10 CFR Part 37 

Physical Protection of Category 1 and Category 2 Quantities of Radioactive Material 

Implementation Plan 

Purpose 

This implementation plan outlines the actions necessary for the successful implementation of 

the 10 CFR Part 37 rulemaking. This rule captures the security measures1

 required by Nuclear 

Regulatory Commission (NRC) security orders issued to licensees that possess radioactive 

materials in quantities of concern (greater than International Atomic Energy Agency (IAEA) 

category 2). The draft rule also incorporates lessons learned during the implementation of 

those orders. The implementation plan is a living document that may be updated often before 

and during the implementation of the rule. 

Background 

The NRC issued a series of orders to materials licensees following the terrorist attacks that 

occurred in the United States on September 11, 2001. The orders required licensees to 

implement compensatory measures, additional security measures or increased controls to 

enhance the protection of radioactive materials in quantities of concern. The orders were 

issued using a prioritized, risk informed approach. If the Commission approves the 10 CFR 

Part 37 rule, the security orders for the following groups of licensees will be rescinded: 

• Panoramic Irradiators 

• Manufacturers and Distributors (M&Ds) 

• Licensees Transporting Radioactive Materials in Quantities of Concern (RAMQC) 

• Recipients of Increased Controls (IC) Orders 

• Fingerprinting (separate orders issued for each group above) 

The orders are summarized in the following paragraphs. 

Panoramic Irradiators and Manufacturers & Distributors

The NRC issued the first series of orders to certain panoramic and underwater irradiator 

licensees that possessed more than 370 TBq (10,000 Ci) of radioactive material (EA–02–249; 

June 6, 2003) (68 FR 35458; June 13, 2003). The next series of orders were issued to certain 

M&D licensees (EA–03–225; January 12, 2004) (69 FR 5375; February 4, 2004). These orders 

contain safeguards information (SGI) and require the implementation of security measures and 

the protection of the licensee’s physical protection information as Safeguards Information—

Modified Handling (SGI–M). These orders were issued to both NRC and Agreement State 

licensees under the NRC’s authority to protect the common defense and security. 

RAMQC Orders

 

1

 The orders used a variety of terms (compensatory measures, additional security measures or increased controls) for 

the security requirements being imposed on the licensees. This implementation plan uses the terms “security 

measures” and “security requirements” interchangeably. 
 Page 2 of 81 

In 2005, the NRC issued orders enhancing security measures for the transportation of category 

1 and category 2 quantities of radioactive material. The first set of transportation security orders 

were issued to certain licensees that might be expected to transport radioactive materials in 

quantities of concern (category 1 quantities) (EA–05–006; July 19, 2005) (70 FR 44407; August 

2, 2005). The orders require the implementation of additional security measures (ASMs) and 

the protection of the licensee’s transportation security planning as SGI–M. The original orders 

are not publicly available because they contain detailed security measures that are designated 

as SGI–M. A redacted version of the order is publicly available (73 FR 51016; August 29, 

2008). These orders were issued to both the NRC and Agreement State licensees under the 

NRC’s authority to protect the common defense and security. 

Increased Controls Orders

Subsequently, the NRC issued IC Orders (EA–05–090; November 14, 2005) (70 FR 72128; 

December 1, 2005) to other licensees authorized to possess certain risk-significant quantities of 

radioactive material (category 1 and category 2 quantities). These orders were issued under 

the NRC’s authority to protect public health and safety, and require licensees to implement 

enhanced security measures known as Increased Controls. The IC Orders also included 

security measures to safeguard materials shipments less than category 1, but greater than or 

equal to category 2. The IC Orders do not contain safeguards information (SGI) or SGI–M and 

are available on the NRC’s public Web site at http://www.nrc.gov/security/byproduct/orders.html. 

To effect nationwide implementation of the IC Orders, each Agreement State issued legally 

binding requirements (LBR) to establish enhanced security measures, essentially identical to 

the IC Orders, for licensees under that State’s regulatory jurisdiction. 

Fingerprinting Orders

In 2005, Congress enacted the Energy Policy Act of 2005 (EPAct). The EPAct amended 

Section 149 of the Atomic Energy Act (AEA) to require fingerprinting of any individual who is 

permitted unescorted access to radioactive material or other property subject to regulation by 

the Commission that the Commission determines to be of such significance to the public health 

and safety or the common defense and security as to warrant fingerprinting and a Federal 

Bureau of Investigation (FBI) criminal history records check. With this new authority, the 

Commission determined that individuals who have access to category 1 and category 2 

quantities of radioactive material warrant fingerprinting and FBI criminal history records checks. 

On October 17, 2006, the NRC issued orders to panoramic and underwater irradiator licensees 

(EA–06– 248) (71 FR 63043; October 27, 2006), M&D licensees (EA–06–250) (71 FR 63046; 

October 27, 2006), and licensees making shipments of category 1 quantities of radioactive 

material (EA–06–249) (71 FR 62302; October 24, 2006) to require fingerprinting and FBI 

criminal history records checks for unescorted access to risk-significant quantities of radioactive 

material at their facilities. In issuing these orders, NRC noted that a malevolent act by an 

individual with unescorted access to these materials could result in significant adverse impacts 

to the public health and safety or the common defense and security and, thus, necessitated 

expedited implementation of fingerprinting requirements. The orders were issued to both NRC 

and Agreement State licensees under the NRC’s authority to protect the common defense and 

security. 

On December 5, 2007, the NRC issued orders to all other NRC licensees that possessed 

category 1 or category 2 quantities of radioactive material (EA–07–305) (72 FR 70901; 

December 13, 2007) to require fingerprinting and FBI criminal history records checks for 
 Page 3 of 81 

unescorted access to category 1 or category 2 quantities of radioactive material. These orders 

were issued under the NRC’s authority to protect the public health and safety and are available 

on the NRC public Web site at http://www.nrc.gov/security/byproduct/ orders.html. To effect 

nationwide implementation, each Agreement State issued legally binding requirements to 

licensees under their regulatory jurisdiction. 

Non-M&D Service Providers

On December 16, 2009, the NRC issued fingerprinting orders to service provider licensees that 

are not manufacturers or distributors and that request unescorted access to certain radioactive 

material (EA-09-293). These orders are issued to NRC and Agreement State service provider 

licensees who need unescorted access to radioactive material in quantities of concern at a 

customer’s facility and submit a written request to the NRC for the orders. These orders are 

issued to both NRC and Agreement State licensees under the NRC’s authority to protect the 

common defense and security. 

Cumulative Effect of Regulation 

For NRC licensees, the final rule is effective 1 year after publication in the Federal Register. 

This should provide sufficient time for licensees to fully implement the provisions. There are no 

other rules or orders that would be implemented in the year period that impacts the majority of 

the licensees that will be required to implement the rule. The M&D licensees may also be 

implementing, “Requirements for Distribution of Byproduct Material.” The final rule was 

provided to the Commission in SECY-11-0129. The rule is expected to reduce the burden on 

licensees, so it should not result in cumulative effect issues in implementing Part 37. Some 

reactor licensees and fuel cycle licensees may be impacted by Part 37. However, these 

licensees have the option of protecting the material under their Part 73 approved security plan 

and would not need to implement Part 37. With the issuance of the final rule, each Agreement 

State will be expected to promulgate legally binding requirements within three years of the 

published date of the rule. 

Implementation Plan Summary 

This implementation plan outlines the actions necessary for the successful implementation of 

the 10 CFR Part 37 rule. The plan is divided into individual topic areas. Each topic area 

includes specific tasks essential to completion of that topic. The topic areas are discussed 

briefly in the paragraphs below. The Action Plan tables list the tasks associated with each topic. 

Attachment 1 is a comparison of the 10 CFR Part 37 requirements versus the security orders. 

1.0 Working Group Activities

The NRC staff will form an implementation working group in accordance with Management 

Directive 5.3. The working group will resolve licensee questions and issues that emerge during 

the implementation period, track development of inspection guidance and training programs, 

and update implementing guidance as needed. The working group will receive the routine 

status of Agreement State regulation reviews and promulgation and coordinate NRC and State 

inspection activities, and rescission of security orders. Written communications may include 

letters, regulatory issue summaries and other generic communications and license 

modifications. Communication with the Agreement States, the NRC Office of the General 
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Counsel, the NRC staff, and others is necessary to provide information to stakeholders 

regarding the status of implementation milestones, training, updated guidance and best 

practices and to resolve questions or problems that will arise during the implementation period. 

2.0 Agreement State Regulations

The majority of licensees affected by the rule are Agreement State licensees. Under the “Policy 

Statement on Adequacy and Compatibility of Agreement State Programs” approved by the 

Commission on June 30, 1997, and published in the Federal Register (62 FR 46517; 

September 3, 1997), this rule is a matter of compatibility and health and safety between the 

NRC and the Agreement States, which will ensure consistency between the Agreement States 

and the NRC requirements. With the issuance of the final rule, each Agreement State will be 

expected to promulgate legally binding requirements within 3 years of the published date of the 

rule. States generally fulfill that responsibility through promulgation of regulations. NRC uses 

the Integrated Material Performance Evaluation Program (IMPEP), to evaluate the Agreement 

States. In support of the IMPEP evaluations, Agreement States are requested to submit 

proposed and final amendments to their regulations or other proposed generic legally binding 

requirements for NRC staff review. NRC will review the Part 37 requirements under the existing 

review program for regulations and legally binding requirements that are designated as matters 

of compatibility and health and safety. 

The NRC orders will remain in effect for the Agreement State licensees until compatible 

regulations or legally binding requirements are promulgated and implemented. The NRC staff 

will conduct the routine review of the state regulations for compatibility and health and safety, 

and will maintain awareness of the effective dates and implementation periods associated with 

the state regulations through the oversight of the Agreement State programs. In some cases, 

Agreement State regulations may not fully implement some of the Part 37 requirements and 

NRC may consider leaving certain provisions of the security orders in place, rather than fully 

rescinding the orders if the Agreement State is unable to address identified issues or 

deficiencies through other legally binding requirements. 

3.0 Rescission of Security Orders

To ensure continual protection of radioactive material, the security requirements of the orders 

must remain in effect until the final rule is issued and the specified implementation period is 

complete. For NRC licensees the rule will be immediately effective, and Office of Federal and 

State Materials and Environmental Programs (FSME) will send rescission letters to NRC 

licensees to coincide with the end of the implementation period specified in the regulation. 

FSME will coordinate with the Office of Nuclear Reactor Regulation and the Office of Nuclear 

Material Safety and Safeguards so they may rescind the orders affecting the licensees under 

their purview. 

For Agreement State licensees, the orders will be rescinded once state regulations or legally 

binding requirements are established that meet the compatible and health and safety 

categories, and the implementation periods specified are complete; a process that may take 

several years. FSME will send rescission letters to Agreement State licensees that received 

orders under NRC common defense and security authority; specifically panoramic irradiators, 

M&Ds, service providers and to licensees transporting RAMQC. The Implementation Working 

Group will track the implementation process, including rescission or partial rescission of orders 
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using existing database tracking tools. Status reports on the review of proposed and final 

regulations or legally binding requirements implementing Part 37 will be provided to the Working 

Group to assist in NRC implementation. 

The IC Orders were issued under the NRC’s authority to protect public health and safety and 

the Agreement States issued legally binding requirements to establish enhanced security 

measures, essentially identical to the IC Orders, for licensees under that State’s regulatory 

jurisdiction. The Agreement States are, therefore, expected to have legally binding 

requirements in place to address compatibility and health and safety designations of Part 37 

and will need to revise or rescind the legally binding requirements, or revise existing regulations 

that they imposed on their licensees during implementation of the Increased Controls. 

Table 1 describes the orders to be rescinded and estimates the number of licensees affected, 

based on information from FSME’s order tracking database. 

Table 1- Number of NRC and Agreement State Licensees Under Security Orders 

Order NRC 

Licensees

Agreement State 

Licensees

Panoramic Irradiators 9 45

Panoramic Irradiators (fingerprinting) 9 45

Manufacturers and Distributors 8 38

Manufacturers and Distributors (fingerprinting) 8 38

RAMQC 12 18

RAMQC (fingerprinting) 12 23

Increased Controls 727 ~1,800

Increased Controls (fingerprinting) 821 ~1,800

Protection of SGI 27 85

Increased Controls imposed through license conditions 53 Not tracked by 

NRC

Non-M&D Service Providers 3 5

Table 2 lists the orders specifically and discusses the rescission strategy for each type of order. 

Table 2 - NRC Orders to be Rescinded 

Regulated 

Activity

Post 9/11 

Security Orders Description Order Rescission

Irradiators

EA-02-249 

6/6/2003

Compensatory Measures for Panoramic 

and Underwater Irradiators >=10,000 Ci

For NRC licensees, orders 

will be rescinded after the 

implementation period 

defined in the rule. 

For Agreement State 

licensees, rescinded on a 

variable schedule in 

coordination with 

implementation of 

compatible state 

regulations.

EA-06-155 

8/21/2006 Fingerprinting Requirements for Access 

to SGI

EA-06-248 

10/27/2006

Fingerprinting for Access to Material 

(Irradiator Order Recipients)
 Page 6 of 81 

Regulated 

Activity

Post 9/11 

Security Orders Description Order Rescission

M&Ds

EA-03-225 

1/12/2004

Additional Security Measures to M&D 

Licensees

For NRC licensees, orders 

will be rescinded after the 

implementation period 

defined in the rule. 

For Agreement State 

licensees, rescinded on a 

variable schedule in 

coordination with 

implementation of 

compatible state 

regulations

EA-06-155

8/21/2006

EA-06-250

10/27/2006

Fingerprinting Requirements for Access 

to SGI 

Fingerprinting for access to materials 

(M&D Order recipients)

Other Sources of 

Concern

EA-05-090

11/14/2005

Order Imposing Increased Controls for 

Certain Radioactive Materials Licensees

For NRC licensees, orders 

will be rescinded after the 

implementation period 

defined in the rule. 

For Agreement State 

licensees, rescinded on a 

variable schedule in 

coordination with 

implementation of 

compatible state 

regulations

EA-07-305

12/5/2007

Fingerprinting and Criminal History 

Records Check Requirements for 

Unescorted Access to Certain Radioactive 

Material

EA-09-293

12/16/2009 &

EA-10-058

Trustworthiness and Reliability

Requirements for Unescorted Access to 

Certain Radioactive

Material (Non M&D Service Providers)

RAMQC 

Transportation

(IAEA Category 1 

and 2 Byproduct 

Material and ≤ 100 

grams SNF)

“LQRam 

Transportation”

RAMQC 

(Continued)

EA-05-006 &

EA-05-0072

7/19/05;

Certain Licensees Authorized To Possess 

and Transfer RAMQC; Order Imposing 

Additional Security Measures

For NRC licensees, orders 

will be rescinded after the 

implementation period 

defined in the rule. 

For Agreement State 

licensees, rescinded on a 

variable schedule in 

coordination with 

implementation of 

compatible state 

regulations.

EA-07-3053

12/7/07

Fingerprint/Criminal History Checks for 

Unescorted Access

EA-06-2494

10/17/06

Fingerprint/Criminal History Checks for 

Unescorted Access

EA-07-0035

5/22/07 ASMs, including Fingerprint/Criminal 

History Checks for Unescorted Access

Decommissioning 

Reactors EA-09-204

11/23/2009

Order Imposing Increased Controls for 

Power Reactor Licensees Undergoing 

Decommissioning NRC licensees, orders will 

be rescinded after the 

implementation period 

defined in the rule. EA-09-205

11/23/2009

Fingerprinting and Criminal History

Records Check Requirements for 

Unescorted

Access to Certain Radioactive Material

 

2

 ASMs issued to licensees possessing ≥ IAEA Cat 1 and/or ≤ 100 grams SNF. Identical orders 

subsequently sent to additional licensees 2 more times in 2005 and 2006. 

3 Fingerprint/Criminal History Checks for Unescorted Access, for those previously issued ICs. Identical 

orders subsequently sent to additional licensees 2 more times in 2007 and 2009.

4 Fingerprint/Criminal History Checks for Unescorted Access, for those previously issued ASMs. 

5 ASMs, including Fingerprint/Criminal History Checks for Unescorted Access. Identical orders 

subsequently sent to additional licensees 2 more times in 2008.
 Page 7 of 81 

5.0 Guidance and Procedures

Rule implementing guidance will be issued to coincide with the release of the final rule. A 

question and answer format similar to the guidance for the orders will be used for the 

implementing guidance. The Implementation Working Group will address new questions or 

concerns as they are raised during the implementation period, and update the implementing 

guidance as required. New or updated inspection procedures and related guidance documents 

will be developed to replace the inspection procedures for irradiators and M&Ds and the 

temporary instructions currently in use for inspecting the IC and RAMQC Orders. The revised 

inspection procedures are important inputs to the development of updated training programs. 

6.0 Training

The NRC provides training to NRC and Agreement State inspectors for the IC Orders, including 

fingerprinting, which were issued under NRC’s authority to protect public health and safety. The 

scope of the Part 37 Rule includes some new or changed requirements for recipients of the IC 

Orders as well as incorporating security requirements for large panoramic irradiators, 

manufacturers and distributors and licensees that transport RAMQC. These changes are 

discussed in detail in the enclosed regulatory crosswalk. The orders for irradiators, M&Ds and 

RAMQC were issued under NRC’s common defense and security authority and contained 

safeguards information. Except for a few states that performed inspections under 274.(i) 

agreements, these requirements have been inspected by NRC inspectors. Therefore, the NRC 

must modify inspector training programs, and both NRC and Agreement State inspectors will 

require supplemental training or retraining to successfully perform the inspections of Part 37 

requirements. FSME will coordinate with HR to develop the new or revised training programs 

and materials. 

7.0 Inspection Activities

After the rule becomes effective for NRC licensees, NRC inspectors will begin to inspect NRC 

licensees under the Part 37 regulations. Some Agreement States will not yet have their 

regulations or legally binding requirements in place. In these cases the security orders will still 

be in effect; and the inspections for Irradiators, M&Ds and RAMQC will be performed by NRC 

inspectors, or by State inspectors through 274 (i) agreements. The Agreement States will 

continue to perform IC inspections against their legally binding requirements. This activity will 

be tracked by the Implementation Working Group. When Agreement States regulations are 

effective and Agreement State licensees are implementing the Agreement State regulations, the 

NRC will rescind the security orders and cease performing the inspections in those Agreement 

States.
 Page 8 of 81 

Action Plan

The tables on the following pages list the tasks required to execute the Implementation Plan. 

The initiation and timing of specific tasks depends on a variety of factors, such as the 

publication date of the final rule and development of Agreement State regulations which are not 

known at this time. The plan is considered a living document which may be updated frequently 

during the implementation period through the working group activities. 

CONTACT: Adam Gaudreau, FSME/DMSSA 

 301-415-7543 

adam.gaudreau@nrc.gov 
 Page 9 of 81 

Action Plan 

Task Description Start Due Status Lead 

1.0 Working Group Activities 

1.1 Form Implementation Working Group Jan 2013 SMPB Include AS

Regions a

1.2 Working Group Meetings TBD SMPB Frequency 1.3 

Develop Notification to Licensees: reminder effective date of final rule. 

Effective date - 45 days 

Effective Date - 14 days SMPB Mailing or 

licensees 

1.4 Develop FSME letter re: issuance of final rule Issuance of final rule 

Within 2 weeks of the publication of the rule. 

ASPB 

Routine Fassigning listing the Reviewer Regulatio

1.5 

Develop mailbox resource for licensee questions/concerns 

Issuance of final rule SMPB 

Feedback implemenissues. 

1.6 

Existing regular conference call with Agreement States 

Monthly ASPB 

Exchange and State milestone

2.0 State Regulations 

2.1 Agreement State Regulations Review 

As the States submit regulations for review 

TBD ASPB OGC on c

2.2 Provide Status Report on State regulations ASPB 

When Agrregulationcompatibisafety catPart 37, thestablisheorders. 
 Page 10 of 81 

Task Description Start Due Status Lead 

2.3 State LRB In Place Agreement States Drives the 

orders. 

2.4 

Develop plans to address State not having requirements in place 

 SMPB/ASPB 

Dependinimplemenorders mathan comp

3.0 Rescind Security Orders 

3.1 Develop rescission letter templates Final rule issuance +45days SMPB NSIR and 

other offic

3.2 Issue rescission letters to NRC licensees Effective date - 30 days To coincide with effective date of final rule SMPB Using tem

already beOGC concexpedite rof individu

3.3 

Develop and issue rescission letters to Agreement State licensees 

Effective date - 30 days 

To coincide with effective dates of Agreement State regulations 

SMPB/ASPB/Regional Agreement State Officers 

Copy of leStates for sent to licThis activtracking a

4.0 License Modifications 

4.1 

Modify licenses for NRC licensees whose security requirements were imposed by license conditions 

Effective date - 180 days 

To coincide with effective date of final rule 

Region I Region III Region IV 

Modify liceto provisiosecurity olicensees 

4.2 

Develop letter to communicate license changes to licensees 

Effective date - 60 days 

To coincide with effective date of final rule 

 SMPB 
 Page 11 of 81 

Task Description Start Due Status Lead 

4.3 

Agreement States modify licenses for their licensees whose requirements were imposed by license conditions. 

Approval of State Regulations 

To coincide with effective dates of compatible State regulations 

Agreement States 

Reviewed the IMPEP 

5.0 Implementing Guidance and Inspection Procedures

5.1 

Draft revised Inspection Procedures (IP) for Irradiators and M&D. New IP for Increased Controls. Includes updates to Inspection Manual Chapter 2800 

Issuance of final rule 

Final rule +120 days SMPB/NSIR 

CommentOffices, OAgreemen

5.2 

Transmit draft procedures to Agreement States. (RCPD Letter) 

With draft procedures for comment 

 SMPB/ASPB 

5.3 Final IP (comment resolution) 

After comment period for draft procedures 

+30 days SMPB 

Resolving Regional and AgreeInformatiotraining de

5.4 Implementing Guidance updates TBD Implementation Working Group 

Updated Qneeded in from licendeveloped implemen

6.0 Training 

6.1 

Conduct gap analysis of existing training programs compared to 

Issuance of approved final rule 

Start +30 days HRTD With supp

and Regio
 Page 12 of 81 

Task Description Start Due Status Lead 

new requirements 

6.2 

Develop revised training plans, curriculum and course materials 

Completion of step 5.1 TBD HRTD 

With suppand RegioAlso deperevised instep 6. 

6.3 

Approval of revised training plans, curriculum and course materials 

Completion of step 5.2 TBD HRTD/SMPB 

6.4 Train NRC inspectors TBD HRTD/SMPB 6.5 Train Agreement State inspectors HRTD Schedule 

depending 

7.0 Inspection Activities 

7.1 NRC Licensee Part 37 Inspections NRC Effective Date TBD Regions According 

interval 

7.2 Agreement State Licensee Inspections NRC Effective Date Agreement State LBR Effective Dates Regions Agreement States 

NRC inspand securM&D, RAMState inspagreemenAgreemenincreased 

7.3 Inspection Activity Tracking NRC Effective Date Agreement State LBR Effective Dates Implementation Working Group As State r

effective – cease NRStates. 
 Page 13 of 81 

Part 37 Rule/Order Comparison 

IC - from Increased Control Order FP - from Finger Print Orders RQ - from RAMQC Order MD - from Manufacturer and Distributers Order PU - from Panoramic and Underwater Irradiators Order 

Rule Provision Order provision

Subpart A 

– General Provisions 

§ 37.1 Purpose. This part has been established to provide the requirements for the physical protection program for any licensee that possesses an aggregated category 1 or category 2 quantity of radioactive material listed in Appendix A to this part. These requirements provide reasonable assurance of the security of category 1 or category 2 quantities of radioactive material by protecting these materials from theft or diversion. Specific requirements for access to material, use of material, transfer of material, and transport of material are included. No provision of this part authorizes possession of licensed material. 

IC Intro - The purpose of the increased contrsources is to enhance control of radioactive greater than or equal to values described in of unauthorized use of radioactive materials, aid prevention, and prompt detection, assessmitigate potentially high consequences that wpublic health and safety. These increased csources are established to delineate licensee control of licensed material and secure it from access. RQ A. Intro - These Additional Security Meaestablished to delineate licensee responsibilcurrent threat environment. The following seNuclear Regulatory Commission (NRC) and licensees, who ship Radioactive Material Qu(RAMQC) as defined in Section A .1. Shipmfall within the NRC=s jurisdiction under the At

as amended, are not subject to the provisionMD Intro - These Additional Security Measurrequirements are established to delineate licresponse to the current threat environment. measures apply to Radioactive Material Man
 Page 14 of 81 

Licensees who, at any given time, possess gquantities of concern of radioactive material the licensee documents the basis for concludmaterial possessed cannot be easily aggregexcess of the limits defined in Table 1). As wmeasures previously provided to other licenssignificant radioactive sources, these increasrequirements address licensees who are autactivity radioactive material which poses a hnot managed safely and securely. PU Intro These compensatory measures (CMs) are elicensee responsibility in response to the cur

the aftermath of the terrorist attacks of Septefollowing security measures apply to Licensefuture, possess greater than 370 TeraBecqubyproduct material in the form of sealed souirradiators that have dry or wet storage of the underwater irradiators in which both the sourirradiated are underwater. Difference: No substantive difference betw

§ 37.3 Scope. (a) Subparts B and C ... material. (b) Subpart D applies to ... chapter, who: (1) Transports ... material; or (2) Imports or exports ... of the transport. 

IC Intro - The following increased controls apany given time, possess radioactive sources the quantities of concern of radioactive mateRQ A 1. - Licensees who are subject to this requirements listed in Section B below are in radioactive materials that meet the following Difference: No substantive difference betw

§ 37.5 Definitions. Table footnote - Radioactive materials are to 

or collocated if breaching a common physica
 Page 15 of 81 

As used in this part: Aggregated means accessible by the breach of a single physical barrier that would allow access to radioactive material in any form, including any devices that contain the radioactive material, when the total activity equals or exceeds a category 2 quantity of radioactive material....Safe haven means a readily recognizable and readily accessible site at which security is present or from which, in the event of an emergency, the transport crew can notify and wait for the local law enforcement authorities. ... 

locked door at the entrance to a storage roothe radioactive material or devices containing RQ Footnote - In general, a safe haven is a readily accessible site at which security is prevent of an emergency, the transport crew clocal law enforcement authorities (LLEA). Thused by the NRC to determine the safe haveshould use these criteria in identifying safe hsubject to this Order:  - Close proximity to the route, i.e., readily vehicle.  - Security from local, State, or Federal asaccessible for timely response.  - Site is well lit, has adequate parking, an

emergency repair or wait for LLEA respobasis. 

 - Have additional telephone facilities shosystem of the transport vehicle not function p - Possible safe haven sites include: MilitFederal sites having significant security asseterminals; State weigh stations; truck stops wLLEA sites, including State police barracks. The rest of the definitions are not specifically Difference: No substantive difference betw

§ 37.7 Communications. Not Applicable (NA) 
 Page 16 of 81 

Except ... as follows: (a) By mail ... DC 20555–0001; (b) By hand ... Maryland; (c) Where practicable... information. § 37.9 Interpretations. Except ... Commission. 

NA 

§ 37.11 Specific exemptions. (a) The Commission ... public interest. (b) Any licensee’s NRC-licensed activities are exempt from the requirements of subparts B and C of this part to the extent that its activities are included in a security plan required by part 73 of this chapter. (c) A licensee that possesses radioactive waste that contains category 1 or category 2 quantities of radioactive material is exempt from the requirements of subparts B, C, and D of this part. Except that any radioactive waste that contains discrete sources, ionexchange resins, or activated material that weighs less than 2,000 kg (4,409 lbs) is not exempt from the requirements of this part. The licensee shall implement the following requirements to secure the radioactive waste: (1) Use continuous physical barriers that allow access to the radioactive waste only through established access control points; (2) Use a locked door or gate with monitored alarm at the access control point; (3) Assess and respond to each actual or attempted unauthorized access to determine whether an actual or attempted theft, sabotage, or diversion occurred; and (4) Immediately notify the LLEA and request an armed response from the LLEA upon determination that there was an actual or attempted theft, sabotage, or diversion of the radioactive waste that 

NA 
 Page 17 of 81 

contains category 1 or category 2 quantities of radioactive material. § 37.13 Information collection requirements: OMB approval.(a) The Nuclear ... control number 3150-xxxx. (b) The approved ... 37.81. 

NA 

Subpart B 

– Background Investigations and Access Authorization Program

§ 37.21 Personnel access authorization requirements for category 1 or category 2 quantities of radioactive material. (a) General. 

(1) Each licensee that possesses an aggregated quantity of radioactive material at or above the category 2 threshold shall establish, implement, and maintain its access authorization program in accordance with the requirements of this subpart. (2) An applicant for a new license and each licensee that would become newly subject to the requirements of this subpart upon application for modification of its license shall implement the requirements of this subpart, as appropriate, before taking possession of an aggregated category 1 or category 2 quantity of radioactive material. (3) Any licensee that has not previously implemented the Security Orders or been subject to the provisions of subpart B shall implement the provisions of subpart B before aggregating radioactive material to a quantity that equals or exceeds the category 2 threshold. 

IC 1. - In order to ensure the safe handling, umaterial in use and in storage each licensee times to radioactive material quantities of cocontaining such radioactive material (devicesradioactive material and devices to only apprequire access to perform their duties. IC FI - A.1. - The Licensee shall, within ninethis Order, establish and maintain a fingerprithe requirements of Attachment 3 of this Ordrequire unescorted access to certain radioacIC FP - B.1. - Except as provided in paragrapcurrently approved for unescorted access, thaccess to radioactive material in Attachment requirements of IC.1. of the Increased Contrthe requirements of this Order. Difference: No substantive difference betw

§ 37.21 Personnel access authorization requirements for category 1 or category 2 quantities of radioactive material. (b) General performance objective. The licensee’s access authorization program must ensure that the individuals specified in paragraph (c)(1) of this section are trustworthy and reliable. 

IC 1.a. - The licensee shall allow only trustwindividuals, approved in writing by the licensaccess to radioactive material quantities of clicensee shall approve for unescorted acceswith job duties that require access to such radevices. Personnel who require access to sand devices to perform a job duty, but who a
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(c) Applicability. (1) Licensees shall subject the following individuals to an access authorization program: (i) Any individual whose assigned duties require unescorted access to category 1 or category 2 quantities of radioactive material or to any device that contains the radioactive material; and (ii) Reviewing officials. (2) Licensees need not subject the categories of individuals listed in § 37.29(a)(1) through (13) to the investigation elements of the access authorization program. (3) Licensees shall approve for unescorted access to category 1 or category 2 quantities of radioactive material only those individuals with job duties that require unescorted access to category 1 or category 2 quantities of radioactive material. (4) Licensees may include individuals needing access to safeguards information-modified handling under part 73 of this chapter in the access authorization program under subpart B. 

licensee for unescorted access, must be escindividual. MD FP 1. - Each Licensee subject to the proshall fingerprint each individual who is seekinsafeguards information (SGI) or unescorted materials equal to, or greater than, the quanto this Order. The Licensee shall review and received from the Federal Bureau of Investigthe provisions contained in this Order and thPU 2. A. - For individuals granted access to unescorted access to the security zone, Licereasonable assurance that individuals are trudo not constitute an unreasonable risk to the security. AAccess@ means that an individual 

physical control over the material or device cmaterial. MD,PU, RQ C.2. - No person may have acceInformation or unescorted access to radioacthas determined, in accordance with its admibased on fingerprinting and an FBI identificarecords check, either that the person may noSafeguards Information or that the person maccess to a utilization facility, or radioactive msubject to regulation by the NRC. RQ B. 2. (f) - Individuals shall not perform aswith the transport of RAMQC until the licensedetermination of trustworthiness and reliabiliappropriate background investigation requirehas been performed and documented. 
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RQ B. 2. - Background Investigations a. - Background investigations are intended that individuals performing assigned duties atransport of RAMQC, are trustworthy and relan unreasonable risk to the common defensthe potential to commit radiological sabotageb. - For highway shipments only, the licenseinvestigations for all drivers, accompanying icommunications center managers, and othecommunications center personnel have been only has the authority to impose a Federal Bcriminal history check, which includes fingerpindividuals who seek access to Safeguards Iunescorted access to licensed material. c. - For rail shipments, the licensee shall ensinvestigations for employees filling the positicenter managers and other appropriate compersonnel have been performed. The NRC impose a Federal Bureau of Investigation (Fwhich includes fingerprinting, on those indiviSGI or unescorted access to licensed materiIC FP - B 2. - The T&R Official, if he/she doeaccess, must be deemed trustworthy and relaccordance with the requirements of IC.1. of Order (EA-05-090) before making a determintrustworthiness and reliability of another indivrequires unescorted access, the Licensee mfingerprinting and the review of an FBI identirecords check as a component in approving 
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Differences: The rule requires the reviewin

the full background investigation, including fifor access to SGI-M is contained in Part 73. 

§ 37.23 Access authorization program requirements.(a) Granting unescorted access authorization. (1) Licensees shall implement the requirements of this subpart for granting initial or reinstated unescorted access authorization. (2) Individuals who have been determined to be trustworthy and reliable shall also complete the security training required by § 37.43(c) before being allowed unescorted access to category 1 or category 2 quantities of radioactive material. 

New Requirement 

§ 37.23 Access authorization program requirements.(b) Reviewing officials. (1) Reviewing officials are the only individuals who may make trustworthiness and reliability determinations that allow individuals to have unescorted access to category 1 or category 2 quantities of radioactive materials possessed by the licensee. (2) Each licensee shall name one or more individuals to be reviewing officials. After completing the background investigation on the reviewing official, the licensee shall provide under oath or affirmation, a certification that the reviewing official is deemed trustworthy and reliable by the licensee. The fingerprints of the named reviewing official must be taken by a law enforcement agency, Federal or State agencies that provide fingerprinting services to the public, or commercial fingerprinting services authorized by a State to take fingerprints. The licensee shall recertify that the reviewing official is deemed trustworthy and reliable every 10 years in accordance with § 37.25(b). (3) Reviewing officials must be permitted to have unescorted access to category 1 or category 2 quantities of radioactive materials or 

MD, PU, RQ C. 1 - In accordance with the N

Fingerprinting and Criminal History Records Access to Safeguards Information@ ..., only treviewing official shall review results from an records check.... MD 5. c., RQ 2.d. (3), PU 2. A. iii. - A reviewnominated and has been approved by the NNRC AOrder Imposing Fingerprinting and Cri

Check Requirements for Access to Safeguarindividual that may make trustworthiness and MD, RQ, PU FP- B. - In accordance with the Fingerprinting and Criminal History Check RSafeguards Information” ... only the NRC-apshall review results from an FBI criminal histreviewing official shall determine whether an continue to have, unescorted access to radioor exceed the quantities listed in Attachment Fingerprinting and the FBI ... 
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access to safeguards information or safeguards information-modified handling, if the licensee possesses safeguards information or safeguards information-modified handling. (4) Reviewing officials cannot approve other individuals to act as reviewing officials. (5) A reviewing official does not need to undergo a new background investigation before being named by the licensee as the reviewing official if: (i) The individual has undergone a background investigation that included fingerprinting and an FBI criminal history records check and has been determined to be trustworthy and reliable by the licensee; or (ii) The individual is subject to a category listed in § 37.29(a). 

IC FP 4. - All fingerprints .... Additionally, thcertification of the trustworthiness and reliabdetermined in accordance with paragraph B.IC FP - A.2. - Within ninety (90) days of the Licensee shall provide under oath or affirmatTrustworthiness and Reliability (T&R) Officiaresponsibility to determine the trustworthinesindividual requiring unescorted access to the identified in Attachment 2) is deemed trustwoLicensee as required in paragraph B.2 of this PU C. 1. - In accordance with the NRC=s AOrFingerprinting and Criminal History Records Access to Safeguards Information@ ...only thofficial shall review results from an FBI crimiThe reviewing official shall determine whetheor continue to have, unescorted access to thirradiator sealed sources that equal or excee(10,000 curies). ... MD C. 1. - In accordance with the NRC=s AO

Fingerprinting and Criminal History Records Access to Safeguards Information@ (EA-06-2

applicable), only the NRC-approved reviewinresults from an FBI criminal history records cofficial shall determine whether an individual have, unescorted access to radioactive matethe quantities in Attachment 2 to this Order. RQ C. 1. - In accordance with the NRC=s AOr

Fingerprinting and Criminal History Records Access to Safeguards Information@ (EA-06-12006, only the NRC-approved reviewing officfrom an FBI criminal history records check. determine whether an individual may have, ounescorted access to radioactive materials t
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quantities listed in Attachment B to this OrdeDifference: The T&R official was not requirthe IC Orders. The NRC approved the reviethe orders (MD, PU, and RQ) and the rule noapprove the reviewing official and submit the affirmation. The orders did not contain a reqof the reviewing official. Additionally, the rule for the reviewing official to be taken by a law Federal or State agencies that provide finger public, or commercial fingerprinting services take fingerprints. 

§ 37.23 Access authorization program requirements.(c) Informed consent. 

(1) Licensees may not initiate a background investigation without the informed and signed consent of the subject individual. This consent must include authorization to share personal information with other individuals or organizations as necessary to complete the background investigation. Before a final adverse determination, the licensee shall provide the individual with an opportunity to correct any inaccurate or incomplete information that is developed during the background investigation. Licensees do not need to obtain signed consent from those individuals that meet the requirements of § 37.25(b). A signed consent must be obtained prior to any reinvestigation. (2) The subject individual may withdraw his or her consent at any time. Licensees shall inform the individual that: (i) If an individual withdraws his or her consent, the licensee may not initiate any elements of the background investigation that were not in progress at the time the individual withdrew his or her consent; and (ii) The withdrawal of consent for the background investigation is sufficient cause for denial or termination of unescorted access authorization. 

IC FP C. - Prior to requesting fingerprints froLicensee shall provide a copy of this Order tFP 2. - The Licensee shall notify each affectfingerprints will be used to secure a review orecord and inform the individual of the procerecord or including an explanation in the reco“Right to Correct and Complete Information” Difference: The rule requires a signed cons

before beginning any aspect of the backgroualso addresses the situation where an individconsent. 
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§ 37.23 Access authorization program requirements.(d) Personal history disclosure. Any individual who is applying for 

unescorted access authorization shall disclose the personal history information that is required by the licensee’s access authorization program for the reviewing official to make a determination of the individual’s trustworthiness and reliability. Refusal to provide, or the falsification of, any personal history information required by this subpart is sufficient cause for denial or termination of unescorted access. 

New Requirement 

§ 37.23 Access authorization program requirements.(e) Determination basis.(1) The reviewing official shall determine whether to permit, deny, unfavorably terminate, maintain, or administratively withdraw an individual’s unescorted access authorization based on an evaluation of all of the information collected to meet the requirements of this subpart. (2) The reviewing official may not permit any individual to have unescorted access until the reviewing official has evaluated all of the information collected to meet the requirements of this subpart and determined that the individual is trustworthy and reliable. The reviewing official may deny unescorted access to any individual based on information obtained at any time during the background investigation. (3) The licensee shall document the basis for concluding whether or not there is reasonable assurance that an individual is trustworthy and reliable. (4) The reviewing official may terminate or administratively withdraw an individual’s unescorted access authorization based on information obtained after the background investigation has been completed and the individual granted unescorted access authorization. (5) Licensees shall maintain a list of persons currently approved for unescorted access authorization. When a licensee determines that a person no longer requires unescorted access or meets the access 

IC 1.d. - The licensee shall document the bathere is reasonable assurance that an individaccess is trustworthy and reliable, and does unreasonable risk for unauthorized use of raquantities of concern. The licensee shall maapproved for unescorted access to such raddevices by the licensee. IC, MD, PU FP 7. - The Licensee shall docudetermination whether to grant, or continue tunescorted access to radioactive materials quantities...(category 2 referenced in differeMD 5. - Licensees shall document the basis reasonable assurance that individuals granteinformation or unescorted access to the secuand reliable, and do not constitute an unreasuse of the regulated material. AAccess@ mea

exercise some physical control over the matradioactive material. RQ 2. d. - Licensees shall document the basis high assurance that individuals granted acinformation or unescorted access to licensed and reliable, and do not constitute an unreasuse of the regulated material. AAccess@ mea

exercise some physical control over the mat
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authorization requirement, the licensee shall remove the person from the approved list as soon as possible, but no later than 7 working days, and take prompt measures to ensure that the individual is unable to have unescorted access to the material. 

radioactive material. IC 5.b. - Each time the licensee revises the lrequired by 1.d., or the documented program licensee shall retain the previous documentathe revision. IC 5.a. -The licensee shall retain documentatrustworthiness and reliability of individual emafter the individual’s employment ends. Difference: The rule relaxes the record retebasis for an individual from 3 years after the ends to 3 years after the individual no longer access. 

§ 37.23 Access authorization program requirements.(f) Procedures. Licensees shall develop, implement, and maintain 

written procedures for implementing the access authorization program. The procedures must include provisions for the notification of individuals who are denied unescorted access. The procedures must include provisions for the review, at the request of the affected individual, of a denial or termination of unescorted access authorization. The procedures must contain a provision to ensure that the individual is informed of the grounds for the denial or termination of unescorted access authorization and allow the individual an opportunity to provide additional relevant information. 

New Requirement 

§ 37.23 Access authorization program requirements.(g) Right to correct and complete information. (1) Prior to any final adverse determination, licensees shall provide each individual subject to this subpart with the right to complete, correct, and explain information obtained as a result of the licensee’s background investigation. Confirmation of receipt by the individual of this notification must be maintained by the licensee for a period of 

FP - Right to Correct and Complete InformatPrior to any final adverse determination, the available to the individual the contents of any from the FBI for the purpose of assuring corrinformation. Written confirmation by the indinotification must be maintained by the Licenyear from the date of the notification. 
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1 year from the date of the notification. (2) If, after reviewing his or her criminal history record, an individual believes that it is incorrect or incomplete in any respect and wishes to change, correct, update, or explain anything in the record, the individual may initiate challenge procedures. These procedures include direct application by the individual challenging the record to the law enforcement agency that contributed the questioned information or a direct challenge as to the accuracy or completeness of any entry on the criminal history record to the Federal Bureau of Investigation, Criminal Justice Information Services (CJIS) Division, ATTN: SCU, Mod. D-2, 1000 Custer Hollow Road, Clarksburg, WV 26306 as set forth in 28 CFR 16.30 through 16.34. In the latter case, the Federal Bureau of Investigation (FBI) will forward the challenge to the agency that submitted the data, and will request that the agency 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. Licensees must provide at least 10 days for an individual to initiate action to challenge the results of an FBI criminal history records check after the record being made available for his or her review. The licensee may make a final adverse determination based upon the criminal history records only after receipt of the FBI's confirmation or correction of the record. 

If, after reviewing the record, an individual beincomplete in any respect and wishes to chaalleged deficiency, or to explain any matter imay initiate challenge procedures. These prdirect application by the individual challengin(i.e., law enforcement agency) that contributinformation, or direct challenge as to the accany entry on the criminal history record to thInvestigation, Criminal Justice Information SATTN: SCU, Mod.D-2, 1000 Custer Hollow R26306 (as set forth in 28 CFR Part 16.30 thrcase, the FBI forwards the challenge to the adata and requests that agency to verify or coUpon receipt of an Official communication dicontributed the original information, the FBI Cchanges necessary in accordance with the inagency. The Licensee must provide at least individual to initiate an action challenging the identification and criminal history records chemade available for his/her review. The Licenunescorted access to certain radioactive maupon the criminal history record only upon reconfirmation or correction of the record. Upodetermination on unescorted access to certaLicensee shall provide the individual its docuUnescorted access to certain radioactive mato an individual during the review process. Difference: The rule allows the individual to information on any aspect of the background the criminal history records. 

§ 37.23 Access authorization program requirements.(h) Records. 

(1) The licensee shall retain documentation regarding the trustworthiness and reliability of individual employees for 3 years 

IC 5. - The licensee shall retain documentatiincreased controls for three years after they Difference: No substantive difference betw
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from the date the individual no longer requires unescorted access to category 1 or category 2 quantities of radioactive material. (2) The licensee shall retain a copy of the current access authorization program procedures as a record for 3 years after the procedure is no longer needed. If any portion of the procedure is superseded, the licensee shall retain the superseded material for 3 years after the record is superseded. (3) The licensee shall retain the list of persons approved for unescorted access authorization for 3 years after the list is superseded or replaced. § 37.25 Background investigations.(a) Initial Investigation. Before allowing an individual unescorted access to category 1 or category 2 quantities of radioactive material or to the devices that contain the material, licensees shall complete a background investigation of the individual seeking unescorted access authorization. The scope of the investigation must encompass at least the 7 years preceding the date of the background investigation or since the individual’s eighteenth birthday, whichever is shorter. The background investigation must include at a minimum: 

IC 1.b. - For individuals employed by the liceless, and for non-licensee personnel, such ahouse-keeping personnel, and security persotrustworthiness and reliability shall be determemployed by the licensee for longer than thrand reliability shall be determined, at a minimRQ 2. d. - ...The trustworthiness, reliability, ...investigation shall address at least the past tan individual=s employment has been less th

years period, educational references may be employment history. MD 5. a. - The trustworthiness and reliability determined based on a background investigainvestigation shall address at least the past 3 PU 2. A. i. - The trustworthiness and reliabilidetermined based on a background investigainvestigation shall address at least the past 3 Difference: The rule goes back the last 7 yethe background investigation elements are thindividual is a long-time employee or a new h
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(1) Fingerprinting and an FBI identification and criminal history records check in accordance with § 37.27; 

FP 5. - The Licensee shall review the informand consider it, in conjunction with the trustwrequirements of the ... PU FP 1. - Each Licensee subject to the proshall fingerprint each individual who is seekinsafeguards information (SGI) or unescorted underwater irradiator sealed sources. ... IC 1.b. - ... trustworthiness and reliability shaminimum, by .. and fingerprinting and the revand criminal history records check. ...For inlicensee for longer than three years, trustwobe determined, at a minimum, by a .. and finidentification and criminal history records cheRQ 2. d. - ...The background investigation sinclude fingerprinting and an FBI criminal hisMD 5. a. - ...The background investigation sinclude fingerprinting and a Federal Bureau criminal history check, ... PU 2. A. i. - ...The background investigation include fingerprinting and a Federal Bureau criminal history check, ... MD FP 1. - Each Licensee subject to the proshall fingerprint each individual who is seekinsafeguards information (SGI) or unescorted materials equal to, or greater than, the quanto this Order. The Licensee shall review and received from the Federal Bureau of Investigthe provisions contained in this Order and thDifference: No substantive difference betw
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(2) Verification of true identity. Licensees shall verify the true identity of the individual who is applying for unescorted access authorization to ensure that the applicant is who he or she claims to be. A licensee shall review official identification documents (e.g., driver's license; passport; government identification; certificate of birth issued by the state, province, or country of birth) and compare the documents to personal information data provided by the individual to identify any discrepancy in the information. Licensees shall document the type, expiration, and identification number of the identification document, or maintain a photocopy of identifying documents on file in accordance with § 37.31. Licensees shall certify in writing that the identification was properly reviewed, and shall maintain the certification and all related documents for review upon inspection; 

RQ 2. d. - ...The trustworthiness, reliability, aindividual=s true identity shall be determined 

investigation ... Difference: Only the RQ Order addressed vThis is a new requirement for all other licens

(3) Employment history verification. Licensees shall complete an employment history verification, including military history. Licensees shall verify the individual’s employment with each previous employer for the most recent 7 years before the date of application; 

IC 1.b. - ... shall be determined, at a minimuhistory, ...For individuals employed by the licthree years, trustworthiness and reliability shminimum, by a review of the employees’ emlicensee and ... RQ 2. d. - ... The background investigation sinclude ... verification of employment history

employment has been less then the required educational references may be used in lieu oMD 5. a. - ... The background investigation minimum, include ... verification of work or eappropriate to the length of employment, and employment eligibility. PU 2. A. i. - ...The background investigation include ... verification of work or education rethe length of employment, and confirmation Difference: No substantive difference betw
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(4) Verification of education. Licensees shall verify that the individual participated in the education process during the claimed period; 

IC 1.b. - For individuals employed by the liceless, .. shall be determined, at a minimum, ... RQ 2. d. - ... The background investigation seducation... MD 5. a. - ... The background investigation minimum, include ... verification of work or eappropriate to the length of employment, and employment eligibility. PU 2. A. i. - ...The background investigation include ... verification of work or education rethe length of employment, and confirmation IC FP - F.1. - The Licensee shall comply withreliability shall be determined, at a minimum... Difference: No substantive difference betw

(5) Character and reputation determination. Licensees shall complete reference checks to determine the character and reputation of the individual who has applied for unescorted access authorization. Unless other references are not available, reference checks may not be conducted with any person who is known to be a close member of the individual’s family, including but not limited to the individual’s spouse, parents, siblings, or children, or any individual who resides in the individual’s permanent household. Reference checks under this subpart must be limited to whether the individual has been and continues to be trustworthy and reliable; 

IC FP - F.1. - The Licensee shall comply withreliability shall be determined, at a minimum... IC 1.b. - For individuals employed by the liceless, ..., trustworthiness and reliability shall bminimum, ... and personal references, RQ 2. d. - ... The background investigation sinclude ... and personal references ... MD 5. a. - ...The background investigation spast 3 years and, as a minimum, ..., verificareferences as appropriate to the length of emPU 2. A. i. - ...The background investigation 
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include ... verification of work or education rethe length of employment, ... Difference: No substantive difference betw

(6) The licensee shall also, to the extent possible, obtain independent information to corroborate that provided by the individual (e.g., seek references not supplied by the individual); and 

IC FP - F.1. - .... The licensee shall also, to tindependent information to corroborate that (i.e. seeking references not supplied by the iIC 1.b. - For individuals employed by the liceless, ... The licensee shall also, to the extenindependent information to corroborate that (i.e., seeking references not supplied by the Difference: The requirement to obtain indepa requirement for all background investigatio

(7) If a previous employer, educational institution, or any other entity with which the individual claims to have been engaged fails to provide information or indicates an inability or unwillingness to provide information within a time frame deemed appropriate by the licensee but at least after 10 business days of the request or if the licensee is unable to reach the entity, the licensee shall document the refusal, unwillingness, or inability in the record of investigation; and attempt to obtain the information from an alternate source. 

New Requirement 

§ 37.25 Background investigations.(b) Grandfathering. (1) Individuals who have been determined to be 

trustworthy and reliable for unescorted access to category 1 or category 2 quantities of radioactive material under the Fingerprint Orders may continue to have unescorted access to category 1 and category 2 quantities of radioactive material without further investigation. These individuals shall be subject to the reinvestigation requirement. (2) Individuals who have been determined to be trustworthy and reliable under the provisions of part 73 of this chapter or the security 

FPU C. 1. - In accordance with the NRC=s AO

Fingerprinting and Criminal History Records Access to Safeguards Information@ ... Fingeidentification and criminal history records cheindividuals exempted from fingerprinting req73.61 [72 Fed. Reg. 4945 (February 2, 2007FPOMRP - C. - Fingerprints shall be submittaccordance with the procedures described in Order. Individuals who have been fingerprinSGI by the reviewing official under Order EA
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orders for access to safeguards information, safeguards informationmodified handling, or risk-significant material may have unescorted access to category 1 and category 2 quantities of radioactive material without further investigation. The licensee shall document that the individual was determined to be trustworthy and reliable under the provisions of part 73 of this chapter or a security order. Security order, in this context, refers to any order that was issued by the NRC that required fingerprints and an FBI criminal history records check for access to safeguards information, safeguards information-modified handling, or risk significant material such as special nuclear material or large quantities of uranium hexafluoride. These individuals shall be subject to the reinvestigation requirement. 

fingerprinted again. RQ B. 2. e. - Licensees background investigalso be satisfied for an individual that has: (1) - current access authorization permitting power reactor facility or access to Safeguard(2) - current U.S. government-issued securitnational agency check, at a minimum), or (3) - satisfactorily completed a background inNRC-approved access authorization programPU, MD, RQ D. - ...Individuals who have begranted access to Safeguards Information by under Order EA-06-242 do not need to be fipurposes of being considered for unescorted Difference: The rule grandfathers additionaapplies to a broader category of licensees. 

§ 37.25 Background investigations.(c) Reinvestigations. Licensees shall conduct a reinvestigation every 10 years for any individual with unescorted access to category 1 or category 2 quantities of radioactive material. The reinvestigation shall consist of fingerprinting and an FBI identification and criminal history records check in accordance with § 37.27. The reinvestigations must be completed within 10 years of the date on which these elements were last completed. 

New Requirement 

§ 37.27 Requirements for criminal history records checks of individuals granted unescorted access to category 1 or category 2 quantities of radioactive material. (a) General performance objective and requirements. (1) Except for those individuals listed in § 37.29 and those individuals 

FP 1. - Each Licensee subject to the provisiofingerprint each individual who is seeking or access to risk significant radioactive materiathe quantities listed in attachment B. The Licuse the information received from the Federa(FBI) identification and criminal history recor
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grandfathered under § 37.25(b), each licensee subject to the provisions of this subpart shall fingerprint each individual who is to be permitted unescorted access to category 1 or category 2 quantities of radioactive material. Licensees shall transmit all collected fingerprints to the Commission for transmission to the FBI. The licensee shall use the information received from the FBI as part of the required background investigation to determine whether to grant or deny further unescorted access to category 1 or category 2 quantities of radioactive materials for that individual. (2) The licensee shall notify each affected individual that his or her fingerprints will be used to secure a review of his or her criminal history record, and shall inform him or her of the procedures for revising the record or adding explanations to the record. (3) Fingerprinting is not required if a licensee is reinstating an individual’s unescorted access authorization to category 1 or category 2 quantities of radioactive materials if: (i) The individual returns to the same facility that granted unescorted access authorization within 365 days of the termination of his or her unescorted access authorization; and (ii) The previous access was terminated under favorable conditions. (4) Fingerprints do not need to be taken if an individual who is an employee of a licensee, contractor, manufacturer, or supplier has been granted unescorted access to category 1 or category 2 quantities of radioactive material, access to safeguards information, or safeguards information-modified handling by another licensee, based upon a background investigation conducted under this subpart, the Fingerprint Orders, or part 73 of this chapter. An existing criminal history records check file may be transferred to the licensee asked to grant unescorted access in accordance with the provisions of § 37.31(c). 

the provisions contained in the subject Ordesatisfied. FP 4. - All fingerprints obtained by the Licensmust be submitted to the Commission for traRQ 2.d. (2), MD 5. b , PU 2. A. ii., PU D. - Fsubmitted and reviewed in accordance with tAttachment ... to this Order.... PU, MD, RQ D. - Fingerprints shall be submaccordance with the procedures described in Order.... FP 2. - The Licensee shall notify each affectfingerprints will be used to secure a review orecord and inform the individual of the procerecord or including an explanation in the reco“Right to Correct and Complete Information” Difference: No substantive difference betw

§ 37.27 Requirements for criminal history records checks of individuals granted unescorted access to category 1 or category 2 quantities of radioactive material. 

FP 6. - The Licensee shall use any informaticriminal history records check solely for the pindividual's suitability for unescorted access radioactive materials equal to or greater than 
 Page 33 of 81 

(a) General performance objective and requirements. (5) Licensees shall use the information obtained as part of a criminal history records check solely for the purpose of determining an individual's suitability for unescorted access authorization to category 1 or category 2 quantities of radioactive materials, access to safeguards information, or safeguards information-modified handling.

Attachment B. MD, PU FP 6. - The Licensee shall use any part of a criminal history records check solely determining an individual's suitability for acceaccess to radioactive materials equal to or gused in Attachment 2 to this Order. Difference: No substantive difference betw

§ 37.27 Requirements for criminal history records checks of individuals granted unescorted access to category 1 or category 2 quantities of radioactive material. (b) Prohibitions. 

(1) Licensees may not base a final determination to deny an individual unescorted access authorization to category 1 or category 2 quantities of radioactive material solely on the basis of information received from the FBI involving: (i) An arrest more than 1 year old for which there is no information of the disposition of the case; or (ii) An arrest that resulted in dismissal of the charge or an acquittal. (2) Licensees may not use information received from a criminal history records check obtained under this subpart 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 licensees use the information in any way that would discriminate among individuals on the basis of race, religion, national origin, gender, or age. 

FP - Prohibitions A Licensee shall not base a final determinatiunescorted access to certain radioactive mainformation received from the FBI involving: (1) year old for which there is no information case, or an arrest that resulted in dismissal oacquittal. A Licensee shall not use information receivecheck obtained pursuant to this Order in a mupon the rights of any individual under the FConstitution of the United States, nor shall thinformation in any way which would discriminthe basis of race, religion, national origin, seDifference: No substantive difference betw

§ 37.27 Requirements for criminal history records checks of individuals granted unescorted access to category 1 or category 2 quantities of radioactive material. (c) Procedures for processing of fingerprint checks. (1) For the purpose of complying with this subpart, licensees shall 

FP (RQ, MD, PU) - Procedures for ProcessinFor the purpose of complying with this Orderappropriate method listed in 10 CFR 73.4, suof Facilities and Security, Mail Stop T-6E46, standard fingerprint card (Form FD-258, OR
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use an appropriate method listed in § 37.7 to submit to the Office of Administration, Division of Facilities and Security, Mail Stop TWB-05 B32M, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0012, one completed, legible standard fingerprint card (Form FD-258, ORIMDNRCOOOZ), electronic fingerprint scan or, where practicable, other fingerprint record for each individual requiring unescorted access to category 1 or category 2 quantities of radioactive material. 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 (301) 415-7232, or by e-mail to FORMS.Resource@nrc.gov. Guidance on 

submitting electronic fingerprints can be found at http://www.nrc.gov/site-help/e-submittals.html. (2) Fees for the processing of fingerprint checks are due upon application. Licensees shall submit payment with the application for the processing of fingerprints through corporate check, certified check, cashier's check, money order, or electronic payment, made payable to "U.S. NRC." (For guidance on making electronic payments, contact the Security Branch, Division of Facilities and Security at (301) 492-3531.) Combined payment for multiple applications is acceptable. The Commission publishes the amount of the fingerprint check application fee on the NRC public Web site. (To find the current fee amount, go to the Electronic Submittals page at http://www.nrc.gov/site-help/e-submittals.html and see the link for 

the Criminal History Program under Electronic Submission Systems.) (3) 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 records checks. 

practicable, other fingerprint records for each unescorted access to the panoramic or undesources, to the Director of the Division of Famarked for the attention of the Division's CrimSection. Copies of these forms may be obtaiInformation Services, U.S. Nuclear RegulatoWashington, DC 20555-0001, by calling (301forms@nrc.gov. Practicable alternative form73.4. The Licensee shall establish procedurquality of the fingerprints taken results in minfingerprint cards due to illegible or incompletreview submitted fingerprint cards for complefingerprint record containing omissions or evto the Licensee for corrections. The fee for pchecks includes one re-submission if the initby the FBI because the fingerprint impressioThe one free resubmission must have the FBNumber reflected on the re-submission. If anecessary, they will be treated as initial submsecond payment of the processing fee. Feechecks are due upon application. Licensees the application for processing fingerprints by check, cashier's check, money order, or elecpayable to “U.S. NRC.” [For guidance on macontact the Facilities Security Branch, Divisio

Security, at (301) 415-7404]. Combined payapplications is acceptable. The application fsum of the user fee charged by the FBI for eother fingerprint record submitted by the NRand an NRC processing fee, which covers aassociated with NRC handling of Licensee fiThe Commission will directly notify Licenseeregulation of any fee changes. The Commissubmitting Licensee all data received from thLicensee's application(s) for criminal history 
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fingerprint record. Difference: No substantive difference betw

§ 37.29 Relief from fingerprinting, identification, and criminal history records checks and other elements of background investigations for designated categories of individuals permitted unescorted access to certain radioactive materials or other property. (a) Fingerprinting, and the identification and criminal history records checks required by section 149 of the Atomic Energy Act of 1954, as amended, and other elements of the background investigation are not required for the following individuals prior to granting unescorted access to category 1 or category 2 quantities of radioactive materials: (1) An employee of the Commission or of the Executive Branch of the U.S. Government who has undergone fingerprinting for a prior U.S. Government criminal history records check; (2) A Member of Congress; (3) An employee of a member of Congress or Congressional committee who has undergone fingerprinting for a prior U.S. Government criminal history records check; (4) The Governor of a State or his or her designated State employee representative; (5) Federal, State, or local law enforcement personnel; (6) State Radiation Control Program Directors and State Homeland Security Advisors or their designated State employee representatives; (7) Agreement State employees conducting security inspections on behalf of the NRC under an agreement executed under section 274.i. of the Atomic Energy Act; (8) Representatives of the International Atomic Energy Agency 

IC 1.c. - All individuals requiring access .... 

provider’s employee, the licensee shall obtawritten verification attesting to or certifying thtrustworthiness and reliability before granting Difference: The rule provides relief for addi

individuals (emergency response personnel, drivers, and package handlers at transportat
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(IAEA) engaged in activities associated with the U.S./IAEA Safeguards Agreement who have been certified by the NRC; (9) Emergency response personnel who are responding to an emergency; (10) Commercial vehicle drivers for road shipments of category 2 quantities of radioactive material; (11) Package handlers at transportation facilities such as freight terminals and railroad yards; (12) Any individual who has an active Federal security clearance, provided that he or she makes available the appropriate documentation. Written confirmation from the agency/employer that granted the Federal security clearance or reviewed the criminal history records check must be provided to the licensee. The licensee shall retain this documentation for a period of 3 years from the date the individual no longer requires unescorted access to category 1 or category 2 quantities of radioactive material; and (13) Any individual employed by a service provider licensee for which the service provider licensee has conducted the background investigation for the individual and approved the individual for unescorted access to category 1 or category 2 quantities of radioactive material. Written verification from the service provider must be provided to the licensee. The licensee shall retain the documentation for a period of 3 years from the date the individual no longer requires unescorted access to category 1 or category 2 quantities of radioactive material. § 37.29 Relief from fingerprinting, identification, and criminal history records checks and other elements of background investigations for designated categories of individuals permitted unescorted access to certain radioactive materials.  (b) Fingerprinting, and the identification and criminal history records checks required by section 149 of the Atomic Energy Act of 1954, as amended, are not required for an individual who has had a favorably adjudicated U.S. Government criminal history records 

MD, PU, RQ C. 1. - In accordance with the N

Fingerprinting and Criminal History Records Access to Safeguards Information@ ...... Finidentification and criminal history records cheindividuals exempted from fingerprinting requ73.61 [72 Fed. Reg. 4945 (February 2, 2007who have a favorably decided U.S. Governmrecords check within the last five (5) years, osecurity clearance (provided in each case th
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check within the last 5 years, under a comparable U.S. Government program involving fingerprinting and an FBI identification and criminal history records check provided that he or she makes available the appropriate documentation. Written confirmation from the agency/employer that reviewed the criminal history records check must be provided to the licensee. The licensee shall retain this documentation for a period of 3 years from the date the individual no longer requires unescorted access to category 1 or category 2 quantities of radioactive material. These programs include, but are not limited to: (1) National Agency Check; (2) Transportation Worker Identification Credentials (TWIC) under 49 CFR 1572; (3) Bureau of Alcohol, Tobacco, Firearms, and Explosives background check and clearances under 27 CFR 555; (4) Health and Human Services security risk assessments for possession and use of select agents and toxins under 42 CFR 73; (5) Hazardous Material security threat assessment for hazardous material endorsement to commercial drivers license under 49 CFR 1572; and (6) Customs and Border Protection’s Free and Secure Trade (FAST) Program. 

documentation is made available to the Lice

have satisfied the Energy Policy of 2005 fingneed not be fingerprinted again for purposes unescorted access. PU, MD, RQ - B. - ... Fingerprinting and the criminal history records check are not requireexempted from fingerprinting requirements uFed. Reg. 33,989 (June 13, 2006)] for accesindividuals who have a favorably decided U.history records check within the last five (5) yhave an active federal security clearance, (pthe appropriate documentation is made avaireviewing official) have satisfied the EPAct fiand need not be fingerprinted again. FP (IC) 3. - Fingerprints for unescorted acceemployed individual (e.g., a Licensee emplomanufacturer, or supplier) is relieved from threquirement by 10 CFR § 73.61, or any persfavorably-decided by a U.S. Government profingerprinting and an FBI identification and ccheck (e.g. National Agency Check, TranspoIdentification Credentials in accordance with of Alcohol Tobacco Firearms and Explosives clearances in accordance with 27 CFR Part Services security risk assessments for posseagents and toxins in accordance with 42 CFMaterial security threat assessment for hazaendorsement to commercial drivers license iPart 1572, Customs and Border Patrol’s FreProgram) within the last five (5) calendar yeaan active federal security clearance (providethat they make available the appropriate docconfirmation from the Agency/employer whicsecurity clearance or reviewed the FBI crimibased upon a fingerprint identification check 
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Licensee must retain this documentation for from the date the individual no longer requirecertain radioactive material associated with tFP (RQ, MD, PU) 3. Fingerprints for unescotaken if an employed individual (e.g., a Licenmanufacturer, or supplier) is relieved from threquirement by 10 CFR 73.59 for access to Shas a favorably-decided U.S. Government crthe last five (5) years, or has an active federWritten confirmation from the Agency/employfederal security clearance or reviewed the crbe provided for either of the latter two casesthis documentation for a period of three (3) yindividual no longer requires unescorted accassociated with the Licensee’s activities. Difference: No substantive difference betw

§ 37.31 Protection of information. (a) Each licensee who obtains background information on an individual under this subpart shall establish and maintain a system of files and written procedures for protection of the record and the personal information from unauthorized disclosure. (b) The licensee may not disclose the record or personal information collected and maintained to persons other than the subject individual, his or her representative, or to those who have a need to have access to the information in performing assigned duties in the process of granting or denying unescorted access to category 1 or category 2 quantities of radioactive material, safeguards information, or safeguards information-modified handling. No individual authorized to have access to the information may disseminate the information to any other individual who does not have a need to know. (c) The personal information obtained on an individual from a 

FP - Protection of Information 1. Each Licensee who obtains a criminal his

individual pursuant to this Order shall estsystem of files and procedures for protecpersonal information from unauthorized d

2. The Licensee may not disclose the recor

collected and maintained to persons otheindividual, his/her representative, or to thaccess the information in performing assof determining unescorted access to certNo individual authorized to have access disseminate the information to any other have a need-to-know. 

3. The personal information obtained on an 

history record check may be transferred Licensee holding the criminal history recoindividual's written request to re-dissemin
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background investigation may be provided to another licensee: (1) Upon the individual's written request to the licensee holding the data to disseminate the information contained in his or her file; and (2) The recipient licensee verifies information such as name, date of birth, social security number, gender, and other applicable physical characteristics. (d) The licensee shall make background investigation records obtained under this subpart available for examination by an authorized representative of the NRC to determine compliance with the regulations and laws. (e) The licensee shall retain all fingerprint and criminal history records (including data indicating no record) received from the FBI, or a copy of these records if the individual's file has been transferred, on an individual for 3 years from the date the individual no longer requires unescorted access to category 1 or category 2 quantities of radioactive material. 

contained in his/her file, and the gaining information such as the individual’s namesecurity number, sex, and other applicabfor identification purposes. 

4. The Licensee shall make criminal history 

this section, available for examination by representative of the NRC to determine cregulations and laws. 

5. The Licensee shall retain all fingerprint a

from the FBI, or a copy if the individual's for three (3) years after termination of emof unescorted access to certain radioactiunescorted access was approved or denthree (3) year period, these documents smethod that will prevent reconstruction oor in part. 

FP (IC) - D. - Upon receipt of the results of Fcriminal history records checks, the Licensee information as specified in the “Protection of Attachment 3 of this Order and in requiremeControls Order (EA-05-090). Difference: No substantive difference betw

§ 37.33 Access authorization program review.(a) Each licensee shall be responsible for the continuing effectiveness of the access authorization program. Each licensee shall ensure that access authorization programs are reviewed to confirm compliance with the requirements of this subpart and that comprehensive actions are taken to correct any noncompliance that is identified. The review program shall evaluate all program performance objectives and requirements. Each licensee shall periodically (at least annually) review the access program content and implementation. 

New Requirement 
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(b) The results of the reviews, along with any recommendations, must be documented. Each review report must identify conditions that are adverse to the proper performance of the access authorization program, the cause of the condition(s), and, when appropriate, recommend corrective actions, and corrective actions taken. The licensee shall review the findings and take any additional corrective actions necessary to preclude repetition of the condition, including reassessment of the deficient areas where indicated. (c) Review records must be maintained for 3 years. Subpart C 

– Physical Protection Requirements during Use

§ 37.41 Security program. (a) Applicability.(1) Each licensee that possesses an aggregated category 1 or category 2 quantity of radioactive material shall establish, implement, and maintain a security program in accordance with the requirements of this subpart. (2) An applicant for a new license and each licensee that would become newly subject to the requirements of this subpart upon application for modification of its license shall implement the requirements of this subpart, as appropriate, before taking possession of an aggregated category 1 or category 2 quantity of radioactive material. (3) Any licensee that has not previously implemented the Security Orders or been subject to the provisions of subpart C shall provide written notification to the NRC regional office specified in § 30.6 of this chapter at least 90 days before aggregating radioactive material to a quantity that equals or exceeds the category 2 threshold. (b) General performance objective. Each licensee shall establish, implement, and maintain a security program that is designed to monitor and, without delay, detect, assess, and respond to an actual or attempted unauthorized access to category 1 or category 2 

IC Intro - The purpose of the increased contrsources is to enhance control of radioactive greater than or equal to values described in of unauthorized use of radioactive materials, aid prevention, and prompt detection, assessmitigate potentially high consequences that wpublic health and safety. These increased csources are established to delineate licensee control of licensed material and secure it from access. IC 2. Intro - In order to ensure the safe handlicensed material in use and in storage, each documented program to monitor and immedrespond to unauthorized access to radioactivconcern and devices. Enhanced monitoring periods of source delivery or shipment, wherexceeds 100 times the Table 1 values. Difference: No substantive difference betw
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quantities of radioactive material. § 37.41 Security program. (c) Program features. Each licensee’s security program must include 

the program features, as appropriate, described in §§ 37.43, 37.45, 37.47, 37.49, 37.51, 37.53, and 37.55. 

NA 

§ 37.43 General security program requirements. (a) Security plan.(1) Each licensee identified in § 37.41(a) shall develop a written security plan specific to its facilities and operations. The purpose of the security plan is to establish the licensee’s overall security strategy to ensure the integrated and effective functioning of the security program required by this subpart. The security plan must, at a minimum: (i) Describe the measures and strategies used to implement the requirements of this subpart; and (ii) Identify the security resources, equipment, and technology used to satisfy the requirements of this subpart. (2) The security plan must be reviewed and approved by the individual with overall responsibility for the security program. (3) A licensee shall revise its security plan as necessary to ensure the effective implementation of Commission requirements. The licensee shall ensure that: (i) The revision has been reviewed and approved by the individual with overall responsibility for the security program; and (ii) The affected individuals are instructed on the revised plan before the changes are implemented. 

IC 2. - Intro - In order to ensure the safe hanlicensed material in use and in storage, each documented program to monitor and immedrespond to unauthorized access to radioactivconcern and devices. ... Difference: The rule requires a security plarequired a documented program. The rule reapproved by the individual with responsibility while the orders did not specify any approvainstruction on the plan before implementation

§ 37.43 General security program requirements. (a) Security plan.(4) The licensee shall retain a copy of the current security plan as a record for 3 years after the security plan is no longer required. If any 

Records associated with all of the orders we3 years Difference: No substantive difference betw
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portion of the plan is superseded, the licensee shall retain the superseded material for 3 years after the record is superseded.§ 37.43 General security program requirements. (b) Implementing procedures. (1) The licensee shall develop and maintain written procedures that document how the requirements of this subpart and the security plan will be met. (2) The implementing procedures and revisions to these procedures must be approved in writing by the individual with overall responsibility for the security program. (3) The licensee shall retain a copy of the current procedure as a record for 3 years after the procedure is no longer needed. Superseded portions of the procedure must be retained for 3 years after the record is superseded. 

New Requirement 

§ 37.43 General security program requirements. (c) Training. (1) Each licensee shall conduct training to ensure that those individuals implementing the security program possess and maintain the knowledge, skills, and abilities to carry out their assigned duties and responsibilities effectively. The training must include instruction in: (i) The licensee’s security program and procedures to secure category 1 or category 2 quantities of radioactive material, and in the purposes and functions of the security measures employed; (ii) The responsibility to report promptly to the licensee any condition that causes or may cause a violation of Commission requirements; (iii) The responsibility of the licensee to report promptly to the local law enforcement agency and licensee any actual or attempted theft, sabotage, or diversion of category 1 or category 2 quantities of radioactive material; and 

New Requirement 
 Page 43 of 81 

(iv) The appropriate response to security alarms. (2) In determining those individuals who shall be trained on the security program, the licensee shall consider each individual’s assigned activities during authorized use and response to potential situations involving actual or attempted theft, diversion, or sabotage of category 1 or category 2 quantities of radioactive material. The extent of the training must be commensurate with the individual’s potential involvement in the security of category 1 or category 2 quantities of radioactive material. (3) Refresher training must be provided at a frequency not to exceed 12 months and when significant changes have been made to the security program. This training must include: (i) Review of the training requirements of paragraph (c) of this section and any changes made to the security program since the last training; (ii) Reports on any relevant security issues, problems, and lessons learned; (iii) Relevant results of NRC inspections; and (iv) Relevant results of the licensee’s program review and testing and maintenance. (4) The licensee shall maintain records of the initial and refresher training for 3 years from the date of the training. The training records must include dates of the training, topics covered, a list of licensee personnel in attendance, and related information. § 37.43 General security program requirements. (d) Protection of information. 

(1) Except as provided in paragraph (d)(9) of this section, licensees authorized to possess category 1 or category 2 quantities of radioactive material shall limit access to and unauthorized disclosure of their security plan, implementing procedures, and the list of individuals that have been approved for unescorted access. 

IC 6. - Detailed information generated by the the physical protection of radioactive materiasensitive information and shall be protected disclosure. IC 6.a. - The licensee shall control access to information to those persons who have an esthe information, and are considered to be tru
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(2) Efforts to limit access shall include the development, implementation, and maintenance of written policies and procedures for controlling access to, and for proper handling and protection against unauthorized disclosure of, the security plan and implementing procedures. (3) Before granting an individual access to the security plan or implementing procedures, licensees shall: (i) Evaluate an individual’s need to know the security plan or implementing procedures; and (ii) If the individual has not been authorized for unescorted access to category 1 or category 2 quantities of radioactive material, safeguards information, or safeguards information-modified handling, the licensee must complete a background investigation to determine the individual’s trustworthiness and reliability. A trustworthiness and reliability determination shall be conducted by the reviewing official and shall include the background investigation elements contained in § 37.25(a)(2) through (a)(7). (4) Licensees need not subject the following individuals to the background investigation elements for protection of information: (i) The categories of individuals listed in § 37.29(a)(1) through (8); or (ii) Security service provider employees, provided written verification that the employee has been determined to be trustworthy and reliable by the required background investigation in § 37.25(a)(2) through (a)(7) has been provided by the security service provider. (5) The licensee shall document the basis for concluding that an individual is trustworthy and reliable and should be granted access to the security plan or implementing procedures. (6) Licensees shall maintain a list of persons currently approved for access to the security plan or implementing procedures. When a licensee determines that a person no longer needs access to the security plan or implementing procedures or no longer meets the access authorization requirements for access to the information, the licensee shall remove the person from the approved list as soon as 

IC 6.b. - The licensee shall develop, maintain and procedures for controlling access to, and protection against unauthorized disclosure oinformation for radioactive material covered The policies and procedures shall include thIC 6.b.1. - General performance requiremenproduces, receives, or acquires the licenseeprotect the information from unauthorized disIC 6.b.2. - Protection of sensitive information transit, IC 6.b.3. - Preparation, identification or markIC 6.b.4. - Access controls, IC 6.b.5. - Destruction of documents, IC6.b.6. - Use of automatic data processing IC 6.b,7. - Removal from the licensee’s sensDifference: The rule does not provide the sorders. 
 Page 45 of 81 

possible, but no later than 7 working days, and take prompt measures to ensure that the individual is unable to obtain the security plan or implementing procedures. (7) When not in use, the licensee shall store its security plan and implementing procedures in a manner to prevent unauthorized access. Information stored in nonremovable electronic form must be password protected. (8) The licensee shall retain as a record for 3 years after the document is no longer needed: (i) A copy of the information protection procedures; and (ii) The list of individuals approved for access to the security plan or implementing procedures. (9) Licensees that possess safeguards information or safeguards information-modified handling are subject to the requirements of § 73.21 of this chapter, and shall protect any safeguards information or safeguards information-modified handling in accordance with the requirements of that section. § 37.45 LLEA coordination.  (a) A licensee subject to this subpart shall coordinate, to the extent practicable, with an LLEA for responding to threats to the licensee’s facility, including any necessary armed response. The information provided to the LLEA must include: (1) A description of the facilities and the category 1 and category 2 quantities of radioactive materials along with a description of the licensee’s security measures that have been implemented to comply with this subpart; and (2) A notification that the licensee will request a timely armed response by the LLEA to any actual or attempted theft, sabotage, or diversion of category 1 or category 2 quantities of material. (b) The licensee shall notify the appropriate NRC regional office listed in § 30.6(a)(2) of this chapter within 3 business days if: 

IC 2.b. - The licensee shall have a pre-arranassistance in response to an actual or attemdiversion of such radioactive material or of thconsistent in scope and timing with a realistithe sources containing such radioactive matplan shall be updated when changes to the faffect the potential vulnerability of the sourcecoordination is not required for temporary job MD 4. - [This paragraph contains SAFEGUAwill not be publicly disclosed] Difference: The rule relaxes the requiremen

plan and only requires coordination with the requires annual coordination. 
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(1) The LLEA has not responded to the request for coordination within 60 days of the coordination request; or (2) The LLEA notifies the licensee that the LLEA does not plan to participate in coordination activities. (c) The licensee shall document its efforts to coordinate with the LLEA. The documentation must be kept for 3 years. (d) The licensee shall coordinate with the LLEA at least every 12 months, or when changes to the facility design or operation adversely affect the potential vulnerability of the licensee’s material to theft, sabotage, or diversion. § 37.47 Security zones. (a) Licensees shall ensure that all aggregated category 1 and category 2 quantities of radioactive material are used or stored within licensee-established security zones. Security zones may be permanent or temporary. (b) Temporary security zones must be established as necessary to meet the licensee’s transitory or intermittent business activities, such as periods of maintenance, source delivery, and source replacement. (c) Security zones must, at a minimum, allow unescorted access only to approved individuals through: (1) Isolation of category 1 and category 2 quantities of radioactive materials by the use of continuous physical barriers that allow access to the security zone only through established access control points. A physical barrier is a natural or man-made structure or formation sufficient for the isolation of the category 1 or category 2 quantities of radioactive material within a security zone; or (2) Direct control of the security zone by approved individuals at all times; or (3) A combination of continuous physical barriers and direct control. 

IC 2. Intro - In order to ensure the safe handlicensed material in use and in storage, each documented program to monitor and immedrespond to unauthorized access to radioactivconcern and devices. .. PU 1 - Use and store the radioactive materiazone that isolates the material from unauthodetection if such access occurs. The security zone is an area, defined by the both isolation of radioactive material and accmust demonstrate for this area a means to dunauthorized access to licensed material. A

persons, materials, or vehicles from entering than established access control points. AAcc

allow only approved individuals into the secuand access control aid in the detection of unactivities deemed by the licensee to be indicthe loss, theft, or release of material. The seto be the same as the restricted area or cont10 CFR Part 20. 
 Page 47 of 81 

Security zones can be permanent or temporintermittent business activities (such as durinsource delivery and source replacement). Dcontrol measures may be used for periods dzone is occupied versus unoccupied. PU 2 - Continuously control access to the seadmittance to those individuals who are appto perform their duties. MD 1. - Establish a security zone (or zones)area, determined by the licensee, that providradioactive material and access control. a. - Only use and store the radioactive matersecurity zone(s); and b. - The licensee shall demonstrate for each deter, detect and delay any attempt of unautmaterial. The security zone is not required trestricted area or controlled area, as defined equivalent agreement state regulations; and c. - Security zones can be permanent or temintermittent business activities (such as durinsource delivery, source replacement, and temDifferent isolation/access control measures mduring which the security zone is occupied vPU, MD 2 – (Continuously) control access to admittance to those individuals who are appto perform their duties. MD 3. b. - Provide a positive measure to detof the radioactive material from the security zDifference: IC Orders did not contain a requ
 Page 48 of 81 

however the IC orders did require the licenserespond to unauthorized access. No substaother orders. 

§ 37.47 Security zones. (d) For category 1 quantities of radioactive material during periods of maintenance, source receipt, preparation for shipment, installation, or source removal or exchange, the licensee shall, at a minimum, provide sufficient individuals approved for unescorted access to maintain continuous surveillance of sources in temporary security zones and in any security zone in which physical barriers or intrusion detection systems have been disabled to allow such activities.

IC 2. Intro - In order to ensure ... Enhanced provided during periods of source delivery or delivery or shipment exceeds 100 times the PU 3. B. - Provide enhanced security measusecurity zones are established, during perioddelivery and shipment, and source replacemadditional assurance for enhanced detection response to unauthorized individuals or activradioactive material. Such security measurelimited to: PU 3. B. a. - Advanced notification to the loc(LLEA) for radioactive source exchanges, deFor shipments of sources, establish a positivsecurity responsibility, between the shipper/c(receiver), for communicating with the LLEADifference: The rule does not require the Lsource exchanges as the LLEA does not neecase of an attempted theft, the LLEA would b

§ 37.47 Security zones. (e) Individuals not approved for unescorted access to category 1 or category 2 quantities of radioactive material must be escorted by an approved individual when in a security zone.

IC 1.a. - The licensee shall allow ... Personsuch radioactive material and devices to perare not approved by the licensee for unescoescorted by an approved individual. MD 5. d. - Individuals for whom the licensee determination of trustworthiness and reliabiliappropriate background investigation abovethe security zone to prevent unauthorized aclicensed radioactive material. The licensee sindividuals are clearly identifiable as needing 
 Page 49 of 81 

security zone. PU 2 B. - [This paragraph contains SAFEGUwill not be publicly disclosed.] The requiremescorts similar to MD5. D above. Difference: No substantive difference betw

§ 37.49 Monitoring, detection, and assessment.

(a) Monitoring and detection.

(1) Licensees shall establish and maintain the capability to continuously monitor and detect without delay all unauthorized entries into its security zones. Licensees shall provide the means to maintain continuous monitoring and detection capability in the event of a loss of the primary power source, or provide for an alarm and response in the event of a loss of this capability to continuously monitor and detect unauthorized entries. (2) Monitoring and detection must be performed by: (i) A monitored intrusion detection system that is linked to an onsite or offsite central monitoring facility; or (ii) Electronic devices for intrusion detection alarms that will alert nearby facility personnel; or (iii) A monitored video surveillance system; or (iv) Direct visual surveillance by approved individuals located within the security zone; or (v) Direct visual surveillance by a licensee designated individual located outside the security zone. (3) A licensee subject to this subpart shall also have a means to detect unauthorized removal of the radioactive material from the security zone. This detection capability must provide:(i) For category 1 quantities of radioactive material, immediate detection of any attempted unauthorized removal of the radioactive 

IC 2. Intro - In order to ensure the safe handlicensed material in use and in storage, each documented program to monitor and immedrespond to unauthorized access to radioactivconcern and devices. Enhanced monitoring periods of source delivery or shipment, wherexceeds 100 times the Table 1 values. PU 3. - Implement a system (i.e., devices anmonitor, detect, assess and respond to unauactivities in the security zone. PU 3. C. - Provide a positive measure to valino unauthorized removal of the radioactive mzone. MD 3. - Implement a system to monitor, deteunauthorized entries into or activities in the sPU 3. A. - [This paragraph contains SAFEGUand will not be publicly disclosed.] The requmonitoring and use of intrusion detection MD 3. a. - [This paragraph contains SAFEGUand will not be publicly disclosed] This requmonitoring and detection. Difference: The rule provides additional det
 Page 50 of 81 

material from the security zone. Such immediate detection capability must be provided by: (A) Electronic sensors linked to an alarm; or (B) Continuous monitored video surveillance; or (C) Direct visual surveillance. (ii) For category 2 quantities of radioactive material, weekly verification through physical checks, tamper indicating devices, use, or other means to ensure that the radioactive material is present. (b) Assessment. Licensees shall immediately assess each actual or 

attempted unauthorized entry into the security zone to determine whether the unauthorized access was an actual or attempted theft, sabotage, or diversion. 

for the monitoring and detection system. 

§ 37.49 Monitoring, detection, and assessment.

(c) Personnel communications and data transmission. For personnel 

and automated or electronic systems supporting the licensee’s monitoring, detection, and assessment systems, licensees shall: (1) Maintain continuous capability for personnel communication and electronic data transmission and processing among site security systems; and (2) Provide an alternative communication capability for personnel, and an alternative data transmission and processing capability, in the event of a loss of the primary means of communication or data transmission and processing. Alternative communications and data transmission systems may not be subject to the same failure modes as the primary systems. 

IC 2.c. - The licensee shall have a dependabinformation between, and among, the varioudetect and identify an unauthorized intrusionand to summon the appropriate responder. PU 3. D. - Maintain continuous communicativarious components for intrusion detection aabout a timely response. Difference: No substantive difference betw

§ 37.49 Monitoring, detection, and assessment.

(d) Response. Licensees shall immediately respond to any actual or 

attempted unauthorized access to the security zones, or actual or attempted theft, sabotage, or diversion of category 1 or category 2 quantities of radioactive material at licensee facilities or temporary job sites. For any unauthorized access involving an actual or 

IC 2.a. - The licensee shall respond immediaattempted theft, sabotage, or diversion of suof the devices. The response shall include ra Local Law Enforcement Agency (LLEA). Difference: No substantive difference betw
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attempted theft, sabotage, or diversion of category 1 or category 2 quantities of radioactive material, the licensee’s response shall include requesting, without delay, an armed response from the LLEA. § 37.51 Maintenance, testing, and calibration. 

(a) Each licensee subject to this subpart shall implement a maintenance and testing program to ensure that intrusion alarms, associated communication systems, and other physical components of the systems used to secure or detect unauthorized access to radioactive material are maintained in operable condition, are capable of performing their intended function when needed, and are inspected and tested for operability and performance at the manufacturer’s suggested frequency. If there is no suggested frequency, the testing must be performed at least annually, not to exceed 12 months. (b) The licensee shall maintain records on the maintenance and testing activities for 3 years. 

New Requirement 

§ 37.53 Requirements for mobile devices.Each licensee that possesses mobile devices containing category 1 or category 2 quantities of radioactive material must: (a) Have two independent physical controls that form tangible barriers to secure the material from unauthorized removal when the device is not under direct control and constant surveillance by the licensee; and (b) For devices in or on a vehicle or trailer, unless the health and safety requirements for a site prohibit the disabling of the vehicle, the licensee shall utilize a method to disable the vehicle or trailer when not under direct control and constant surveillance by the licensee. Licensees shall not rely on the removal of an ignition key to meet this requirement. 

IC 4. - In order to ensure the safe handling, umaterial in use and in storage each licensee portable devices containing radioactive matethan or equal to Table 1 values, shall: IC 4.a. - For portable devices, have two indethat form tangible barriers to secure the materemoval when the device is not under direct surveillance by the licensee. IC 4.b - For mobile devices: IC 4.b.1. - that are only moved outside of the have two independent physical controls that secure the material from unauthorized removunder direct control and constant surveillancIC 4.b.2. - that are only moved inside a facilit
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that forms a tangible barrier to secure the mamovement or removal when the device is noconstant surveillance by the licensee. IC 4.c. - For devices in or on a vehicle or traiutilize a method to disable the vehicle or traicontrol and constant surveillance by the licenDifference: Rule allows for relief from the dcases where the health and safety requiremevehicle. 

§ 37.55 Security program review. (a) Each licensee shall be responsible for the continuing effectiveness of the security program. Each licensee shall ensure that the security program is reviewed to confirm compliance with the requirements of this subpart and that comprehensive actions are taken to correct any noncompliance that is identified. The review must include the radioactive material security program content and implementation. Each licensee shall periodically (at least annually) review the security program content and implementation. (b) The results of the review, along with any recommendations, must be documented. Each review report must identify conditions that are adverse to the proper performance of the security program, the cause of the condition(s), and, when appropriate, recommend corrective actions, and corrective actions taken. The licensee shall review the findings and take any additional corrective actions necessary to preclude repetition of the condition, including reassessment of the deficient areas where indicated. (c) The licensee shall maintain the review documentation for 3 years.

New Requirement 

§ 37.57 Reporting of events.(a) The licensee shall immediately notify the LLEA after determining that an unauthorized entry resulted in an actual or attempted theft, 

IC. 2.d. - After initiating appropriate response theft, sabotage, or diversion of radioactive mthe licensee shall, as promptly as possible, n
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sabotage, or diversion of a category 1 or category 2 quantity of radioactive material. As soon as possible after initiating a response, but not at the expense of causing delay or interfering with the LLEA response to the event, the licensee shall notify the NRC Operations Center ((301) 816-5100). In no case shall the notification to the NRC be later than 4 hours after the discovery of any attempted or actual theft, sabotage, or diversion. 

Center at (301) 816-5100. PU 3. E. - [This paragraph contains SAFEGUand will not be publicly disclosed.] This requnotification. MD 3. c. - [This paragraph contains SAFEGUand will not be publicly disclosed.] This requnotification. Difference: No substantive difference betw

§ 37.57 Reporting of events.(b) The licensee shall assess any suspicious activity related to possible theft, sabotage, or diversion of category 1 or category 2 quantities of radioactive material and notify the LLEA as appropriate. As soon as possible but not later than 4 hours after notifying the LLEA, the licensee shall notify the NRC Operations Center ((301) 816-5100). 

New Requirement 

§ 37.57 Reporting of events.(c) The initial telephonic notification required by paragraph (a) of this section must be followed within a period of 30 days by a written report submitted to the NRC by an appropriate method listed in § 37.7. The report must include sufficient information for NRC analysis and evaluation, including identification of any necessary corrective actions to prevent future instances. 

IC 2.e. - The licensee shall maintain documeinstance of unauthorized access and any neto prevent future instances of unauthorized aDifference: No substantive difference betw

Subpart D 

– Physical Protection in Transit

§ 37.71 Additional requirements for transfer of category 1 and category 2 quantities of radioactive material. A licensee transferring a category 1 or category 2 quantity of radioactive material to a licensee of the Commission or an Agreement State shall meet the license verification provisions listed 

RQ B. 1. Licensee Verification Before transfer of radioactive materials in qucriterion of Paragraph A.1, per conveyance, 
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below instead of those listed in § 30.41(d) of this chapter: (a) Any licensee transferring category 1 quantities of radioactive material to a licensee of the Commission or an Agreement State, prior to conducting such transfer, shall verify with the NRC’s license verification system or the license issuing authority that the transferee’s license authorizes the receipt of the type, form, and quantity of radioactive material to be transferred and that the licensee is authorized to receive radioactive material at the location requested for delivery. If the verification is conducted by contacting the license issuing authority, the transferor shall document the verification. For transfers within the same organization, the licensee does not need to verify the transfer. (b) Any licensee transferring category 2 quantities of radioactive material to a licensee of the Commission or an Agreement State, prior to conducting such transfer, shall verify with the NRC’s license verification system or the license issuing authority that the transferee’s license authorizes the receipt of the type, form, and quantity of radioactive material to be transferred. If the verification is conducted by contacting the license issuing authority, the transferor shall document the verification. For transfers within the same organization, the licensee does not need to verify the transfer. (c) In an emergency where the licensee cannot reach the license issuing authority and the license verification system is nonfunctional, the licensee may accept a written certification by the transferee that it is authorized by license to receive the type, form, and quantity of radioactive material to be transferred. The certification must include the license number, current revision number, issuing agency, expiration date, and for a category 1 shipment the authorized address. The licensee shall keep a copy of the certification. The certification must be confirmed by use of the NRC’s license verification system or by contacting the license issuing authority by the end of the next business day. (d) The transferor shall keep a copy of the verification documentation as a record for 3 years. 

a. For new recipient(s), verify that the intendauthorizes receipt of the regulated material bregulatory authority that issued the license (NState) prior to transferring the material, b. Verify the validity of unusual orders or chadepart from historical patterns of ordering by c. Verify the material is shipped to an addreand that the address is valid, d. Verify the address for a delivery to a tempe. Document the verification and validation pf. Coordinate departure and arrival times with MD 6. - Before transfer of radioactive materiquantities in Table 1, Licensees shall: a. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement verification. b. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement c. - Assure that the material is shipped to an license and that the address is valid, d. - Verify the address for deliveries to tempoe. - Document the verification or validation pDifference: The rule includes use of the liceThe rule also requires verification for each sh
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new recipients and unusual orders. 

§ 37.73 Applicability of physical protection of category 1 and category 2 quantities of radioactive material during transit. (a) For shipments of category 1 quantities of radioactive material, each shipping licensee shall comply with the requirements for physical protection contained in §§ 37.75(a) and (e); 37.77; 37.79(a)(1), (b)(1), and (c); and 37.81(a), (c), (e), (g) and (h). (b) For shipments of category 2 quantities of radioactive material, each shipping licensee shall comply with the requirements for physical protection contained in §§ 37.75(b) through (e); 37.79(a)(2), (a)(3), (b)(2), and (c); and 37.81(b), (d), (f), (g), and (h). For those shipments of category 2 quantities of radioactive material that meet the criteria of § 71.97(b) of this chapter, the shipping licensee shall also comply with the advance notification provisions of § 71.97 of this chapter. 

RQ A. 8. - The requirements of these ASMs shipments within the United States (U.S.), imexports from the U.S. The requirements of ttransshipments through the U.S. Licensees complying with the requirements of Section B shipment portion of an import or export whicU.S... RQ A.4. - The requirements of these ASMs oshipments using highway or rail modes of tramode shipments, the requirements of these portion of shipments that are made using higtransportation, as appropriate. Difference: No substantive difference betw

§ 37.73 Applicability of physical protection of category 1 and category 2 quantities of radioactive material during transit. (c) The shipping licensee shall be responsible for meeting the requirements of this subpart unless the receiving licensee has agreed in writing to arrange for the in-transit physical protection required under this subpart. 

IC 3.C. - If a licensee employs an M&D licenthe licensee’s location of the licensed radioaunder its M&D license, the requirements of 3apply. Difference: No substantive difference betw

§ 37.73 Applicability of physical protection of category 1 and category 2 quantities of radioactive material during transit. (d) Each licensee that imports or exports category 1 quantities of radioactive material shall comply with the requirements for physical protection during transit contained in §§ 37.75(a)(2) and (e); 37.77; 37.79(a)(1), (b)(1), and (c); and 37.81(a), (c), (e), (g), and (h) for the domestic portion of the shipment.  (e) Each licensee that imports or exports category 2 quantities of radioactive material shall comply with the requirements for physical protection during transit contained in §§ 37.79(a)(2), (a)(3), and (b)(2); and 37.81(b), (d), (f), (g), and (h) for the domestic portion of 

RQ A. 8. - ...For import and export RAMQC the port or shipments on U.S. navigable wateGuard Maritime Transportation security reguthese ASMs are not applicable. For RAMQC at the air freight terminal, security requiremeaccordance with the Transportation Security regulations. For import and export RAMQC shipments, ththat the requirements of these ASMs are imptransportation package has been loaded ontvehicle (except for the advance notification r
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the shipment. and the package begins the domestic portion 

the U.S. port of entry [i.e., the package(s) deentry facility or the airfreight terminal]. MD 8. - For imports and exports of material ithe quantities in Table 1, per conveyance, threquirements in the Final Rule 10 CFR Part 37985 and 46066) Export and Import of RadPolicies. Difference: No substantive difference betw

§ 37.75 Preplanning and coordination of shipment of category 1 or category 2 quantities of radioactive material. (a) Each licensee that plans to transport, or deliver to a carrier for transport, licensed material that is a category 1 quantity of radioactive material outside the confines of the licensee’s facility or other place of use or storage shall: (1) Preplan and coordinate shipment arrival and departure times with the receiving licensee; (2) Preplan and coordinate shipment information with the governor or the governor’s designee of any State through which the shipment will pass to: (i) Discuss the State’s intention to provide law enforcement escorts; and (ii) Identify safe havens; and (3) Document the preplanning and coordination activities.

RQ B. 1. f. Coordinate departure and arrival RQ B. 3. - Preplanning and Coordination a. - As part of the shipment planning processthat appropriate security information is providwith affected States through which the shipmminimal delays. These discussions shall incintends to provide escorts for a shipment. b. - The licensee shall ensure States are proinformation on a shipment (see Paragraph Bpractical. c. - For shipments by highway, the licenseesParagraph B.3.a. shall include identification Controlled Quantity (HRCQ) shipments of mMD 7. b. - Coordinate departure and arrival tDifference: The rule does not require licensinformation on a shipment. The rule also doidentification of HRCQ shipments. 

§ 37.75 Preplanning and coordination of shipment of category 1 IC 3.a.2. - Contact the recipient to coordinate 
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or category 2 quantities of radioactive material.(b) Each licensee that plans to transport, or deliver to a carrier for transport, licensed material that is a category 2 quantity of radioactive material outside the confines of the licensee’s facility or other place of use or storage shall coordinate the shipment no-laterthan arrival time and the expected shipment arrival with the receiving licensee. The licensee shall document the coordination activities. 

of the shipment; IC 3.d. - If the licensee is to receive radioactequal to the Table 1 quantities, per consignmcoordinate with the originator to: IC 3.d.1. - Establish an expected time of deliDifference: No substantive difference betw

§ 37.75 Preplanning and coordination of shipment of category 1 or category 2 quantities of radioactive material. (c) Each licensee who receives a shipment of a category 2 quantity of radioactive material shall confirm receipt of the shipment with the originator. If the shipment has not arrived by the no-later-than arrival time, the receiving licensee shall notify the originator. 

IC 3.a.3 - Confirm receipt of the shipment; IC 3.d.2. - Confirm receipt of transferred radimaterial is not received at the expected time originator and assist in any investigation. Difference: The rule requires the receiving shipping licensee if the shipment has not arrarrival time instead of the expected arrival tim

§ 37.75 Preplanning and coordination of shipment of category 1 or category 2 quantities of radioactive material. (d) Each licensee, who transports or plans to transport a shipment of a category 2 quantity of radioactive material, and determines that the shipment will arrive after the no-later-than arrival time provided pursuant to paragraph (b) of this section, shall promptly notify the receiving licensee of the new no-later-than arrival time. 

New Requirement 

§ 37.75 Preplanning and coordination of shipment of category 1 or category 2 quantities of radioactive material. (e) The licensee shall retain a copy of the documentation for preplanning and coordination and any revision thereof, as a record for 3 years. 

IC 5.d. - The licensee shall retain documentacoordination, notifications, and investigations shipment or investigation is completed. Difference: No substantive difference betw

§ 37.77 Advance notification of shipment of category 1 quantities of radioactive material. 

RQ B. 4. - Notifications a. - The licensee shall ensure an advance no
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As specified in paragraphs (a) and (b) of this section, each licensee shall provide advance notification to the NRC and the governor of a State, or the governor’s designee, of the shipment of licensed material in a category 1 quantity, through or across the boundary of the State, before the transport, or delivery to a carrier for transport of the licensed material outside the confines of the licensee’s facility or other place of use or storage. (a) Procedures for submitting advance notification. (1) The 

notification must be made to the NRC and to the office of each appropriate governor or governor's designee. The contact information, including telephone and mailing addresses, of governors and governors’ designees, is available on the NRC website at http://nrc-stp.ornl.gov/special/designee.pdf. A list of the contact 

information is also available upon request from the Director, Division of Intergovernmental Liaison and Rulemaking, Office of Federal and State Materials and Environmental Management Programs, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Notifications to the NRC must be to the NRC’s Director, Division of Security Policy, Office of Nuclear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555. The notification to the NRC may be made by e-mail to RAMQC_SHIPMENTS@nrc.gov or by fax to (301) 816-5151. 

(2) A notification delivered by mail must be postmarked at least 7 days before transport of the shipment commences at the shipping facility. (3) A notification delivered by any means other than mail must reach NRC at least 4 days before the transport of the shipment commences and must reach the office of the governor or the governor's designee at least 4 days before transport of a shipment within or through the State. 

provided, or of a series of shipments, of RAMlicensee shall ensure the notification is submto ensure it is received by NRC at least sevepracticable, before the shipment commences For written notifications, the notice should be 2.390) U.S. Nuclear Regulatory Commission ATTN: Director, Division of Nuclear Security M/S: T-4-D-8 Office of Nuclear Security and Incident Resp11555 Rockville Pike Rockville, MD 20852-2738 Notifications may also be submitted electronRAMQC_SHIPMENTS@nrc.gov or via fax to 

2.390) RQ B. 4. c. - The licensee shall ensure the inParagraph B.4.b. is provided to each State twill pass. The licensee shall ensure that the least seven (7) days, where practicable, beforailroad portion of a shipment commences. Difference: No substantive difference betwNote that for Agreement State licensees, the provided to the State and not the NRC, the Sthe information to the NRC. 

§ 37.77 Advance notification of shipment of category 1 RQ B. 4. b. - The advance notification shall c
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quantities of radioactive material. (b) Information to be furnished in advance notification of shipment. Each advance notification of shipment of category 1 quantities of radioactive material must contain the following information, if available at the time of notification: (1) The name, address, and telephone number of the shipper, carrier, and receiver of the category 1 radioactive material; (2) The license numbers of the shipper and receiver; (3) A description of the radioactive material contained in the shipment, including the radionuclides and quantity; (4) The point of origin of the shipment and the estimated time and date that shipment will commence; (5) The estimated time and date that the shipment is expected to enter each State along the route; (6) The estimated time and date of arrival of the shipment at the destination; and (7) A point of contact, with a telephone number, for current shipment information. 

information: (1) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement requirements. (2) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement requirements. (3) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement routes. (4) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement requirements. (5) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement requirements. (6) [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement requirements. (7) - [This paragraph contains SAFEGUARDnot be publicly disclosed.] This requirement Refer to Paragraph B.7.c. for determination oof advance notifications during preplanning, information activities. Difference: No substantive difference betw

§ 37.77 Advance notification of shipment of category 1 RQ B. 4. d. - [This paragraph contains SAFE
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quantities of radioactive material. c) Revision notice. 

(1) The licensee shall provide any information not previously available at the time of the initial notification, as soon as the information becomes available but not later than commencement of the shipment, to the governor of the State or the governor’s designee and to the NRC’s Director of Nuclear Security, Office of Nuclear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555.

(2) A licensee shall promptly notify the governor of the State or the governor’s designee of any changes to the information provided in accordance with paragraphs (b) and (c)(1) of this section. The licensee shall also immediately notify the NRC’s Director, Division of Security Policy, Office of Nuclear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555 of any such changes. 

and will not be publicly disclosed.] Difference: No substantive difference betw

§ 37.77 Advance notification of shipment of category 1 quantities of radioactive material. (d) Cancellation notice. Each licensee who cancels a shipment for 

which advance notification has been sent shall send a cancellation notice to the governor of each State or to the governor’s designee previously notified and to the NRC’s Director, Division of Security Policy, Office of Nuclear Security and Incident Response. The licensee shall send the cancellation notice before the shipment would have commenced or as soon thereafter as possible. The licensee shall state in the notice that it is a cancellation and identify the advance notification that is being cancelled. 

New Requirement 

§ 37.77 Advance notification of shipment of category 1 quantities of radioactive material. (e) Records. The licensee shall retain a copy of the advance 

notification and any revision and cancellation notices as a record for 3 years.

The orders require most records to be maintDifference: No substantive difference betw

§ 37.77 Advance notification of shipment of category 1 MD 9. - The licensee shall protect pre-planni
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quantities of radioactive material. (f) Protection of information. State officials, State employees, and 

other individuals, whether or not licensees of the Commission or an Agreement State, who receive schedule information of the kind specified in § 37.77(b) shall protect that information against unauthorized disclosure as specified in § 73.21 of this chapter. 

reporting information required by ASM 7 relaradioactive material, and the radioisotopes idsensitive information (proprietary business fiLicensees shall restrict access to this informcontractor personnel with a need to know. Lparties receiving this information to protect it be transmitted either in writing or electronicaASecurity-Related Information - Withhold UnDifference: The information is considered Sthe current regulations. 

§ 37.79 Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment. (a) Shipments by road. 

(1) Each licensee who transports, or delivers to a carrier for transport, in a single shipment, a category 1 quantity of radioactive material shall: (i) Ensure that movement control centers are established that maintain position information from a remote location. These control centers must monitor shipments 24 hours a day, 7 days a week, and have the ability to communicate immediately, in an emergency, with the appropriate law enforcement agencies. (ii) Ensure that redundant communications are established that allow the transport to contact the escort vehicle (when used) and movement control center at all times. Redundant communications may not be subject to the same interference factors as the primary communication. (iii) Ensure that shipments are continuously and actively monitored by a telemetric position monitoring system or an alternative tracking system reporting to a movement control center. A movement control center must provide positive confirmation of the location, status, and control over the shipment. The movement control center must be prepared to promptly implement preplanned procedures in response 

RQ B. - Specific Requirements

Licensees who ship RAMQC in quantities thParagraph A.1. shall ensure that carriers useimplemented transportation security plans thsecurity measures imposed by this Order. RQ A. 2. - The requirements of these ASMs (i.e., the requirements apply irrespective of wshipped in a single package or in multiple paconveyance). RQ B. 5.- Communications a. (1) For highway shipments, monitor each telemetric position monitoring system that cocommunication center or is equipped with an system that communicates position informatcenter. RQ B. 5. b. (1) - For highway shipments, procenter that has the capability to continuously progress shipments to ensure positive confirstatus, and control over the shipment and improcedures in response to deviations from th
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to deviations from the authorized route or a notification of actual, attempted, or suspicious activities related to the theft, loss, or diversion of a shipment. These procedures will include, but not be limited to, the identification of and contact information for the appropriate LLEA along the shipment route.(iv) Provide an individual to accompany the driver for those highway shipments with a driving time period greater than the maximum number of allowable hours of service in a 24-hour duty day as established by the Department of Transportation Federal Motor Carrier Safety Administration. The accompanying individual may be another driver. (v) Develop written normal and contingency procedures to address: (A) Notifications to the communication center and law enforcement agencies; (B) Communication protocols. Communication protocols must include a strategy for the use of authentication codes and duress codes and provisions for refueling or other stops, detours, and locations where communication is expected to be temporarily lost; (C) Loss of communications; and (D) Responses to an actual or attempted theft or diversion of a shipment. (vi) Each licensee who makes arrangements for the shipment of category 1 quantities of radioactive material shall ensure that drivers, accompanying personnel, and movement control center personnel have access to the normal and contingency procedures. 

notification of actual, attempted, or suspiciouloss, diversion, or radiological sabotage of a procedures shall include identification of the contact(s) along the shipment route. RQ B. 5. c. (1) - For highway shipments, enstelecommunication capability is available for escort vehicles allowing them to communicacommunications center, and with designated The communications center must be capable designated authorities along the shipment roRQ B. 5. d - A licensee may utilize a carrier ocommunications center in lieu of establishing commercial communications center must hanecessary procedures, training, and personninvestigations to meet the applicable requireRQ B. 5. e. (1) - For highway shipments, prothe transport and any escort vehicle to commcommunications center, using a diverse metsame interference factors as the primary capcompliance with Paragraph B.5.c. (e.g., two-telephone). RQ B. 6. - Drivers and Accompanying Individa. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement accompanying individual and his/her responb. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement accompanying individual. c. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement 
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the classification yard. d. - [This paragraph contains SAFEGUARDS not be publicly disclosed.] This requirement individuals for small quantities of irradiated fuRQ B. 7. - Procedures, Training, and Contro(1) - For highway shipments the licensee shacontingency procedures have been developenotifications, communications protocols, loss response to actual, attempted, or suspicious loss, diversion, or radiological sabotage of a protocols must include a strategy for use of acodes, provision for refueling or other stops, where communication is expected to be temRQ B. 7. b. (1) - For highway shipments, the personnel, including drivers, accompanying communication center managers, and other center personnel are trained in and understacontingency procedures. MD 7. d. - In addition to a and b above, for hof material in quantities greater than or equaquantities in Table 1, per conveyance, the licNRC Order for Additional Security Measures Radioactive Material Quantities of Concern. Difference: The rule does not require trainirequiring the individuals to have access to th

§ 37.79 Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment. (a) Shipments by road. 

(2) Each licensee that transports category 2 quantities of radioactive 

IC 3.a., MD 7., RQ A. 5. - In order to ensure control of licensed material in transportation rail shipments by a carrier other than the liceequal or exceed those in Table 1 but are les
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material shall maintain constant control and/or surveillance during transit and have the capability for immediate communication to summon appropriate response or assistance. (a) Shipments by road. 

(3) Each licensee who delivers to a carrier for transport, in a single shipment, a category 2 quantity of radioactive material shall: (i) Use carriers that have established package tracking systems. An established package tracking system is a documented, proven, and reliable system routinely used to transport objects of value. In order for a package tracking system to maintain constant control and/or surveillance, the package tracking system must allow the shipper or transporter to identify when and where the package was last and when it should arrive at the next point of control. (ii) Use carriers that maintain constant control and/or surveillance during transit and have the capability for immediate communication to summon appropriate response or assistance; and (iii) Use carriers that have established tracking systems that require an authorized signature prior to releasing the package for delivery or return. 

quantities, per consignment, the licensee shIC 3.a.1. - Use carriers which: IC 3.a.1.A. - Use package tracking systems, IC 3.a.1.B. - Implement methods to assure trreliability of drivers, IC 3.a.1.C. - Maintain constant control and/otransit, and IC 3.a.1.D. - Have the capability for immediasummon appropriate response or assistanceThe licensee shall verify and document that measures listed above. Note that the 3 orders are worded slightly difbasic requirements. Difference: The rule does not require that ttrustworthiness and reliability of drivers or doemploys the measures. 

§ 37.79 Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment. (b) Shipments by rail.  (1) Each licensee who transports, or delivers to a carrier for transport, in a single shipment, a category 1 quantity of radioactive material shall: (i) Ensure that rail shipments are monitored by a telemetric position monitoring system or an alternative tracking system reporting to the licensee, third-party, or railroad communications center. The communications center shall provide positive confirmation of the 

RQ B. 5. a. (2) - For rail shipments, monitor with either: (i) a telemetric position monitorincommunicates with a licensee or third-party a railroad track-side car location monitoring sthat relays a car's position to a railroad commcan provide position information to any sepacommunications center per Paragraph B.5.bmonitoring system. Additionally, licensees mcommunications center to monitor the rail poof using a separate communications center. RQ B. 5. b. (2) - For rail shipments, provide f
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location of the shipment and its status. The communications center shall implement preplanned procedures in response to deviations from the authorized route or to a notification of actual, attempted, or suspicious activities related to the theft or diversion of a shipment. These procedures will include, but not be limited to, the identification of and contact information for the appropriate LLEA along the shipment route. (ii) Ensure that periodic reports to the communications center are made at preset intervals. 

that has the capability to periodically monitor ensure positive confirmation of the location oimplement pre-planned procedures in responattempted, or suspicious activities related to radiological sabotage of a shipment. These identification of the designated LLEA contacroute. Licensees may use a railroad commuestablishing a separate communications cenRQ B. 5. c. (2) - For rail shipments, ensure thtelecommunication capability is available betcommunications center and between any escommunications center. The communicationof contacting the designated authorities alonRQ B. 5. e. (2) - For rail shipments, provide a train to talk with the communications center, subject to the same interference factors as tselected for compliance with Paragraph B.5.portable telephone). RQ B. 7.(2) - For rail shipments, the licensee and contingency procedures have been deveexample: notifications, communications protocommunications, and response to actual, attactivities related to theft, loss, diversion, or rshipment. Communication protocols must inauthentication and duress codes, provision fwhere communication is expected to be temRQ B.7, (b) (2) - For rail shipments, the licenpersonnel, including the appropriate train creresponsible railroad communication center mappropriate railroad communication center punderstand the normal and contingency procDifference: The rule does not require proce
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railroad will have its own training and proced

§ 37.79 Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment. (b) Shipments by rail. (2) Each licensee who transports, or delivers to a carrier for transport, in a single shipment, a category 2 quantity of radioactive material shall: (i) Use carriers that have established package tracking systems. An established package tracking system is a documented, proven, and reliable system routinely used to transport objects of value. In order for a package tracking system to maintain constant control and/or surveillance, the package tracking system must allow the shipper or transporter to identify when and where the package was last and when it should arrive at the next point of control. (ii) Use carriers that maintain constant control and/or surveillance during transit and have the capability for immediate communication to summon appropriate response or assistance; and (iii) Use carriers that have established tracking systems that require an authorized signature prior to releasing the package for delivery or return. 

IC 3.a., MD 7., RQ A. 5. - In order to ensure control of licensed material in transportation rail shipments by a carrier other than the liceequal or exceed those in Table 1 but are lesquantities, per consignment, the licensee shIC 3.a.1. - Use carriers which: IC 3.a.1.A. - Use package tracking systems, IC 3.a.1.B. - Implement methods to assure trreliability of drivers, IC 3.a.1.C. - Maintain constant control and/otransit, and IC 3.a.1.D. - Have the capability for immediasummon appropriate response or assistanceThe licensee shall verify and document that measures listed above. Note that the 3 orders are worded slightly difbasic requirements. Difference: The rule does not require that ttrustworthiness and reliability of drivers or doemploys the measures. 

§ 37.79 Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment. (c) Investigations. Each licensee who makes arrangements for the 

IC 3.a.4. - Initiate an investigation to determlicensed material if the shipment does not arexpected arrival time. ... 
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shipment of category 1 quantities of radioactive material shall immediately conduct an investigation upon the discovery that a category 1 shipment is lost or missing. Each licensee who makes arrangements for the shipment of category 2 quantities of radioactive material shall immediately conduct an investigation, in coordination with the receiving licensee, of any shipment that has not arrived by the designated no-later-than arrival time. 

MD 7. c. - Immediately initiate an investigatiointended recipient If the shipment does not aon the day of the previously coordinated arrivDifference: The rule requires the investigatdoes not arrive by the no-later-than arrival timarrival time. For category 1 shipments, the idetermined that the material is lost or missin

§ 37.81 Reporting of events. (a) The shipping licensee shall notify the appropriate LLEA and the NRC Operations Center ((301) 816-5100) within 1 hour of its determination that a shipment of category 1 quantities of radioactive material is lost or missing. The appropriate LLEA would be the law enforcement agency in the area of the shipment’s last confirmed location. During the investigation required by § 37.79(c), the shipping licensee will provide agreed upon updates to the NRC Operations Center on the status of the investigation. 

RQ B. 5. f. - [This paragraph contains SAFEand will not be publicly disclosed.] This requnotifications. RQ B. 5. f.(1) - Not later than one hour after course of the investigation, it is determined tstolen, the licensee shall ensure the appropragency, the NRC Operations Center at (301appropriate Agreement State regulatory age(2) - If after 24 hours of initiating the investigmaterial cannot be located, licensee shall enCenter and, for Agreement State licensees, State regulatory agency are immediately notMD 7. c. - Immediately initiate an investigatiointended recipient If the shipment does not aon the day of the previously coordinated arrivhour after the time when, through the course determined the shipment has become lost or notify the appropriate local law enforcement Operations Center at (301) 816-5100, and thState regulatory agency. If after 24 hours of the radioactive material cannot be located, it and the licensee shall immediately notify the and, for Agreement State licensees, the appregulatory agency. 
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RQ B. 5. g. - [This paragraph contains SAFEand will not be publicly disclosed.] This requnotification. Difference: No substantive difference betwe

§ 37.81 Reporting of events. (b) The shipping licensee shall notify the NRC Operations Center ((301) 816-5100) within 4 hours of its determination that a shipment of category 2 quantities of radioactive material is lost or missing. If, after 24 hours of its determination that the shipment is lost or missing, the radioactive material has not been located and secured, the licensee shall immediately notify the NRC Operations Center. 

IC 3.a.4. - ... When, through the course of thdetermined the shipment has become lost, slicensee shall immediately notify the NRC O816-5100. If, after 24 hours of investigating, still cannot be determined, the radioactive mmissing and the licensee shall immediately nCenter at (301) 816-5100. Difference: No substantive difference betw

§ 37.81 Reporting of events. (c) The shipping licensee shall notify the designated LLEA along the shipment route as soon as possible upon discovery of any actual or attempted theft or diversion of a shipment or suspicious activities related to the theft or diversion of a shipment of a category 1 quantity of radioactive material. As soon as possible after notifying the LLEA, the licensee shall notify the NRC Operations Center ((301) 816-5100) upon discovery of any actual or attempted theft or diversion of a shipment, or any suspicious activity related to the shipment of category 1 radioactive material. 

New Requirement 

§ 37.81 Reporting of events. (d) The shipping licensee shall notify the NRC Operations Center ((301) 816-5100) as soon as possible upon discovery of any actual or attempted theft or diversion of a shipment, or any suspicious activity related to the shipment, of a category 2 quantity of radioactive material. 

New Requirement 

§ 37.81 Reporting of events. (e) The shipping licensee shall notify the NRC Operations Center 

New Requirement 
 Page 69 of 81 

((301) 816-5100) and the LLEA as soon as possible upon recovery of any lost or missing category 1 quantities of radioactive material. § 37.81 Reporting of events. (f) The shipping licensee shall notify the NRC Operations Center ((301) 816-5100) as soon as possible upon recovery of any lost or missing category 2 quantities of radioactive material.

New Requirement 

§ 37.81 Reporting of events. (g) The initial telephonic notification required by paragraphs (a) through (d) of this section must be followed within a period of 30 days by a written report submitted to the NRC by an appropriate method listed in § 37.7. In addition, the licensee shall provide one copy of the written report addressed to the Director, Division of Security Policy, Office of Nuclear Security and Incident Response. The report must set forth the following information: (1) A description of the licensed material involved, including kind, quantity, and chemical and physical form; (2) A description of the circumstances under which the loss or theft occurred; (3) A statement of disposition, or probable disposition, of the licensed material involved; (4) Actions that have been taken, or will be taken, to recover the material; and (5) Procedures or measures that have been, or will be, adopted to ensure against a recurrence of the loss or theft of licensed material. 

New Requirement 

§ 37.81 Reporting of events. (h) Subsequent to filing the written report, the licensee shall also report any additional substantive information on the loss or theft within 30 days after the licensee learns of such information. 

New Requirement 

Subpart F 

– Records
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§ 37.101 Form of records.Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform, provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, and specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records. 

New Requirement 

§ 37.103 Record retention. Licensees shall maintain the records that are required by the regulations in this part for the period specified by the appropriate regulation. If a retention period is not otherwise specified, these records must be retained until the Commission terminates the facility’s license. All records related to this part may be destroyed upon Commission termination of the facility license. 

IC 5.e. - After the license is terminated or ampossession limits below the quantities of conretain all documentation required by these inyears. MD10. - The licensee shall maintain all docuthese ASMs for a period of not less than thredocument is superceded or no longer effectivPU, MD G. - Notwithstanding any provisions 

Agreement State=s regulations to the contrar

implemented or actions taken in response to maintained until the Commission determines Difference: The rule does not require recorthe license is terminated. 

Subpart G 

– Enforcement 
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§ 37.105 Inspections. (a) Each licensee ... stored. (b) Each licensee ... material. 

NA 

§ 37.107 Violations. (a) The Commission ... Acts. (b) The Commission ... amended. 

NA 

§ 37.109 Criminal penalties. (a) Section 223 ... section. (b) The regulations ... 37.109. 

NA 

Appendix A to Part 37—Category 1 and Category 2 Radioactive Materials Table 1 – Category 1 and Category 2 Threshold1 The terabecquerel (TBq) values are the regulatory standard. The curie (Ci) values specified are obtained by converting from the TBq value. The curie values are provided for practical usefulness only. 

Difference: The radioactive material and thhowever, the rule provides the curie value to 

PART 71--PACKAGING AND TRANSPORTATION OF RADIOACTIVE MATERIAL § 71.97 Advance notification of shipment of irradiated reactor fuel and nuclear waste. (b) Advance notification is also required under this section for the shipment of licensed material, other than irradiated fuel, meeting the following three conditions: 

NA 

PART 73—PHYSICAL PROTECTION OF PLANTS AND MATERIALS § 73.35 Requirements for physical protection of irradiated 

New Requirement 
 Page 72 of 81 

reactor fuel (100 grams or less) in transit.Each licensee who transports, or delivers to a carrier for transport, in a single shipment, a quantity of irradiated reactor fuel weighing 100 grams (0.22 pounds) or less in net weight of irradiated fuel, exclusive of cladding or other structural or packaging material, which has a total external radiation dose rate in excess of 1 sievert (100 rem) per hour at a distance of 91 meters (3 feet) from any accessible surface without intervening shielding, shall follow the physical protection requirements for category 1 quantities of radioactive material in Subpart D of Part 37 of this chapter. 

Rule Provision Order Condition

This provision was not included in the rule because the licensee is required to use a carrier (or implement itself) and the staff did not believe that the documentation for this was essential. 

IC 5.c. - The licensee shall retain documentamaterial carrier for three years after the licenthat particular carrier. 

This provision was not included in the rule because it was felt that the FBI would take some action if there was fingerprint match with the Terrorist Screening Data Base and would not need to be notified by the NRC. 

IC FP - A.5. - Licensees shall notify the NRCOperations Office at 301-816-5100 within 24 FBI identification and criminal history records individual is identified on the FBI’s Terrorist S

This provision was not included in the rule because the provision provides the rationale for the preplanning and not an actual requirement. 

RQ A. 6. - The preplanning, coordination, anthese ASMs are intended to reduce unnecesduration and to facilitate the transfer of the Rescorts at State borders. 

This provision was not included in the rule because the provision was not necessary as Part 37 only applies to licensees. 

RQ 7. - Unless specifically noted otherwise, ASMs do not apply to local law enforcement personnel performing escort duties. 

This provision was not included in the rule because the requirements for SGI-M were addressed in a previous rulemaking. The 

RQ B. 7. c. - Information to be protected as SModified Handling, shall include, but is not lim
 Page 73 of 81 

requirements are located at §§ 73.21-23. (1) - Integrated transportation physical secur

(2) - Schedules and itineraries for shipmentsnot inherently self disclosing, schedule and ibe decontrolled 2 days after a shipment is cothat are inherently self disclosing, schedule mnecessary after departure. (3) - Details of alarm and communications syprotocols and duress codes, and security coprocedures. (4) - Arrangements with designated LLEA (i.and/or local police departments) and informaintends to provide armed escorts for a shipmFor preplanning; coordinating, for example w

and carriers; reporting information as describrelated to shipments of radioactive material, identified in Paragraph A.1, the licensee shaprotected at least as sensitive information (fobusiness financial information). Licensees srestricted to this information to those licensewith a need to know. Licensees shall ensure information protect it similarly. Information mwriting or electronically and shall be marked 

Not for Public Disclosure.@

This provision was not included in the rule because it is not a requirement for licensees. 

RQ A. 3. - Licensees are not responsible for requirements of these ASMs if a carrier aggrstorage incident to transport, radioactive matconveyances from separate licensees which the limits of Paragraph A.1. but which togeththe criteria in Paragraph A.1. 

The remaining provisions are no longer applicable as these were things the licensee was to accomplish shortly after receiving the 

IC 3.b. - For domestic highway and rail shipmlicensed radioactive material that exceeds 10
 Page 74 of 81 

orders. The rule requirements will have to be implemented once the final rule is effective. NA 

Table 1 per consignment, the licensee shall: 1. - Notify the NRC, in writing, at least 90 dadate of shipment. The NRC will issue the OrAdditional Security Measures (ASMs) for the Radioactive Material Quantities of Concern (shall not ship this material until the ASMs for QC are implemented or the licensee is notifieNRC. 2. - Once the licensee has implemented the of RAM QC, the notification requirements of future shipments of licensed radioactive mattimes the Table 1 quantities. The licensee sfor the transportation of RAM QC. 

NA IC - A. The Licensee shall comply with the re

Attachment B to this Order. The Licensee shimplementation by May 13, 2006, or the first concern at or above threshold limits, identifiepossessed, whichever occurs later. 

NA IC - B.1. - The Licensee shall in writing, with

the date of this Order, notify the Commissioncomply with any of the requirements describcompliance with any of the requirements is ucircumstances, or (3) if implementation of anwould cause the Licensee to be in violation oCommission regulation or its license. The noLicensee’s justification for seeking relief from requirement. 

NA IC - C.1. - The Licensee shall, within twenty 

of this Order, submit to the Commission a sceach requirement described in Attachment BICO - C.2. - The Licensee shall report to the 
 Page 75 of 81 

have achieved full compliance with the requiAttachment B. 

NA IC - D. - Notwithstanding any provisions of th

regulations to the contrary, all measures impin response to this Order shall be maintained modifies its regulations to reflect increased c

NA IC FP - A.3. - The Licensee shall, in writing, 

the date of this Order, notify the Commissioncomply with any of the requirements describAttachment 3 to this Order, (2) if compliance requirements is unnecessary in its specific cimplementation of any of the requirements wbe in violation of the provisions of any Commlicense. The notification shall provide the Licseeking relief from or variation of any specifiIC FP - A.4. - The Licensee shall complete improgram established in accordance with paraJune 2, 2008. In addition to the notifications above, the Licensee shall notify the Commis(25) days after they have achieved full comprequirements described in Attachment 3 to th2008, the Licensee is unable, due to circums

to complete implementation of this Order, the written request to the Commission explaining of time to implement the requirements. The Licensee’s justification for seeking more time requirements of this Order. 

NA IC FP - E. - The Licensee shall make determ

unescorted access for persons currently graJune 2, 2008, based upon the results of the identification and criminal history records cheallow any individual who currently has unescradioactive materials in accordance with the 
 Page 76 of 81 

have unescorted access, pending a decision June 2, 2008 no individual may have unescomaterials without a determination by the T&R fingerprinting, an FBI identification and crimiand a previous trustworthiness and reliability 

individual may have unescorted access to su

NA FP (MD, RQ, PU) - A. -All licensees identifie

Order shall comply with the following requireFP (MD, RQ, PU) - A.1. - The Licensee shalof the date of this Order, establish and maintprogram that meet the requirements of Attacunescorted access to radioactive materials tquantities listed in Attachment 3 to this OrdeFP (MD, RQ, PU) - A.2. - The Licensee shal(20) days of the date of this Order, notify, thand confirmation that compliance with the Oif it is unable to comply with any of the requirAttachment 2, or (3) if compliance with any ounnecessary in its specific circumstances. Tprovide the Licensee’s justification for seekinany specific requirement. 

NA FP (MD, RQ, PU) - D. - The Licensee may a

currently has u FP (MD, RQ, PU) nescorted materials, in accordance with the M&D Ordeunescorted access without being fingerprintethe reviewing official (based on fingerprintingrecords check, and a trustworthy and reliabilindividual may continue to have unescorted materials that equal or exceed the quantities this Order. The licensee shall complete imprequirements of Attachment 2 to this Order b
 Page 77 of 81 

NA RQ Implementation Schedule

1. Licensees shall implement the requir180 days of the date of issuance of the Ordeshipment of RAMQC, whichever is sooner. 

 PU A. - The Licensees shall, notwithstanding 

Commission or Agreement State regulation ocomply with the requirements described in AOrder. The licensee shall immediately start requirements in Attachments 2 and 3 to the Oimplementation by November 18, 2007, or tthan 370 terabecquerels (10,000 curies) of bform of sealed sources is possessed, which 

NA PU A. 1. - The Licensee shall, within twenty 

this Order, notify the Commission, (1) if it is uof the requirements described in Attachmentwith any of the requirements is unnecessary circumstances, or (3) if implementation of anwould cause the Licensee to be in violation oCommission or Agreement State regulation onotification shall provide the Licensee=s justif

from or variation of any specific requirement2. - If the Licensee considers that implementrequirements described in Attachments 2 or adversely impact safe operation of the facilitythe Commission, within twenty (20) days of safety impact, the basis for its determination an adverse safety impact, and either a propoobjectives specified in the Attachments 2 or or a schedule for modifying the facility to addcondition. If neither approach is appropriatesupplement its response to Condition B.1 of condition as a requirement with which it cann
 Page 78 of 81 

justifications as required in Condition B.1. 

NA PU E. - The Licensee may allow any individu

unescorted access to the panoramic or undesources, in accordance with this Order, to coaccess without being fingerprinted, pending official (based on fingerprinting, an FBI crimiand a trustworthy and reliability determinatiocontinue to have unescorted access to the pirradiator sealed sources. The licensee shalof the requirements of Attachments 2 and 3 t

18, 2007. 

NA PU F. 1. - The Licensee shall, within twenty 

this Order, submit to the Commission a scherequirement described in Attachments 2 and 2) - The Licensee shall report to the Commisachieved full compliance with the requiremeAttachments 2 and 3. 

NA MD A. - The Licensee shall, notwithstanding 

Commission or Agreement State regulation ocomply with the requirements described in AOrder. The Licensee shall immediately start requirements in Attachments 2 and 3 to the Oimplementation by November 18, 2007, or tradionuclides of concern at or above threshoradioactive material), also identified in Attachwhichever is later. 

NA MD B. 1. - The Licensee shall, within twenty 

this Order, notify the Commission, (1) if it is uof the requirements described in Attachmentwith any of the requirements is unnecessary circumstances, or (3) if implementation of anwould cause the Licensee to be in violation o
 Page 79 of 81 

Commission or Agreement State regulation onotification shall provide the Licensee=s justif

from or variation of any specific requirementa. - If the Licensee considers that implementrequirements described in Attachments 2 or adversely impact safe operation of the facilitythe Commission, within twenty (20) days of safety impact, the basis for its determination an adverse safety impact, and either a propoobjectives specified in Attachments 2 or 3 reschedule for modifying the facility to address condition. If neither approach is appropriatesupplement its response to Condition B.1 of condition as a requirement with which it cannjustifications as required in Condition B.1. 

NA MD E. - The Licensee may allow any individ

unescorted access to radioactive materials, Order, to continue to have unescorted accesfingerprinted, pending a decision by the reviefingerprinting, an FBI criminal history records and reliability determination) that the individuunescorted access to radioactive materials tquantities listed in Attachment 2. The licensimplementation of the requirements of AttachOrder by November 18, 2007.

NA MD F. 1. - The Licensee shall, within twenty 

this Order, submit to the Commission a scherequirement described in Attachments 2 and 2) - The Licensee shall report to the Commisachieved full compliance with the requiremeAttachments 2 and 3. 
 Page 80 of 81 

NA RQ A. - All Licensees shall, notwithstanding 

Commission or Agreement State regulation ocomply with the requirements described in AOrder. The Licensees shall immediately starequirements in Attachments B and C to the implementation by November 18, 2007, or b

radioactive material quantities of concern, wOrder supersedes the additional transportatiprescribed in Attachment 2, Section 7.d. of tDistributor Order issued January 12, 2004. 

NA RQ B. 1. - All Licensees shall, within twenty 

this Order, notify the Commission, (1) if they any of the requirements described in Attachmcompliance with any of the requirements is ucircumstances, or (3) if implementation of anwould cause the Licensee to be in violation oCommission or Agreement State regulation onotification shall provide the Licensees= justif

from or variation of any specific requirement2. - Any Licensee that considers that implemrequirements described in Attachments B or adversely impact the safe transport of radioaconcern must notify the Commission, within Order, of the adverse safety impact, the basthe requirement has an adverse safety impaachieving the same objectives specified in threquirement in question, or a schedule for maddress the adverse safety condition. If neitappropriate, the Licensee must supplement B.1 of this Order to identify the condition as a cannot comply, with attendant justifications aB.1. 

NA RQ E. - The Licensee may allow any individu
 Page 81 of 81 

unescorted access to radioactive materials, Order, to continue to have unescorted accesfingerprinted, pending a decision by the reviefingerprinting, an FBI criminal history records and reliability determination) that the individuunescorted access to radioactive materials tquantities listed in Attachment B to this Ordecomplete implementation of the requirementto this Order by November 18, 2007. 

NA RQ F. 1. - The Licensee shall, within twenty 

this Order, submit to the Commission a scherequirement described in Attachments B and  2) - The Licensee shall report to the Commachieved full compliance with the requiremeAttachments B and C. 

NA RQ G. - Notwithstanding any provisions of th

Agreement State=s regulations to the contrar

implemented or actions taken in response to maintained until the Commission determines