stored in controlled or unrestricted areas.
The Commission's regulations in Sec. 20.1802 or equivalent Agreement
States 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.
---------------------------------------------------------------------------
\1\ Attachment 1 contains sensitive information and will not be
released to the public.
---------------------------------------------------------------------------
II
On September 11, 2001, terrorists simultaneously attacked targets
in New York, NY, and near Washington, DC, utilizing large commercial
aircraft as weapons. In response to the attacks and intelligence
information subsequently obtained, the Commission issued a
[[Page 66080]]
number of Safeguards and Threat Advisories to its Licensees in order to
strengthen Licensees' capabilities and readiness to respond to a
potential attack on a nuclear facility. The Commission has also
communicated with other Federal, State and local government agencies
and industry representatives to discuss and evaluate the current threat
environment in order to assess the adequacy of security measures at
licensed facilities. In addition, the Commission has been conducting a
review of its safeguards and security programs and requirements.
As a result of its consideration of current safeguards and license
requirements, as well as a review of information provided by the
intelligence community, the Commission has determined that certain
additional security measures are required to be implemented by
Licensees as prudent measures to address the current threat
environment. Therefore, the Commission is imposing the requirements set
forth in Attachment 2 \2\ on certain Manufacturing and Distribution
Licensees identified in Attachment 1 of this Order who currently
possess, or have near term plans to possess, high-risk radioactive
material of concern. These requirements, which supplement existing
regulatory requirements, will provide the Commission with reasonable
assurance that the public health and safety and common defense and
security continue to be adequately protected in the current threat
environment. Attachment 3 of this Order contains the requirements for
fingerprinting and criminal history record checks for individuals when
a licensee's reviewing official is determining access to Safeguards
Information or unescorted access to the radioactive materials. These
requirements will remain in effect until the Commission determines
otherwise.
---------------------------------------------------------------------------
\2\ Attachment 2 contains some requirements that are SAFEGUARDS
INFORMATION, and cannot be released to the public. The remainder of
the requirements contained in Attachment 2 that are not SAFEGUARDS
INFORMATION will be released to the public.
---------------------------------------------------------------------------
The Commission concludes that the security measures must be
embodied in an Order consistent with the established regulatory
framework. Furthermore, the Commission has determined that some of the
security measures contained in Attachment 2 of this Order contain
Safeguards Information and will not be released to the public as per
the NRC's ``Order Imposing Requirements for the Protection of Certain
Safeguards Information'' (EA-12-193 or EA-13-040, as applicable),
regarding the protection of Safeguards Information. The Commission
hereby provides notice that it intends to treat all violations of the
requirements contained in Attachment 2 to the NRC's ``Order Imposing
Requirements for the Protection of Certain Safeguards Information''
(EA-12-193 or EA-13-040, as applicable), applicable to the handling and
unauthorized disclosure of Safeguards Information, as serious breaches
of adequate protection of the public health and safety and the common
defense and security of the United States. Access to Safeguards
Information is limited to those persons who have established a need-to-
know the information, are considered to be trustworthy and reliable,
have been fingerprinted, and have undergone a Federal Bureau of
Investigation (FBI) identification and criminal history records check
in accordance with the NRC's ``Order Imposing Fingerprinting and
Criminal History Records Check Requirements for Access to Safeguards
Information'' (EA-12-194 or EA-13-041, as applicable). A need-to-know
means a determination by a person having responsibility for protecting
Safeguards Information that a proposed recipient's access to Safeguards
Information is necessary in the performance of official, contractual,
or licensee duties of employment. Individuals who have been
fingerprinted and granted access to Safeguards Information by the
reviewing official under the NRC's ``Order Imposing Fingerprinting and
Criminal History Records Check Requirements for Access to Safeguards
Information'' (EA-12-194 or EA-13-041, as applicable) do not need to be
fingerprinted again for purposes of being considered for unescorted
access.
This Order also requires that a reviewing official must consider
the results of the Federal Bureau of Investigations criminal history
records check in conjunction with other applicable requirements to
determine whether an individual may be granted or allowed continued
unescorted access. The reviewing official may be one that has
previously been approved by the NRC in accordance with the ``Order
Imposing Fingerprinting and Criminal History Records Check Requirements
for Access to Safeguards Information'' (EA-12-194 or EA-13-041, as
applicable). Licensees may nominate additional reviewing officials for
making unescorted access determinations in accordance with NRC Orders
EA-12-194 or EA-13-041, as applicable. The nominated reviewing
officials must have access to Safeguards Information or require
unescorted access to the radioactive material as part of their job
duties.
To provide assurance that Licensees are implementing prudent
measures to achieve a consistent level of protection to address the
current threat environment, Manufacturing and Distribution Licensees
identified in Attachment 1 to this Order shall implement the
requirements identified in Attachments 2 and 3 to this Order. In
addition, pursuant to Sec. 2.202, I find that in light of the common
defense and security matters identified above, which warrant the
issuance of this Order, the public health, safety and interest require
that this Order be effective immediately.
III
Accordingly, pursuant to Sections 81, 147, 149, 161b, 161i, 161o,
182, and 186 of the Atomic Energy Act of 1954, as amended, and the
Commission's regulations in Sec. 2.202, 10 CFR Part 30, and 10 CFR
Part 32, it is hereby ordered, effective immediately, that all
licensees identified in attachment 1 to this order shall comply with
the requirements of this order as follows:
A. The Licensee shall, notwithstanding the provisions of any
Commission or Agreement State regulation or license to the contrary,
comply with the requirements described in Attachments 2 and 3 to this
Order. This Order is effective immediately.
B. 1. The Licensee shall, within twenty (20) days of the date of
this Order, notify the Commission, (1) if it is unable to comply with
any of the requirements described in Attachments 2 or 3, (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.
2. If the Licensee considers that implementation of any of the
requirements described in Attachments 2 or 3 to this Order would
adversely impact safe operation of the facility, the Licensee must
notify the Commission, within twenty (20) days of this Order, of the
adverse safety impact, the basis for its determination that the
requirement has an adverse safety impact, and either a proposal for
achieving the same objectives specified in Attachments 2 or 3
requirement in question, or a schedule for modifying the facility to
address the adverse safety condition. If neither
[[Page 66081]]
approach is appropriate, the Licensee must supplement its response to
Condition B.1 of this Order to identify the condition as a requirement
with which it cannot comply, with attendant justifications as required
in Condition B.1.
C. 1. In accordance with the NRC's ``Order Imposing Fingerprinting
and Criminal History Records Check Requirements for Access to
Safeguards Information'' (EA-12-194 or EA-13-041, as applicable) only
the NRC-approved reviewing official shall review results from an FBI
criminal history records check. The licensee may use a reviewing
official previously approved by the NRC as its reviewing official for
determining access to Safeguards Information or the licensee may
nominate another individual specifically for making unescorted access
to radioactive material determinations, using the process described in
EA-12-194 or EA-13-041, as applicable. The reviewing official must have
access to Safeguards Information or require unescorted access to the
radioactive material as part of their job duties. The reviewing
official shall determine whether an individual may have, or continue to
have, unescorted access to radioactive materials that equal or exceed
the quantities in Attachment 2 to this Order. Fingerprinting and the
FBI identification and criminal history records check are not required
for individuals exempted from fingerprinting requirements under 10 CFR
73.61 [72 FR 4945 (February 2, 2007)]. In addition, individuals who
have a favorably decided U.S. Government criminal history records check
within the last five (5) years, or have an active federal security
clearance (provided in each case that the appropriate documentation is
made available to the Licensee's reviewing official), have satisfied
the Atomic Energy Act of 1954, as amended, fingerprinting requirement
and need not be fingerprinted again for purposes of being considered
for unescorted access.
2. No person may have access to Safeguards Information or
unescorted access to radioactive materials if the NRC has determined,
in accordance with its administrative review process based on
fingerprinting and an FBI identification and criminal history records
check, either that the person may not have access to Safeguards
Information or that the person may not have unescorted access to a
utilization facility or radioactive material or other property subject
to regulation by the NRC.
D. Fingerprints shall be submitted and reviewed in accordance with
the procedures described in Attachment 3 to this Order. Individuals who
have been fingerprinted and granted access to Safeguards Information by
the reviewing official under Orders EA-12-194 or EA-13-041, as
applicable, do not need to be fingerprinted again for purposes of being
considered for unescorted access.
E. The Licensee may allow any individual who currently has
unescorted access to radioactive materials, in accordance with this
Order, to continue to have unescorted access without being
fingerprinted, pending a decision by the reviewing official (based on
fingerprinting, an FBI criminal history records check and a trustworthy
and reliability determination) that the individual may continue to have
unescorted access to radioactive materials that equal or exceed the
quantities listed in Attachment 2.
F. 1. The Licensee shall, within twenty (20) days of the date of
this Order, submit to the Commission a schedule for completion of each
requirement described in Attachments 2 and 3.
2. The Licensee shall report to the Commission when they have
achieved full compliance with the requirements described in Attachments
2 and 3.
G. Notwithstanding any provisions of the Commission's or an
Agreement State's regulations to the contrary, all measures implemented
or actions taken in response to this Order shall be maintained until
the Commission determines otherwise.
Licensee responses to Conditions B.1, B.2, F.1, and F.2 above shall
be submitted to the Director, Office of Federal and State Materials and
Environmental Management Programs, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001. In addition, Licensee submittals that
contain specific physical protection or security information considered
to be Safeguards Information shall be put in a separate enclosure or
attachment and, marked as ``SAFEGUARDS INFORMATION--MODIFIED HANDLING''
and mailed (no electronic transmittals i.e., no email or FAX) to the
NRC.
The Director, Office of Federal and State Materials and
Environmental Management Programs, may, in writing, relax or rescind
any of the above conditions upon demonstration by the Licensee of good
cause.
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 (20) days of the date of this Order. In addition,
the Licensee and any other person adversely affected by this Order may
request a hearing of this Order within twenty (20) 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, Office of Federal and
State Materials and Environmental Management Programs, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, 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).
All documents filed in the NRC adjudicatory proceedings, including
a request for hearing, a petition for leave to intervene, any motion or
other document filed in the proceeding prior to the submission of a
request for hearing or petition to intervene, and documents filed by
interested governmental entities participating under 10 CFR 2.315(c),
must be filed in accordance with the NRC's E-Filing rule (72 FR 49139;
August 28, 2007). The E-Filing process requires participants to submit
and serve all adjudicatory documents over the internet, or in some
cases to mail copies on electronic storage media. Participants may not
submit paper copies of their filings unless they seek an exemption in
accordance with the procedures described below.
To comply with the procedural requirements of E-Filing, at least 10
days prior to the filing deadline, the participant should contact the
Office of the Secretary by email at hearing.docket@nrc.gov, or by
telephone at 301-415-1677, to request (1) a digital identification (ID)
certificate, which allows the participant (or its counsel or
representative) to digitally sign documents and access the E-Submittal
server for any proceeding in which it is participating; and (2) advise
the Secretary that the participant will be submitting a request or
petition for hearing (even in instances in which the
[[Page 66082]]
participant, or its counsel or representative, already holds an NRC-
issued digital ID certificate). Based upon this information, the
Secretary will establish an electronic docket for the hearing in this
proceeding if the Secretary has not already established an electronic
docket.
Information about applying for a digital ID certificate is
available on NRC's public Web site at https://www.nrc.gov/site-help/e-submittals/apply-certificates.html. System requirements for accessing
the E-Submittal server are detailed in NRC's ``Guidance for Electronic
Submission,'' which is available on the agency's public Web site at
https://www.nrc.gov/site-help/e-submittals.html. Participants may
attempt to use other software not listed on the Web site, but should
note that the NRC's E-Filing system does not support unlisted software,
and the NRC Meta System Help Desk will not be able to offer assistance
in using unlisted software.
If a participant is electronically submitting a document to the NRC
in accordance with the E-Filing rule, the participant must file the
document using the NRC's online, Web-based submission form. In order to
serve documents through the Electronic Information Exchange System,
users will be required to install a Web browser plug-in from the NRC's
Web site. Further information on the Web-based submission form,
including the installation of the Web browser plug-in, is available on
the NRC's public Web site at https://www.nrc.gov/site-help/e-submittals.html.
Once a participant has obtained a digital ID certificate and a
docket has been created, the participant can then submit a request for
a hearing or petition for leave to intervene. Submissions should be in
Portable Document Format (PDF) in accordance with the NRC guidance
available on the NRC's public Web site at https://www.nrc.gov/site-help/e-submittals.html. A filing is considered complete at the time the
documents are submitted through the NRC's E-Filing system. To be
timely, an electronic filing must be submitted to the E-Filing 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
E-Filing system also distributes an email notice that provides access
to the document to the NRC's 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, applicants and
other participants (or their counsel or representative) must apply for
and receive a digital ID certificate before a hearing request/petition
to intervene is filed so that they can obtain access to the document
via the E-Filing system.
A person filing electronically using the agency's adjudicatory E-
Filing system may seek assistance by contacting the NRC Meta System
Help Desk through the ``Contact Us'' link located on the NRC Web site
at https://www.nrc.gov/site-help/e-submittals.html, by email to
MSHD.Resource@nrc.gov, or by a toll-free call at 1-866-672-7640. The
NRC Meta System Help Desk is available between 8 a.m. and 8 p.m.,
Eastern Time, Monday through Friday, excluding government holidays.
Participants who believe that they have good cause for not
submitting documents electronically must file an exemption request, in
accordance with 10 CFR 2.302(g), with their initial paper filing
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. A presiding officer,
having granted an exemption request from using E-Filing, may require a
participant or party to use E-Filing if the presiding officer
subsequently determines that the reason for granting the exemption from
use of E-Filing no longer exists.
Documents submitted in adjudicatory proceedings will appear in the
NRC's electronic hearing docket which is available to the public at
https://ehd1.nrc.gov/EHD/, unless excluded pursuant to an order of the
Commission, or the 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, unless an NRC
regulation or other law requires submission of such information. 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 submission.
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 (20) 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. An answer or a
request for hearing shall not stay the immediate effectiveness of this
order.
Dated this 29th day of October 2013.
For The Nuclear Regulatory Commission.
Brian E. Holian,
Acting Director, Office of Federal and State Materials and
Environmental Management Programs.
Attachment 1: Service List of Applicable Materials Licenses--Redacted
Attachment 2: Additional Security Measures for Manufacturing and
Distribution Materials Licensees (U)--Revision 2
These Additional Security Measures (ASMs) and new requirements are
established to delineate licensee responsibility in response to the
current threat environment. The following security measures apply to
Radioactive Material Manufacturing and Distribution Licensees who, at
any given time, possess greater than or equal to the
[[Page 66083]]
quantities of concern of radioactive material defined in Table 1
(unless the licensee documents the basis for concluding that
radioactive material possessed cannot be easily aggregated into
quantities in excess of the limits defined in Table 1). As with the
additional security measures previously provided to other licensees who
possess risk significant radioactive sources, these increased security
measures and requirements address licensees who are authorized to
possess high-activity radioactive material which poses a high risk to
human health if not managed safely and securely.
1. Establish a security zone (or zones). A security zone is an
area, determined by the licensee that provides for both isolation of
radioactive material and access control.
a. Only use and store the radioactive material within the
established security zone(s); and
b. The licensee shall demonstrate for each security zone, a means
to deter, detect and delay any attempt of unauthorized access to
licensed material. The security zone is not required to be the same as
the restricted area or controlled area, as defined in 10 CFR part 20 or
equivalent agreement state regulations; and
c. Security zones can be permanent or temporary to meet transitory
or intermittent business activities (such as during periods of
maintenance, source delivery, source replacement, and temporary job
sites.). Different isolation/access control measures may be used for
periods during which the security zone is occupied versus unoccupied.
2. Control access at all times to the security zone and limit
admittance to those individuals who are approved and require access to
perform their duties.
3. Implement a system to monitor, detect, assess and respond to
unauthorized entries into or activities in the security zone.
a. [This paragraph contains SAFEGUARDS INFORMATION and will not be
publicly disclosed]
b. Provide a positive measure to detect unauthorized removal of the
radioactive material from the security zone; and
c. [This paragraph contains SAFEGUARDS INFORMATION and will not be
publicly disclosed]
4. [This paragraph contains SAFEGUARDS INFORMATION and will not be
publicly disclosed]
5. Licensees shall document the basis for concluding that there is
reasonable assurance that individuals granted access to safeguards
information or unescorted access to the security zone are trustworthy
and reliable, and do not constitute an unreasonable risk for malevolent
use of the regulated material. ``Access'' means that an individual
could exercise some physical control over the material or device
containing radioactive material.
a. The trustworthiness and reliability of individuals shall be
determined based on a background investigation. The background
investigation shall address at least the past 3 years and, as a
minimum, include fingerprinting and a Federal Bureau of Investigation
(FBI) criminal history check, verification of work or education
references as appropriate to the length of employment, and confirmation
of employment eligibility.
b. Fingerprints shall be submitted and reviewed in accordance with
the procedures described in Attachment 3 to this Order.
c. A reviewing official that the licensee nominated and has been
approved by the NRC, in accordance with NRC ``Order Imposing
Fingerprinting and Criminal History Records Check Requirements for
Access to Safeguards Information,'' may continue to make
trustworthiness and reliability determinations. The licensee may also
nominate another individual specifically for making unescorted access
determinations using the process identified in the NRC ``Order Imposing
Fingerprinting and Criminal History Records Check Requirements for
Access to Safeguards Information.''
d. Individuals for whom the licensee has not made a determination
of trustworthiness and reliability, based on the appropriate background
investigation above, shall be escorted within the security zone to
prevent unauthorized access or actions to the licensed radioactive
material. The licensee shall also ensure these individuals are clearly
identifiable as needing an escort while in the security zone.
6. Before transfer of radioactive materials that exceed the
quantities in Table 1, Licensees shall:
a. [This paragraph contains SAFEGUARDS INFORMATION and will not be
publicly disclosed]
b. [This paragraph contains SAFEGUARDS INFORMATION and will not be
publicly disclosed]
c. Assure that the material is shipped to an address authorized in
the license and that the address is valid,
d. Verify the address for deliveries to temporary job site, and
e. Document the verification or validation process.
7. For domestic highway and rail shipments of materials in
quantities greater than or equal to the quantities in Table 1, per
conveyance, the licensee shall:
a. Only use carriers who:
(1) Use established package tracking systems,
(2) Implement methods to assure trustworthiness of drivers,
(3) Maintain constant control and/or surveillance during transit,
and
(4) Have the capability for immediate communication to summon
appropriate response or assistance.
The licensee shall verify and document that the carrier employs the
measures listed above.
b. Coordinate departure and arrival times with the recipient.
c. Immediately initiate an investigation with the carrier and
intended recipient if the shipment does not arrive by close of business
on the day of the previously coordinated arrival time. Not later than
one hour after the time when, through the course of the investigation,
it is determined the shipment has become lost or stolen, the licensee
shall notify the appropriate local law enforcement agency, the NRC
Operations Center at 301-816-5100, and the appropriate Agreement State
regulatory agency. If after 24 hours of initiating the investigation,
the radioactive material cannot be located, it shall be presumed lost
and the licensee shall immediately notify the NRC Operations Center
and, for Agreement State licensees, the appropriate Agreement State
regulatory agency.
d. In addition to a and b above, for highway and rail shipments of
material in quantities greater than or equal to 100 times the
quantities in Table 1, per conveyance, the licensee shall implement the
NRC Order for Additional Security Measures on the Transportation of
Radioactive Material Quantities of Concern.
8. For imports and exports of material in quantities greater than
the quantities in Table 1, per conveyance, the licensee shall follow
the requirements in the Final Rule 10 CFR Part 110, July 1, 2005 (70 FR
37985 and 46066), Export and Import of Radioactive Materials: Security
Policies.
9. The licensee shall protect pre-planning, coordinating, and
reporting information required by ASM 7 related to shipments of
radioactive material and the radioisotopes identified in Table 1 as
sensitive information (proprietary business financial or confidential).
Licensees shall restrict access to this information to those licensee
and contractor personnel with a need to know. Licensees shall require
all parties receiving this information to protect it similarly.
Information may be
[[Page 66084]]
transmitted either in writing or electronically and shall be marked as
``Security-Related Information--Withhold Under 10 CFR 2.390.''
10. The licensee shall maintain all documentation required by these
ASMs for a period of not less than three (3) years after the document
is superceded or no longer effective.
Table A: Radionuclides of Concern
----------------------------------------------------------------------------------------------------------------
Quantity of concern \1\ Quantity of concern \2\
Radionuclide (TBq) (Ci)
----------------------------------------------------------------------------------------------------------------
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 materials listed above \3\........ See Footnote Below \4\ .......................
----------------------------------------------------------------------------------------------------------------
\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. . . . >=1
Guidance for Aggregation of Sources
The 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 https://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 https://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
[[Page 66085]]
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
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: [(amount of radionuclide
A) / (quantity of concern of radionuclide A)] + [(amount of
radionuclide B) / (quantity of concern of radionuclide B)] +
etc.....= 1
Attachment 3: Requirements for Fingerprinting and Criminal History
Checks of Individuals When Licensee's Reviewing Official is Determining
Access to Safeguards Information or Unescorted Access to Radioactive
Materials
General Requirements
Licensees shall comply with the following requirements of this
attachment.
1. Each Licensee subject to the provisions of this attachment shall
fingerprint each individual who is seeking or permitted access to
Safeguards Information (SGI) or unescorted access radioactive materials
equal to or greater than the quantities listed in Attachment 2 to this
Order. The Licensee shall review and use the information received from
the Federal Bureau of Investigation (FBI) and ensure that the
provisions contained in this 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 access to SGI or 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 73.59 for access to SGI or 10 CFR 73.61 for
unescorted access, has a favorably-decided U.S. Government criminal
history 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 27 CFR Part 555, Hazardous
Material security threat assessments for hazardous material endorsement
to commercial driver's license in accordance with 49 CFR Part 1572,
Customs and Border Protection's Free and Secure Trade Program \1\)
within the last five (5) years, or has an active federal security
clearance. Written confirmation from the Agency/employer which granted
the federal security clearance or reviewed the criminal history 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 access to SGI or unescorted access to radioactive materials
associated with the Licensee's activities.
---------------------------------------------------------------------------
\1\ 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.
---------------------------------------------------------------------------
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 trustworthy and reliability
requirements of this Order, in making a determination whether to grant,
or continue to allow, access to SGI or unescorted access to 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 access to SGI or unescorted access to
radioactive materials equal to or greater than the quantities used in
Attachment 2 to this Order.
7. The Licensee shall document the basis for its determination
whether to grant, or continue to allow, access to SGI or unescorted
access to radioactive materials equal to or greater than the quantities
used in Attachment 2 to this Order.
Prohibitions
A Licensee shall not base a final determination to deny an
individual access to radioactive materials 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.
Procedures for Processing Fingerprint Checks
For the purpose of complying with this Order, Licensees shall,
using an appropriate method listed in 10 CFR 73.4, submit to the NRC's
Division of Facility and Security, Mail Stop T-03B46M, one completed,
legible standard fingerprint card (Form FD-258, ORIMDNRC000Z) or, where
practicable, other fingerprint records for each individual seeking
access to SGI or unescorted access to radioactive materials equal to or
greater than the quantities used in Attachment 2 to this Order, to the
Director of the Division of Facility and Security, marked for the
attention of the Division's Criminal History Program. Copies of these
forms may be obtained by writing the Office of Information Services,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by
calling 630-829-9565, or by email to forms.resource@nrc.gov.
Practicable alternative formats are set forth in 10 CFR 73.4. The
Licensee shall establish procedures to ensure that the quality of the
fingerprints taken results in minimizing the rejection rate of
fingerprint cards due to illegible or incomplete cards.
The NRC will review submitted fingerprint cards for completeness.
Any Form FD-258 fingerprint record containing omissions or evident
errors will be returned to the Licensee for corrections. The fee for
processing fingerprint checks includes one re-submission if the initial
submission is returned by the FBI because the fingerprint impressions
cannot be classified. The one free re-submission must have the FBI
Transaction Control Number reflected on the re-submission. If
additional submissions are necessary, they will be treated as initial
submittals and will require a second payment of the processing fee.
Fees for processing fingerprint checks are due upon application.
Licensees shall submit payment with the application for
[[Page 66086]]
processing fingerprints by corporate check, certified check, cashier's
check, or money order, made payable to ``U.S. NRC.'' [For guidance on
making electronic payments, contact the Facility Security Branch,
Division of Facility and Security, at 301-415-7513]. Combined payment
for multiple applications is acceptable. The application fee (currently
$26) is the sum of the user fee charged by the FBI for each fingerprint
card or other fingerprint record submitted by the NRC on behalf of a
Licensee, and an NRC processing fee, which covers administrative costs
associated with NRC handling of Licensee fingerprint submissions. The
Commission will directly notify Licensees who are subject to this
regulation of any fee changes.
The Commission will forward to the submitting Licensee all data
received from the FBI as a result of the Licensee's application(s) for
criminal history checks, including the FBI fingerprint record.
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 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 criminal history
records check after the record is made available for his/her review.
The Licensee may make a final determination on access to SGI or
unescorted access to radioactive materials equal to or greater than the
quantities used in Attachment 2 to this Order 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 access
to SGI or unescorted access to radioactive materials equal to or
greater than the quantities used in Attachment 2 to this Order, the
Licensee shall provide the individual its documented basis for denial.
Access to SGI or unescorted access to radioactive materials equal to or
greater than the quantities used in Attachment 2 to this Order shall
not be granted to an individual during the review process.
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
access to SGI or unescorted access to radioactive materials equal to or
greater than the quantities used in Attachment 2 to this Order. 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 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 fingerprint and criminal history
records received from the FBI, or a copy if the individual's file has
been transferred, for three (3) years after termination of employment
or determination of access to SGI or unescorted access to radioactive
materials equal to or greater than the quantities used in Attachment 2
to this Order (whether access was approved or 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. 2013-26376 Filed 11-1-13; 8:45 am]
BILLING CODE 7590-01-P
