[Federal Register Volume 79, Number 224 (Thursday, November 20, 2014)]
[Notices]
[Pages 69136-69142]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-27515]


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NUCLEAR REGULATORY COMMISSION

[NRC-2014-0251; EA-14-156]


In the Matter of Issuance of a Non-Manufacturing and Distribution 
Service Provider Order

AGENCY: Nuclear Regulatory Commission.

ACTION: Order imposing trustworthiness and reliability requirements for 
unescorted access to certain radioactive material; issuance.

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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) issued an order 
imposing trustworthiness and reliability requirements for unescorted 
access to certain radioactive material by request of a service provider 
licensee that is not a manufacturer or distribution. The order was 
issued on October 2, 2014, and became effective immediately.

DATES: Effective Date: October 2, 2014.

ADDRESSES: Please refer to Docket ID NRC-2014-0251 when contacting the 
NRC about the availability of information regarding this document. You 
may obtain publicly-available information related to this action by the 
following methods:
    <bullet> Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2014-0251. Address 
questions about NRC dockets to Carol Gallagher; telephone: 301-287-
3422; email: <a href="/cdn-cgi/l/email-protection#d291b3a0bdbefc95b3bebeb3b5bab7a092bca0b1fcb5bda4"><span class="__cf_email__" data-cfemail="b7f4d6c5d8db99f0d6dbdbd6d0dfd2c5f7d9c5d499d0d8c1">[email protected]</span></a>. For questions about this Order, 
contact the individual listed in the FOR FURTHER INFORMATION CONTACT 
section of this document.
    <bullet> NRC's Agencywide Documents Access and Management System 
(ADAMS): You may access publicly available documents online in the NRC 
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the 
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS,

[[Page 69137]]

please contact the NRC's Public Document Room (PDR) reference staff at 
1-800-397-4209, 301-415-4737, or by email to <a href="/cdn-cgi/l/email-protection#d5a5b1a7fba7b0a6baa0a7b6b095bba7b6fbb2baa3"><span class="__cf_email__" data-cfemail="7e0e1a0c500c1b0d110b0c1d1b3e100c1d50191108">[email protected]</span></a>. The 
ADAMS accession number for each document referenced in this document 
(if that document is available in ADAMS) is provided the first time 
that a document is referenced.
    <bullet> NRC's PDR: You may examine and purchase copies of public 
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 
Rockville Pike, Rockville, Maryland 20852.

FOR FURTHER INFORMATION CONTACT: Michelle Killian, Office of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555-0001; telephone: 301-415-6711; email: 
<a href="/cdn-cgi/l/email-protection#ce83a7ada6aba2a2abe085a7a2a2a7afa08ea0bcade0a9a1b8"><span class="__cf_email__" data-cfemail="b1fcd8d2d9d4ddddd49ffad8ddddd8d0dff1dfc3d29fd6dec7">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION: The text of the Order is attached.

    Dated at Rockville, Maryland, this 13th day of November 2014.

    For the Nuclear Regulatory Commission.
Catherine Haney,
Director, Office of Nuclear Material Safety and Safeguards.

UNITED STATES NUCLEAR REGULATORY COMMISSION

EA-14-156

    In the Matter of Certain Licensees Requesting Unescorted Access 
to Radioactive Material

Order Imposing Trustworthiness and Reliability Requirements for 
Unescorted Access to Certain Radioactive Material (Effective 
Immediately)

I

    The licensee identified in Attachment 1 \1\ to this Order holds a 
license issued by the U.S. Nuclear Regulatory Commission (NRC) or an 
Agreement State, in accordance with the Atomic Energy Act (AEA) of 
1954, as amended. The license authorizes it to perform services on 
devices containing certain radioactive material for customers licensed 
by the NRC or an Agreement State to possess and use certain quantities 
of the radioactive materials listed in Attachment 2 to this Order. 
Commission regulations at 10 CFR 20.1801 or equivalent Agreement State 
regulations require licensees to secure, from unauthorized removal or 
access, licensed materials that are stored in controlled or 
unrestricted areas. Commission regulations at 10 CFR 20.1802 or 
equivalent Agreement State regulations require licensees to control and 
maintain constant surveillance of licensed material that is in a 
controlled or unrestricted area and that is not in storage.
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    \1\ Attachment 1 contains sensitive information and will not be 
released to the public.
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II

    Subsequent to the terrorist events of September 11, 2001, the NRC 
issued immediately effective Security Orders to NRC and Agreement State 
licensees under the Commission's authority to protect the common 
defense and security of the nation. The Orders required certain 
manufacturing and distribution (M&D) licensees to implement Additional 
Security Measures (ASMs) for the radioactive materials listed in 
Attachment 2 to this Order (the radionuclides of concern), to 
supplement the existing regulatory requirements. The ASMs included 
requirements for determining the trustworthiness and reliability of 
individuals that require unescorted access to the radionuclides of 
concern. Section 652 of the Energy Policy Act of 2005, which became law 
on August 8, 2005, amended Section 149 of the AEA to require 
fingerprinting and a Federal Bureau of Investigation (FBI) 
identification and criminal history records check for ``any individual 
who is permitted unescorted access to radioactive materials or other 
property subject to regulation by the Commission that the Commission 
determines to be of such significance to the public health and safety 
or the common defense and security as to warrant fingerprinting and 
background checks.'' Section 149 of the AEA also requires that ``all 
fingerprints obtained by an individual or entity shall be submitted to 
the Attorney General of the United States through the Commission for 
identification and a criminal history records check.'' Due to the 2005 
revision of the AEA, the trustworthiness and reliability requirements 
of the ASMs were updated and the M&D licensees were issued additional 
Orders imposing the new fingerprinting requirements.
    In late 2005, the NRC and the Agreement States began issuing 
Increased Controls (IC) Orders or other legally binding requirements to 
licensees who are authorized to possess the radionuclides of concern at 
IC licensee facilities. Paragraph IC 1.c, in Attachment B of the 
December 1, 2005, IC Order, ``Increased Controls for Licensees That 
Possess Sources Containing Radioactive Material Quantities of 
Concern,'' stated that ``service providers shall be escorted unless 
determined to be trustworthy and reliable by an NRC-required background 
investigation as an employee of a manufacturing and distribution 
licensee'' (70 FR 72130). Starting in December 2007, the NRC and the 
Agreement States began issuing additional Orders or other legally 
binding requirements to the IC licensees, imposing the new 
fingerprinting requirements. In the December 13, 2007, Fingerprinting 
Order, paragraph IC 1.c of the prior Order was superseded by the 
requirement that ``Service provider licensee employees shall be 
escorted unless determined to be trustworthy and reliable by an NRC-
required background investigation'' (72 FR 70901). However, the NRC did 
not require background investigations for non-M&D service provider 
licensees. Consequently, only service representatives of certain M&D 
licensees may be granted unescorted access to the radionuclides of 
concern at an IC licensee facility, even though non-M&D service 
provider licensees provide similar services and have the same degree of 
knowledge of the devices they service as M&D licensees. To maintain 
appropriate access control to the radionuclides of concern, and to 
allow M&D licensees and non-M&D service provider licensees to have the 
same level of access at customers' facilities, NRC is imposing 
trustworthiness and reliability requirements for unescorted access to 
the radionuclides of concern set forth in Table 1 of Attachment 2 of 
this Order. These requirements apply to non-M&D service provider 
licensees that request and have a need for unescorted access by their 
representatives to the radionuclides of concern at IC and part 37 
licensee facilities. These trustworthiness and reliability requirements 
are equivalent to the requirements for M&D licensees who perform 
services requiring unescorted access to the radionuclides of concern.
    In order to provide assurance that non-M&D service provider 
licensees are implementing prudent measures to achieve a consistent 
level of protection for service providers requiring unescorted access 
to the radionuclides of concern at IC and part 37 licensee facilities, 
the licensee identified in Attachment 1 to this Order shall implement 
the requirements of this Order. In addition, pursuant to 10 CFR 2.202, 
because of potentially significant adverse impacts associated with a 
deliberate malevolent act by an individual with unescorted access to 
the radionuclides of concern, I find that the public health, safety, 
and interest require this Order to be effective immediately.

III

    Accordingly, pursuant to Sections 81, 149, 161b, 161i, 161o, 182, 
and 186 of

[[Page 69138]]

the Atomic Energy Act of 1954, as amended, and the Commission's 
regulations in 10 CFR 2.202, 10 CFR parts 20, 30 and 33, IT IS HEREBY 
ORDERED, EFFECTIVE IMMEDIATELY, THAT THE LICENSEE IDENTIFIED IN 
ATTACHMENT 1 TO THIS ORDER COMPLY WITH THE REQUIREMENTS SET FORTH IN 
THIS ORDER.
    A.1. The licensee shall establish and maintain a fingerprinting 
program that meets the requirements of Attachment 3 to this Order for 
individuals that require unescorted access to the radionuclides of 
concern. The licensee shall complete implementation of the requirements 
of Attachment 3 to this Order within one hundred eighty (180) days of 
the date of this Order, or before providing written verification to 
another licensee subject to the IC or part 37 requirements, or 
attesting to or certifying the trustworthiness and reliability of a 
service provider for unescorted access to the radionuclides of concern 
at a customer's facility.
    A.2. Within ninety (90) days of the date of this Order, the 
licensee shall designate a ``Reviewing Official'' for determining 
unescorted access to the radioactive materials as listed in Attachment 
2 to this Order by other individuals. Before submittal of the 
individual's fingerprints to the NRC, the licensee must perform a 
trustworthiness and reliability review per the requirements in 
Attachment 3 of the Order. The licensee must verify the employment 
history, education, and personal references of the designated Reviewing 
Official for at least the past three (3) years. Additionally, the 
designated Reviewing Official must be authorized unescorted access to 
the radioactive materials listed in Attachment 2 to this Order as part 
of his or her job duties or have access to Safeguards Information. 
After this process, the licensee designates the Reviewing Official to 
NRC by submitting the individual's fingerprints and processing fee.
    A.3. Fingerprints for unescorted access need not be taken if a 
designated Reviewing Official is relieved from the fingerprinting 
requirement by 10 CFR 73.61, or has been favorably adjudicated by a 
U.S. Government program involving fingerprinting and a FBI 
identification and criminal history records check \2\ within the last 
five (5) years, or for any person who has an active federal security 
clearance (provided in the latter two cases that they make available 
the appropriate documentation \3\). The licensee may provide, for NRC 
review, written confirmation from the Agency/employer which granted the 
federal security clearance or reviewed the FBI identification and 
criminal history records results based upon a fingerprint 
identification check. The NRC will determine whether, based on the 
written confirmation, the designated Reviewing Official may have 
unescorted access to the radioactive materials listed in Attachment 2 
to this Order, and therefore, be permitted to serve as the licensee's 
Reviewing Official.\4\
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    \2\ Examples of such programs include (1) National Agency Check, 
(2) Transportation Worker Identification Credentials in accordance 
with 49 CFR part 1572, (3) Bureau of Alcohol Tobacco Firearms and 
Explosives background checks and clearances in accordance with 27 
CFR part 555, (4) Health and Human Services security risk 
assessments for possession and use of select agents and toxins in 
accordance with 42 CFR part 73, and (5) Hazardous Material security 
threat assessment for hazardous material endorsement to commercial 
drivers license in accordance with 49 CFR part 1572, Customs and 
Border Protection's Free and Secure Trade (FAST) Program. The FAST 
program is a cooperative effort between the Bureau of Customs and 
Border Protection and the governments of Canada and Mexico to 
coordinate processes for the clearance of commercial shipments at 
the U.S.-Canada and U.S.-Mexico borders. Participants in the FAST 
program, which requires successful completion of a background 
records check, may receive expedited entrance privileges at the 
northern and southern borders.
    \3\ This documentation must allow the NRC or NRC-approved 
Reviewing Official to verify that the individual has fulfilled the 
unescorted access requirements of Section 149 of the AEA by 
submitting to fingerprinting and a FBI identification and criminal 
history records check.
    \4\ The NRC's determination of this individual's unescorted 
access to the radionuclides of concern in accordance with the 
process described in Enclosure 4 to the transmittal letter of this 
Order is an administrative determination that is outside the scope 
of this Order.
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    A.4. A designated Reviewing Official may not review the results 
from the FBI identification and criminal history records checks or make 
unescorted access determinations until the NRC has approved the 
individual as the licensee's Reviewing Official.
    A.5. The NRC will determine whether this individual (or any 
subsequent Reviewing Official) may have unescorted access to the 
radionuclides of concern, and therefore, will be permitted to serve as 
the licensee's Reviewing Official. The NRC-approved Reviewing Official 
shall be the recipient of the results of the FBI identification and 
criminal history records check of the other licensee employees 
requiring unescorted access to the radioactive materials listed in 
Attachment 2 to this Order, and shall control such information as 
specified in the ``Protection of Information'' section of Attachment 3 
to this Order.
    A.6. The NRC-approved Reviewing Official shall determine whether an 
individual may have unescorted access to radioactive materials that 
equal or exceed the quantities in Attachment 2 to this Order, in 
accordance with the requirements described in Attachment 3 to this 
Order.
    B. Prior to requesting fingerprints from a licensee employee, a 
copy of this Order shall be provided to that person.
    C.1. The licensee shall, in writing, within twenty-five (25) days 
of the date of this Order, notify the Commission, (1) if it is unable 
to comply with any of the requirements described in this Order, 
including Attachment 3 to this Order, (2) if compliance with any of the 
requirements is unnecessary in its specific circumstances, or (3) if 
implementation of any of the requirements would cause the licensee to 
be in violation of the provisions of any Commission or Agreement State 
regulation or its license. The notification shall provide the 
licensee's justification for seeking relief from or variation of any 
specific requirement.
    C.2. The licensee shall complete implementation of the requirements 
of Attachment 3 to this Order within one hundred eighty (180) days of 
the date of this Order.
    C.3 The licensee shall report to the Commission when they have 
achieved full compliance with the requirements described in Attachment 
3 to this Order. The report shall be made within twenty-five (25) days 
after full compliance has been achieved.
    C.4. If during the implementation period of this Order, the 
licensee is unable, due to circumstances beyond its control, to meet 
the requirements of this Order by March 30, 2015, the licensee shall 
request, in writing, that the Commission grant an extension of time to 
implement the requirements. The request shall provide the licensee's 
justification for seeking additional time to comply with the 
requirements of this Order.
    C.5. Licensees shall notify the NRC's Headquarters Operations 
Office at 301-816-5100 within 24 hours if the results from a FBI 
identification and criminal history records check indicate that an 
individual is identified on the FBI's Terrorist Screening Data Base.
    Licensee responses to C.1, C.2., C.3., and C.4. above shall be 
submitted in writing to the Director, Office of Federal and State 
Materials and Environmental Management Programs, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555. Licensee responses shall 
be marked as ``Security-Related Information--Withhold Under 10 CFR 
2.390.''
    The Director, Office of Federal and State Materials and 
Environmental Management Programs, may, in writing,

[[Page 69139]]

relax or rescind any of the above conditions upon demonstration of good 
cause by the licensee.

IV

    In accordance with 10 CFR 2.202, the licensee must, and any other 
person adversely affected by this Order may, submit an answer to this 
Order within twenty-five (25) days of the date of this Order. In 
addition, the licensee and any other person adversely affected by this 
Order may request a hearing on this Order within twenty-five (25) days 
of the date of the Order. Where good cause is shown, consideration will 
be given to extending the time to request a hearing. A request for 
extension of time must be made, in writing, to the Director, Division 
of Materials Safety and State Agreements, Office of Federal and State 
Materials and Environmental Management Programs, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, and include a statement of 
good cause for the extension.
    The answer may consent to this Order. If the answer includes a 
request for a hearing, it shall, under oath or affirmation, 
specifically set forth the matters of fact and law on which the 
licensee relies and the reasons as to why the Order should not have 
been issued. If a person other than the licensee requests a hearing, 
that person shall set forth with particularity the manner in which his 
interest is adversely affected by this Order and shall address the 
criteria set forth in 10 CFR 2.309(d).
    A request for a hearing must be filed in accordance with the NRC E-
Filing rule, which became effective on October 15, 2007. The E-Filing 
Final Rule was issued on August 28, 2007 (72 FR 49139). The E-Filing 
process requires participants to submit and serve documents over the 
internet or, in some cases, to mail copies on electronic optical 
storage media. Participants may not submit paper copies of their 
filings unless they seek a waiver in accordance with the procedures 
described below.
    To comply with the procedural requirements associated with E-
Filing, at least five (5) days prior to the filing deadline the 
requestor must contact the Office of the Secretary by email at 
<a href="/cdn-cgi/l/email-protection#420a0703100b0c05060d01090716020c10016c050d14"><span class="__cf_email__" data-cfemail="ace4e9edfee5e2ebe8e3efe7e9f8ece2feef82ebe3fa">[email protected]</span></a>, or by calling (301) 415-1677, to request (1) a 
digital ID certificate, which allows the participant (or its counsel or 
representative) to digitally sign documents and access the E-Submittal 
server for any NRC proceeding in which it is participating; and/or (2) 
creation of an electronic docket for the proceeding (even in instances 
when the requestor (or its counsel or representative) already holds an 
NRC-issued digital ID certificate). Each requestor will need to 
download the Workplace Forms Viewer<SUP>TM</SUP> to access the 
Electronic Information Exchange (EIE), a component of the E-Filing 
system. The Workplace Forms Viewer<SUP>TM</SUP> is free and is 
available at http://www.nrc.gov/site-help/e-submittals/install-viewer.html. Information about applying for a digital ID certificate 
also is available on NRC's public Web site at http://www.nrc.gov/site-help/e-submittals/apply-certificates.html.
    Once a requestor has obtained a digital ID certificate, had a 
docket created, and downloaded the EIE viewer, it can then submit a 
request for a hearing through the EIE. Submissions should be in 
Portable Document Format (PDF) in accordance with NRC guidance 
available on the NRC public Web site at http://www.nrc.gov/site-help/e-submittals.html. A filing is considered complete at the time the filer 
submits its document through the EIE.
    To be timely, electronic filings must be submitted to the EIE 
system no later than 11:59 p.m. Eastern Time on the due date. Upon 
receipt of a transmission, the E-Filing system time-stamps the document 
and sends the submitter an email notice confirming receipt of the 
document. The EIE system also distributes an email notice that provides 
access to the document to the NRC Office of the General Counsel and any 
others who have advised the Office of the Secretary that they wish to 
participate in the proceeding, so that the filer need not serve the 
document on those participants separately. Therefore, any others who 
wish to participate in the proceeding (or their counsel or 
representative) must apply for and receive a digital ID certificate 
before a hearing request is filed so that they may obtain access to the 
document via the E-Filing system.
    A person filing electronically may seek assistance through the 
``Contact Us'' link located on the NRC Web site at http://www.nrc.gov/site-help/e-submittals.html or by calling the NRC technical help line, 
which is available between 8:00 a.m. and 8:00 p.m., Eastern Time, 
Monday through Friday. The help line number is (866) 672-7640.
    Participants who believe that they have good cause for not 
submitting documents electronically must, in accordance with 10 CFR 
2.302(g), file an exemption request with the initial paper filing 
showing good cause as to why the participant cannot file electronically 
and requesting authorization to continue to submit documents in paper 
format. Such filings must be submitted by (1) first class mail 
addressed to the Office of the Secretary of the Commission, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: 
Rulemaking and Adjudications Staff; or (2) courier, express mail, or 
expedited delivery service to the Office of the Secretary, Sixteenth 
Floor, One White Flint North, 11555 Rockville Pike, Rockville, 
Maryland, 20852, Attention: Rulemaking and Adjudications Staff. 
Participants filing a document in this manner are responsible for 
serving the document on all other participants. Filing is considered 
complete by first-class mail as of the time of deposit in the mail, or 
by courier, express mail, or expedited delivery service upon depositing 
the document with the provider of the service.
    Documents submitted in adjudicatory proceedings will appear in 
NRC's electronic hearing docket, which is available to the public at 
http://ehd1.nrc.gov/EHD/, unless excluded pursuant to an order of the 
Commission, an Atomic Safety and Licensing Board, or a Presiding 
Officer. Participants are requested not to include personal privacy 
information, such as social security numbers, home addresses, or home 
phone numbers in their filings. With respect to copyrighted works, 
except for limited excerpts that serve the purpose of the adjudicatory 
filings and would constitute a Fair Use application, participants are 
requested not to include copyrighted materials in their works.
    If a hearing is requested by the licensee or a person whose 
interest is adversely affected, the Commission will issue an Order 
designating the time and place of any hearing. If a hearing is held the 
issue to be considered at such hearing shall be whether this Order 
should be sustained.
    Pursuant to 10 CFR 2.202(c)(2)(i), the licensee may, in addition to 
requesting a hearing, at the time the answer is filed or sooner, move 
the presiding officer to set aside the immediate effectiveness of the 
Order on the ground that the Order, including the need for immediate 
effectiveness, is not based on adequate evidence but on mere suspicion, 
unfounded allegations, or error.
    In the absence of any request for hearing, or written approval of 
an extension of time in which to request a hearing, the provisions 
specified in Section III above shall be final twenty-five (25) days 
from the date of this Order without further order or proceedings. If an 
extension of time for requesting a hearing has been approved, the 
provisions specified in Section III shall be final when the extension 
expires if a hearing request has not been received.

[[Page 69140]]

    AN ANSWER OR A REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE 
EFFECTIVENESS OF THIS ORDER.

    Dated this 2nd day of October, 2014.

    For The Nuclear Regulatory Commission.

Brian E. Holian,

Acting Director, Office of Federal and State Materials and 
Environmental Management Programs.

Attachment 1: List of Applicable Materials Licensees

Redacted

Attachment 2: Table 1: Radionuclides of Concern

                    Table 1--Radionuclides of Concern
------------------------------------------------------------------------
                                         Quantity of       Quantity of
            Radionuclide                 concern \1\    concern \2\  (Ci
                                            (TBq)               )
------------------------------------------------------------------------
Am-241..............................               0.6                16
Am-241/Be...........................               0.6                16
Cf-252..............................               0.2               5.4
Cm-244..............................               0.5                14
Co-60...............................               0.3               8.1
Cs-137..............................                 1                27
Gd-153..............................                10               270
Ir-192..............................               0.8                22
Pm-147..............................               400            11,000
Pu-238..............................               0.6                16
Pu-239/Be...........................               0.6                16
Ra-226..............................               0.4                11
Se-75...............................                 2                54
Sr-90 (Y-90)........................                10               270
Tm-170..............................               200             5,400
Yb-169..............................                 3                81
Combinations of radioactive                      (\4\)  ................
 materials listed above \3\.........
------------------------------------------------------------------------
\1\ The aggregate activity of multiple, collocated sources of the same
  radionuclide should be included when the total activity equals or
  exceeds the quantity of concern.
\2\ The primary values used for compliance with this Order are
  Terabecquerels (TBq). The curie (Ci) values are rounded to two
  significant figures for informational purposes only.
\3\ Radioactive materials are to be considered aggregated or collocated
  if breaching a common physical security barrier (e.g., a locked door
  at the entrance to a storage room) would allow access to the
  radioactive material or devices containing the radioactive material.
\4\ If several radionuclides are aggregated, the sum of the ratios of
  the activity of each source, i, of radionuclide, n, A(i,n), to the
  quantity of concern for radionuclide n, Q(n), listed for that
  radionuclide equals or exceeds one. [(aggregated source activity for
  radionuclide A) / (quantity of concern for radionuclide A)] +
  [(aggregated source activity for radionuclide B) / (quantity of
  concern for radionuclide B)] + etc. . . . [gteqt]1

Guidance for Aggregation of Sources

    NRC supports the use of the International Atomic Energy 
Association's (IAEA) source categorization methodology as defined in 
IAEA Safety Standards Series No. RS-G-1.9, ``Categorization of 
Radioactive Sources,'' (2005) (see http://www-pub.iaea.org/MTCD/publications/PDF/Pub1227_web.pdf) and as endorsed by the agency's 
Code of Conduct for the Safety and Security of Radioactive Sources, 
January 2004 (see http://www-pub.iaea.org/MTCD/publications/PDF/Code-2004_web.pdf). The Code defines a three-tiered source 
categorization scheme. Category 1 corresponds to the largest source 
strength (equal to or greater than 100 times the quantity of concern 
values listed in Table 1.) and Category 3, the smallest (equal or 
exceeding one-tenth the quantity of concern values listed in Table 
1.). Additional security measures apply to sources that are equal to 
or greater than the quantity of concern values listed in Table 1, 
plus aggregations of smaller sources that are equal to or greater 
than the quantities in Table 1. Aggregation only applies to sources 
that are collocated.
    Licensees who possess individual sources in total quantities 
that equal or exceed the Table 1 quantities are required to 
implement additional security measures. Where there are many small 
(less than the quantity of concern values) collocated sources whose 
total aggregate activity equals or exceeds the Table 1 values, 
licensees are to implement additional security measures.
    Some source handling or storage activities may cover several 
buildings, or several locations within specific buildings. The 
question then becomes, ``When are sources considered collocated for 
purposes of aggregation?'' For purposes of the additional controls, 
sources are considered collocated if breaching a single barrier 
(e.g., a locked door at the entrance to a storage room) would allow 
access to the sources. Sources behind an outer barrier should be 
aggregated separately from those behind an inner barrier (e.g., a 
locked source safe inside the locked storage room). However, if both 
barriers are simultaneously open, then all sources within these two 
barriers are considered to be collocated. This logic should be 
continued for other barriers within or behind the inner barrier.
    The following example illustrates the point: A lockable room has 
sources stored in it. Inside the lockable room, there are two 
shielded safes with additional sources in them. Inventories are as 
follows:
    The room has the following sources outside the safes: Cf-252, 
0.12 TBq (3.2 Ci); Co-60, 0.18 TBq (4.9 Ci), and Pu-238, 0.3 TBq 
(8.1 Ci). Application of the unity rule yields: (0.12 / 0.2) + (0.18 
/ 0.3) + (0.3 / 0.6) = 0.6 + 0.6 + 0.5 = 1.7. Therefore, the sources 
would require additional security measures.
    Shielded safe #1 has a 1.9 TBq (51 Ci) Cs-137 source and a 0.8 
TBq (22 Ci) Am-241 source. In this case, the sources would require 
additional security measures, regardless of location, because they 
each exceed the quantities in Table 1.
    Shielded safe #2 has two Ir-192 sources, each having an activity 
of 0.3 TBq (8.1 Ci). In this case, the sources would not require 
additional security measures while locked in the safe. The combined 
activity does not exceed the threshold quantity 0.8 TBq (22 Ci).
    Because certain barriers may cease to exist during source 
handling operations (e.g., a storage location may be unlocked during 
periods of active source usage), licensees should, to the extent 
practicable, consider two modes of source usage--``operations'' 
(active source usage) and ``shutdown'' (source storage mode). 
Whichever mode results in the greatest inventory (considering 
barrier status) would require additional security measures for each 
location.
    Use the following method to determine which sources of 
radioactive material require implementation of the Additional 
Security Measures:
    <bullet> Include any single source equal to or greater than the 
quantity of concern in Table 1
    <bullet> Include multiple collocated sources of the same 
radionuclide when the combined quantity equals or exceeds the 
quantity of concern
    <bullet> For combinations of radionuclides, include multiple 
collocated sources of different radionuclides when the aggregate 
quantities satisfy the following unity rule:

[[Page 69141]]

[(amount of radionuclide A) / (quantity of concern of radionuclide 
A)] + [(amount of radionuclide B) / (quantity of concern of 
radionuclide B)] + etc. . . . [gteqt]1

Attachment 3: Requirements for Service Provider Licensees Providing 
Written Verification Attesting to or Certifying the Trustworthiness and 
Reliability of Service Providers for Unescorted Access to Certain 
Radioactive Material at Customer Facilities, Including Requirements for 
Fingerprinting and Criminal History Checks

A. General Requirements

    Licensees subject to the provisions of this Order shall comply 
with the requirements of this attachment. The term ``certain 
radioactive material'' means the radionuclides in quantities equal 
to or greater than the quantities listed in Attachment 2 to this 
Order.
    1. The Licensee shall provide the customer's facility written 
verification attesting to or certifying the trustworthiness and 
reliability of an individual as a service provider only for 
employees the Licensee has approved in writing (see requirement A.3 
below). The Licensee shall request unescorted access to certain 
radioactive material at customer licensee facilities only for 
approved service providers that require the unescorted access in 
order to perform a job duty.
    2. The trustworthiness, reliability, and true identity of a 
service provider shall be determined based on a background 
investigation. The background investigation shall address at least 
the past three (3) years, and as a minimum, include fingerprinting 
and a Federal Bureau of Investigation (FBI) criminal history records 
check as required in Section B, verification of employment history, 
education, and personal references. If a service provider's 
employment has been less than the required three (3) year period, 
educational references may be used in lieu of employment history.
    3. The Licensee shall document the basis for concluding that 
there is reasonable assurance that a service provider requiring 
unescorted access to certain radioactive material at a customer 
facility is trustworthy and reliable, and does not constitute an 
unreasonable risk for unauthorized use of the radioactive material. 
The Licensee shall maintain a list of service providers approved for 
unescorted access to certain radioactive material.
    4. The Licensee shall retain documentation regarding the 
trustworthiness and reliability of approved service providers for 
three years after the individual no longer requires unescorted 
access to certain radioactive material associated with the 
Licensee's activities.
    5. Each time the Licensee revises the list of approved service 
providers (see requirement 3 above), the Licensee shall retain the 
previous list for three (3) years after the revision.
    6. The Licensee shall provide to a customer written 
certification for each service provider for whom unescorted access 
to certain radioactive material at the customer's facility is 
required and requested. The written certification shall be dated and 
signed by the Reviewing Official. A new written certification is not 
required if an individual service provider returns to the customer 
facility within three years, provided the customer has retained the 
prior certification.

B. Specific Requirements Pertaining to Fingerprinting and Criminal 
History Records Checks

    1. The Licensee shall fingerprint each service provider to be 
approved for unescorted access to certain radioactive materials 
following the procedures outlined in Enclosure 3 of the transmittal 
letter. The Licensee shall review and use the information received 
from the FBI identification and criminal history records check and 
ensure that the provisions contained in the subject Order and this 
attachment are satisfied.
    2. The Licensee shall notify each affected individual that the 
fingerprints will be used to secure a review of his/her criminal 
history record and inform the individual of the procedures for 
revising the record or including an explanation in the record, as 
specified in the ``Right to Correct and Complete Information'' 
section of this attachment.
    3. Fingerprints for unescorted access need not be taken if an 
employed individual (e.g., a Licensee employee, contractor, 
manufacturer, or supplier) is relieved from the fingerprinting 
requirement by 10 CFR 73.61, or any person who has been favorably-
decided by a U.S. Government program involving fingerprinting and an 
FBI identification and criminal history records check (e.g., 
National Agency Check, Transportation Worker Identification 
Credentials in accordance with 49 CFR Part 1572, Bureau of Alcohol 
Tobacco Firearms and Explosives background checks and clearances in 
accordance with 27 CFR Part 555, Health and Human Services security 
risk assessments for possession and use of select agents and toxins 
in accordance with 42 CFR Part 73, Hazardous Material security 
threat assessment for hazardous material endorsement to commercial 
drivers license in accordance with 49 CFR Part 1572, Customs and 
Border Protection's Free and Secure Trade Program \5\) within the 
last five (5) years, or any person who has an active federal 
security clearance (provided in the latter two cases that they make 
available the appropriate documentation \6\). Written confirmation 
from the Agency/employer which granted the federal security 
clearance or reviewed the FBI criminal history records results based 
upon a fingerprint identification check must be provided. The 
Licensee must retain this documentation for a period of three (3) 
years from the date the individual no longer requires unescorted 
access to certain radioactive material associated with the 
Licensee's activities.
---------------------------------------------------------------------------

    \5\ The FAST program is a cooperative effort between the Bureau 
of Customs and Border Protection and the governments of Canada and 
Mexico to coordinate processes for the clearance of commercial 
shipments at the U.S.-Canada and U.S.-Mexico borders. Participants 
in the FAST program, which requires successful completion of a 
background records check, may receive expedited entrance privileges 
at the northern and southern borders.
    \6\ This documentation must allow the Reviewing Official to 
verify that the individual has fulfilled the unescorted access 
requirements of Section 149 of the AEA by submitting to 
fingerprinting and an FBI identification and criminal history 
records check.
---------------------------------------------------------------------------

    4. All fingerprints obtained by the Licensee pursuant to this 
Order must be submitted to the Commission for transmission to the 
FBI.
    5. The Licensee shall review the information received from the 
FBI and consider it, in conjunction with the trustworthiness and 
reliability requirements of Section A of this attachment, in making 
a determination whether to approve and certify the individual for 
unescorted access to certain radioactive materials.
    6. The Licensee shall use any information obtained as part of a 
criminal history records check solely for the purpose of determining 
an individual's suitability for unescorted access to certain 
radioactive materials.
    7. The Licensee shall document the basis for its determination 
whether to approve the individual for unescorted access to certain 
radioactive materials.

C. Prohibitions

    A Licensee shall not base a final determination to not provide 
certification for unescorted access to certain radioactive material 
for an individual solely on the basis of information received from 
the FBI involving: an arrest more than one (1) year old for which 
there is no information of the disposition of the case, or an arrest 
that resulted in dismissal of the charge or an acquittal.
    A Licensee shall not use information received from a criminal 
history check obtained pursuant to this Order in a manner that would 
infringe upon the rights of any individual under the First Amendment 
to the Constitution of the United States, nor shall the Licensee use 
the information in any way which would discriminate among 
individuals on the basis of race, religion, national origin, sex, or 
age.

D. Right To Correct and Complete Information

    Prior to any final adverse determination, the Licensee shall 
make available to the individual the contents of any criminal 
records obtained from the FBI for the purpose of assuring correct 
and complete information. Written confirmation by the individual of 
receipt of this notification must be maintained by the Licensee for 
a period of one (1) year from the date of the notification.
    If, after reviewing the record, an individual believes that it 
is incorrect or incomplete in any respect and wishes to change, 
correct, or update the alleged deficiency, or to explain any matter 
in the record, the individual may initiate challenge procedures. 
These procedures include either direct application by the individual 
challenging the record to the agency (i.e., law enforcement agency) 
that contributed the questioned information, or direct challenge as 
to the accuracy or completeness of any entry on the criminal history 
record to the Assistant Director, Federal Bureau of Investigation 
Identification Division, Washington, DC 20537-9700 (as set

[[Page 69142]]

forth in 28 CFR Part 16.30 through 16.34). In the latter case, the 
FBI forwards the challenge to the agency that submitted the data and 
requests that agency to verify or correct the challenged entry. Upon 
receipt of an Official communication directly from the agency that 
contributed the original information, the FBI Identification 
Division makes any changes necessary in accordance with the 
information supplied by that agency. The Licensee must provide at 
least ten (10) days for an individual to initiate an action 
challenging the results of an FBI identification and criminal 
history records check after the record is made available for his/her 
review. The Licensee may make a final unescorted access to certain 
radioactive material determination based upon the criminal history 
record only upon receipt of the FBI's ultimate confirmation or 
correction of the record. Upon a final adverse determination on 
unescorted access to certain radioactive material, the Licensee 
shall provide the individual its documented basis for denial. 
Unescorted access to certain radioactive material shall not be 
granted to an individual during the review process.

E. Protection of Information

    1. Each Licensee who obtains a criminal history record on an 
individual pursuant to this Order shall establish and maintain a 
system of files and procedures for protecting the record and the 
personal information from unauthorized disclosure.
    2. The Licensee may not disclose the record or personal 
information collected and maintained to persons other than the 
subject individual, his/her representative, or to those who have a 
need to access the information in performing assigned duties in the 
process of determining whether to verify the individual for 
unescorted access to certain radioactive material. No individual 
authorized to have access to the information may re-disseminate the 
information to any other individual who does not have a need-to-
know.
    3. The personal information obtained on an individual from a 
criminal history record check may be transferred to another Licensee 
if the Licensee holding the criminal history record check receives 
the individual's written request to re-disseminate the information 
contained in his/her file, and the gaining Licensee verifies 
information such as the individual's name, date of birth, social 
security number, sex, and other applicable physical characteristics 
for identification purposes.
    4. The Licensee shall make criminal history records, obtained 
under this section, available for examination by an authorized 
representative of the NRC to determine compliance with the 
regulations and laws.
    5. The Licensee shall retain all fingerprints and criminal 
history records from the FBI, or a copy if the individual's file has 
been transferred:
    a. For three (3) years after the individual no longer requires 
unescorted access, or
    b. for three (3) years after unescorted access to certain 
radioactive material was denied.
    After the required three (3) year period, these documents shall 
be destroyed by a method that will prevent reconstruction of the 
information in whole or in part.

[FR Doc. 2014-27515 Filed 11-19-14; 8:45 am]
BILLING CODE 7590-01-P


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