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| Rule |
Rule 3701:1-37-01 | Definitions.
Terms defined in rule 3701:1-38-01 of the
Administrative Code shall have the same meaning when used in this chapter
except terms redefined within a given rule for use within that rule only.
Additionally, the following terms as used in this chapter are defined as
follows: (A) "Access control" means a
system for allowing only approved individuals to have unescorted access to the
security zone and for ensuring that all other individuals are subject to
escorted access. (B) "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 two quantity of radioactive
material. (C) "Approved individual" means an individual
whom the licensee has determined to be trustworthy and reliable for unescorted
access in accordance with rules 3701:1-37-07 to 3701:1-37-13 of the
Administrative Code and who has completed the training required by paragraph
(C) of rule 3701:1-37-15 of the Administrative Code. (D) "Background investigation" means the
investigation conducted by a licensee or applicant to support the determination
of trustworthiness and reliability. (E) "Carrier" means a person engaged in the
transportation of passengers or property by land or water as a common,
contract, or private carrier, or by civil aircraft. (F) "Category one quantity of radioactive
material" means a quantity of radioactive material meeting or exceeding
the category one threshold in table 1 of appendix A to this rule. This is
determined by calculating the ratio of the total activity of each radionuclide
to the category one threshold for that radionuclide and adding the ratios
together. If the sum is equal to or exceeds one, the quantity would be
considered a category one quantity. Category one quantities of radioactive
material do not include the radioactive material contained in any fuel
assembly, subassembly, fuel rod, or fuel pellet. (G) "Category two quantity of radioactive
material" means a quantity of radioactive material meeting or exceeding
the category two threshold but less than the category one threshold in table 1
of appendix A to this rule. This is determined by calculating the ratio of the
total activity of each radionuclide to the category two threshold for that
radionuclide and adding the ratios together. If the sum is equal to or exceeds
one, the quantity would be considered a category two quantity. Category two
quantities of radioactive material do not include the radioactive material
contained in any fuel assembly, subassembly, fuel rod, or fuel
pellet. (H) "Commission" means the U.S. nuclear
regulatory commission or its duly authorized representatives. (I) "Diversion" means the unauthorized movement
of radioactive material subject to this chapter to a location different from
the material's authorized destination inside or outside of the site at
which the material is used or stored. (J) "Escorted access" means accompaniment while
in a security zone by an approved individual who maintains continuous direct
visual surveillance at all times over an individual who is not approved for
unescorted access. (K) "Fingerprint orders" means the orders issued
by the U.S. nuclear regulatory commission or the legally binding requirements
issued by agreement states that require fingerprints and criminal history
records checks for individuals with unescorted access to category one and
category two quantities of radioactive material or safeguards
information-modified handling. (L) "Government agency" means any executive
department, commission, independent establishment, corporation, wholly or
partly owned by the United States of America which is an instrumentality of the
United States, or any board, bureau, division, service, office, officer,
authority, administration, or other establishment in the executive branch of
the government. (M) "License issuing authority" means the
licensing agency that issued the license, i.e. the U.S. nuclear regulatory
commission or the appropriate agency of an agreement state. (N) "Local law enforcement agency" or
"LLEA" means a public or private organization that has been approved
by a federal, state, or local government to carry firearms and make arrests,
and is authorized and has the capability to provide an armed response in the
jurisdiction where the licensed category one or category two quantity of
radioactive material is used, stored, or transported. (O) "Mobile device" means a piece of equipment
containing licensed radioactive material that is either mounted on wheels or
casters, or otherwise equipped for moving without a need for disassembly or
dismounting; or designed to be hand carried. Mobile devices do not include
stationary equipment installed in a fixed location. (P) "Movement control center" means an operations
center that is remote from transport activity and that maintains position
information on the movement of radioactive material, receives reports of
attempted attacks or thefts, provides a means for reporting these and other
problems to appropriate agencies and can request and coordinate appropriate
aid. (Q) "No-later-than arrival time" means the date
and time that the shipping licensee and receiving licensee have established as
the time at which an investigation will be initiated if the shipment has not
arrived at the receiving facility. The no-later-than-arrival time may not be
more than six hours after the estimated arrival time for shipments of category
two quantities of radioactive material. (R) "Reviewing official" means the individual who
shall make the trustworthiness and reliability determination of an individual
to determine whether the individual may have, or continue to have, unescorted
access to the category one or category two quantities of radioactive materials
that are possessed by the licensee. (S) "Sabotage" means deliberate damage, with
malevolent intent, to a category one or category two quantity of radioactive
material, a device that contains a category one or category two quantity of
radioactive material, or the components of the security system. (T) "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. (U) "Security zone" means any temporary or
permanent area determined and established by the licensee for the physical
protection of category one or category two quantities of radioactive
material. (V) "State" means a state of the United States,
the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, American Samoa, and the Commonwealth of the Northern Mariana
Islands. (W) "Telemetric position monitoring system" means
a data transfer system that captures information by instrumentation and/or
measuring devices about the location and status of a transport vehicle or
package between the departure and destination locations. (X) "Trustworthiness and reliability" are
characteristics of an individual considered dependable in judgment, character,
and performance, such that unescorted access to category one or category two
quantities of radioactive material by that individual does not constitute an
unreasonable risk to the public health and safety or security. A determination
of trustworthiness and reliability for this purpose is based upon the results
from a background investigation. (Y) "Unescorted access" means solitary access to
an aggregated category one or category two quantity of radioactive material or
the devices that contain the material. (Z) "United States", when used in a geographical
sense, includes Puerto Rico and all territories and possessions of the United
States.
View Appendix
Last updated May 15, 2023 at 1:43 AM
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Rule 3701:1-37-02 | Purpose.
Effective:
October 1, 2014
This chapter has been established to provide the requirements for the physical protection program for any licensee that possesses an aggregated category one or category two quantity of radioactive material listed in appendix A to rule 3701:1-37-01 of the Administrative Code. These requirements provide reasonable assurance of the security of category one or category two 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 chapter authorizes possession of licensed material.
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Rule 3701:1-37-03 | Scope.
Effective:
October 1, 2014
(A) Rules 3701:1-37-07 to 3701:1-37-22 of the Administrative Code apply to any person who, under the rules of this chapter, possesses or uses at any site, an aggregated category one or category two quantity of radioactive material. (B) Rules 3701:1-37-23 to 3701:1-37-28 of the Administrative Code apply to any person who, under the rules of this chapter: (1) Transports or delivers to a carrier for transport in a single shipment, a category one or category two quantity of radioactive material; or (2) Imports or exports a category one or category two quantity of radioactive material; the provisions only apply to the domestic portion of the transport.
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Rule 3701:1-37-04 | Communications.
Effective:
November 3, 2019
(A) Except where otherwise specified or
covered under the licensing program, all written communications and reports
concerning the rules in this chapter may be sent to the following
address: "Ohio Department of Health Bureau of Environmental Health and Radiation
Protection 246 North High Street Columbus, Ohio 43215" (B) If permitted to submit via
electronic mail, reports may be sent to the Ohio department of health at:
"BRadiation@odh.ohio.gov"
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Rule 3701:1-37-05 | Immediate notifications by telephone.
Effective:
November 3, 2019
Notifications required by this chapter to be made
in accordance with this rule shall be made by telephone to the Ohio department
of health at (614) 644-2727.
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Rule 3701:1-37-06 | Specific exemptions.
Effective:
October 1, 2014
(A) The director may, upon application of any interested person or upon his or her own initiative, grant such exemptions from the requirements of the regulations in this chapter as he or she determines are authorized by law and will not endanger life or property or the common defense and security, and are otherwise in the public interest. (B) A licensee that possesses radioactive waste that contains category one or category two quantities of radioactive material is exempt from the requirements of rules 3701:1-37-07 to 3701:1-37-28 of the Administrative Code. Except that any radioactive waste that contains discrete sources, ion-exchange resins, or activated material that weighs less than two thousand kilograms (four thousand four hundred nine pounds) is not exempt from the requirements of this chapter. 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 local law enforcement agency (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 contains category one or category two quantities of radioactive material.
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Rule 3701:1-37-07 | Personnel access authorization requirements for category one or category two quantities of radioactive material.
Effective:
November 3, 2019
(A) General: (1) Each licensee that
possesses an aggregated quantity of radioactive material at or above the
category two threshold shall establish, implement, and maintain its access
authorization program in accordance with requirements of rules 3701:1-37-07 to
3701:1-37-13 of the Administrative Code. (2) An applicant for a
new license and each licensee that would become newly subject to the
requirements of rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code
upon application for modification of its license shall implement the
requirements of rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code,
as appropriate, before taking possession of an aggregated category one or
category two quantity of radioactive material. (3) Any licensee that has
not previously implemented the security orders or been subject to the
provisions of rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code
shall implement these rules before aggregating radioactive material to a
quantity that equals or exceeds the category two threshold. (B) General performance objective: The
licensee's access authorization program must ensure that the individuals
specified in paragraph (C)(1) of this rule are trustworthy and
reliable. (C) Applicability: (1) Licensees shall
subject the following individuals to an access authorization
program: (a) Any individual whose assigned duties require unescorted
access to category one or category two quantities of radioactive material or to
any device that contains the radioactive material; and (b) Reviewing officials. (2) Licensees need not
subject the categories of individuals listed in paragraphs (A)(1) to (A)(13) of
rule 3701:1-37-11 of the Administrative Code to the investigation elements of
the access authorization program. (3) Licensees shall
approve unescorted access to category one or category two quantities of
radioactive material only for those individuals with job duties that require
unescorted access to category one or category two quantities of radioactive
material. (4) Licensees may include
individuals needing access to safeguards information in the access
authorization program under rules 3701:1-37-07 to 3701:1-37-13 of the
Administrative Code.
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Rule 3701:1-37-08 | Access authorization program requirements.
(A) Granting unescorted access
authorization: (1) Licensees shall
implement the requirements of this rule 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 paragraph (C) of rule 3701:1-37-15 of the Administrative
Code before being allowed unescorted access to category one or category two
quantities of radioactive material. (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 one
or category two 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. Provide oath or affirmation
certifications to the director at the address specified in rule 3701:1-37-04 of
the Administrative Code. 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 ten years in
accordance with paragraph (C) of rule 3701:1-37-09 of the Administrative
Code. (3) Reviewing officials
must be permitted to have unescorted access to category one or category two
quantities of radioactive materials or 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: (a) The individual has undergone a background investigation that
included fingerprinting and a federal bureau of investigation (FBI) criminal
history records check and has been determined to be trustworthy and reliable by
the licensee; or (b) The individual is subject to a category listed in paragraph
(A) of rule 3701:1-37-11 of the Administrative Code. (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 paragraph (B) of rule 3701:1-37-09 of
the Administrative Code. 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: (a) 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 (b) The withdrawal of consent for the background investigation is
sufficient cause for denial or termination of unescorted access
authorization. (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 rules
3701:1-37-07 to 3701:1-37-13 of the Administrative Code is sufficient cause for
denial or termination of unescorted access. (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 rules 3701:1-37-07 to 3701:1-37-13 of the
Administrative Code. (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 rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code
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 has been 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 authorization requirement, the licensee
shall remove the person from the approved list as soon as possible, but no
later than seven working days, and take prompt measures to ensure that the
individual is unable to have unescorted access to the material. (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. (G) Right to correct and complete
information: (1) Prior to any final
adverse determination, licensees shall provide each individual subject to rules
3701:1-37-07 to 3701:1-37-13 of the Administrative Code 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 one 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 published in 28 CFR 16.30 through
16.34 (in effect on the effective date of this rule). In the latter case, the
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 ten 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. (H) Records: (1) The licensee shall
retain documentation regarding the trustworthiness and reliability of
individual employees for three years from the date the individual no longer
requires unescorted access to category one or category two quantities of
radioactive material. (2) The licensee shall
retain a copy of the current access authorization program procedures as a
record for three years after the procedure is no longer needed. If any portion
of the procedure is superseded, the licensee shall retain the superseded
material for three years after the record is superseded. (3) The licensee shall
retain the list of persons approved for unescorted access authorization for
three years after the list is superseded or replaced.
Last updated May 15, 2023 at 1:43 AM
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Rule 3701:1-37-09 | Background investigations.
Effective:
November 3, 2019
(A) Initial investigation: before
allowing an individual unescorted access to category one or category two
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 seven 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: (1) Fingerprinting and an
FBI identification and criminal history records check in accordance with rule
3701:1-37-10 of the Administrative Code; (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 rule
3701:1-37-12 of the Administrative Code. Licensees shall certify in writing
that the identification was properly reviewed, and shall maintain the
certification and all related documents for review upon
inspection; (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 seven years before
the date of application; (4) Verification of
education: licensees shall verify that the individual participated in the
education process during the claimed period; (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
rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code must be limited
to whether the individual has been and continues to be trustworthy and
reliable; (6) The licensee shall
also, to the extent possible, obtain independent information to corroborate
that information provided by the individual (e.g., seek references not supplied
by the individual); and (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 ten 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. (B) Grandfathering: (1) Individuals who have
been determined to be trustworthy and reliable for unescorted access to
category one or category two quantities of radioactive material under the
fingerprint orders may continue to have unescorted access to category one and
category two 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 10 CFR
73 (in effect on the effective date of this rule), or the security orders for
access to safeguards information, safeguards information-modified handling, or
risk-significant material may have unescorted access to category one and
category two 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 10 CFR 73 or a security order.
Security order, in this context, refers to any order that was issued by the
U.S. nuclear regulatory commission that required fingerprints and a 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. (C) Reinvestigations: licensees shall
conduct a reinvestigation every ten years for any individual with unescorted
access to category one or category two quantities of radioactive material. The
reinvestigation shall consist of fingerprinting and a FBI identification and
criminal history records check in accordance with rule 3701:1-37-10 of the
Administrative Code. The reinvestigations must be completed within ten years of
the date on which these elements were last completed.
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Rule 3701:1-37-10 | Requirements for criminal history records checks of individuals granted unescorted access to category one or category two quantities of radioactive material.
(A) General performance objectives and
requirements: (1) Except for those
individuals listed in rule 3701:1-37-11 of the Administrative Code and those
individuals grandfathered under paragraph (B) of rule 3701:1-37-09 of the
Administrative Code, each licensee subject to the provisions of rules
3701:1-37-07 to 3701:1-37-13 of the Administrative Code shall fingerprint each
individual who is to be permitted unescorted access to category one or category
two quantities of radioactive material. Licensees shall transmit all collected
fingerprints to the U. S. nuclear regulatory 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 one or category two 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 one or category two quantities of radioactive
materials if: (a) The individual returns to the same facility that granted
unescorted access authorization within three hundred sixty-five days of the
termination of his or her unescorted access authorization; and (b) 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 one or
category two quantities of radioactive material, access to safeguards
information, or safeguards information-modified handling by another licensee,
based upon a background investigation conducted under rules 3701:1-37-07 to
3701:1-37-13 of the Administrative Code, the fingerprint orders, or 10 CFR 73
(in effect on the effective date of this rule). An existing criminal history
records check file may be transferred to the licensee asked to grant unescorted
access in accordance with the provisions of paragraph (C) of rule 3701:1-37-12
of the Administrative Code. (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 one or category two quantities of radioactive
materials, access to safeguards information, or safeguards information-modified
handling. (B) Prohibitions: (1) Licensees may not
base a final determination to deny an individual unescorted access
authorization to category one or category two quantities of radioactive
material solely on the basis of information received from the FBI
involving: (a) An arrest more than one year old for which there is no
information of the disposition of the case; or (b) 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 rules
3701:1-37-07 to 3701:1-37-13 of the Administrative Code 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. (C) Procedures for processing of
fingerprint checks: (1) For the purpose of
complying with rules 3701:1-37-07 to 3701:1-37-13 of the Administrative Code,
licensees shall submit to the "U.S. Nuclear Regulatory Commission,
Director, Division of Physical and Cyber Security Policy, 11545 Rockville Pike,
ATTN: Criminal History Program/Mail Stop T-07D04M, Rockville, Maryland
20852," 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
one or category two quantities of radioactive material. Copies of these forms
may be obtained by emailing "MAILSVS.Resource@nrc.gov." Guidance on
submitting electronic fingerprints can be found at
https://www.nrc.gov/security/chp.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 "Division of Physical and Cyber
Security Policy by emailing Crimhist.Resource@nrc.gov." Combined payment
for multiple applications is acceptable. The U.S. nuclear regulatory 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 "Licensee Criminal
History Records Checks & Firearms Background Check" information page
at https://www.nrc.gov/security/chp.html and see the link for "How do I
determine how much to pay for the request?" (3) The U. S. nuclear
regulatory 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.
Last updated May 15, 2023 at 1:43 AM
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Rule 3701:1-37-11 | 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.
Effective:
November 3, 2019
(A) Fingerprinting, and the
identification and criminal history records checks required by section 149 of
the "Atomic Energy Act of 1954" (Pub. L. 83-703, 68 Stat. 919, 42
U.S.C. 2169), as amended, and this chapter, and other elements of the
background investigation are not required for the following individuals prior
to granting unescorted access to category one or category two quantities of
radioactive materials: (1) An employee of the
U.S. nuclear regulatory 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 U.S. nuclear
regulatory commission under an agreement executed under section 274.i. of the
"Atomic Energy Act" (Pub. L. 83-703, 68 Stat. 919, 42 U.S.C.
2021i.); (8) Representatives of
the international atomic energy agency (IAEA) engaged in activities associated
with the U.S./IAEA safeguards agreement who have been certified by the U.S.
nuclear regulatory commission; (9) Emergency response
personnel who are responding to an emergency; (10) Commercial vehicle
drivers for road shipments of category one and two 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 three years from the date the
individual no longer requires unescorted access to category one or category two
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 one or category two 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 three years from the date the individual no longer requires
unescorted access to category one or category two quantities of radioactive
material. (B) Fingerprinting, and the
identification and criminal history records checks required by section 149 of
the "Atomic Energy Act of 1954" (Pub. L. 83-703, 68 Stat. 919, 42
U.S.C. 2169), as amended, are not required for an individual who has had a
favorably adjudicated U.S. government criminal history records check within the
last five 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 three years from the date the individual no
longer requires unescorted access to category one or category two 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 (in effect on the effective
date of this rule); (3) Bureau of alcohol,
tobacco, firearms, and explosives background check and clearances under 27 CFR
555 (in effect on the effective date of this rule); (4) Health and human
services security risk assessments for possession and use of select agents and
toxins under 42 CFR 73 (in effect on the effective date of this
rule); (5) Hazardous material
security threat assessment for hazardous material endorsement to commercial
driver's license under 49 CFR 1572 (in effect on the effective date of
this rule); and (6) Customs and border
protection's free and secure trade (FAST) program.
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Rule 3701:1-37-12 | Protection of information.
Effective:
November 3, 2019
(A) Each licensee who obtains background
information on an individual under rules 3701:1-37-07 to 3701:1-37-13 of the
Administrative Code 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 one or category two
quantities of radioactive material, or to safeguards information or safeguards
information-modified handling (as specified in 10 CFR 73, Code of Federal
Regulations, January 1, 2019). 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 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 rules 3701:1-37-07 to 3701:1-37-13 of the
Administrative Code available for examination by an authorized representative
of the director 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 three years from the date the
individual no longer requires unescorted access to category one or category two
quantities of radioactive material.
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Rule 3701:1-37-13 | Access authorization program review.
Effective:
November 3, 2019
(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 rules 3701:1-37-07 to 3701:1-37-13
of the Administrative Code 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. (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
three years.
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Rule 3701:1-37-14 | Security program.
Effective:
November 3, 2019
(A) Applicability: (1) Each licensee that
possesses an aggregated category one or category two quantity of radioactive
material shall establish, implement, and maintain a security program in
accordance with the requirements of rules 3701:1-37-14 to 3701:1-37-22 of the
Administrative Code. (2) An applicant for a
new license and each licensee that would become newly subject to the
requirements of rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code
upon application for modification of its license shall implement the
requirements of rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code,
as appropriate, before taking possession of an aggregated category one or
category two quantity of radioactive material. (3) Any licensee that has
not previously implemented the security orders or been subject to the
provisions of rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code
shall provide written notification to the director at the location specified in
rule 3701:1-40-04 of the Administrative Code at least ninety days before
aggregating radioactive material to a quantity that equals or exceeds the
category two 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 one or category two
quantities of radioactive material. (C) Program features: each
licensee's security program must include the program features, as
appropriate, described in rules 3701:1-37-15 to 3701:1-37-21 of the
Administrative Code.
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Rule 3701:1-37-15 | General security program requirements.
(A) Security plan: (1) Each licensee
identified in paragraph (A) of rule 3701:1-37-14 of the Administrative Code
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 rules 3701:1-37-14 to
3701:1-37-22 of the Administrative Code. The security plan must, at a
minimum: (a) Describe the measures and strategies used to implement the
requirements of rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code;
and (b) Identify the security resources, equipment, and technology
used to satisfy the requirements of rules 3701:1-37-14 to 3701:1-37-22 of the
Administrative Code. (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
Ohio department of health requirements. The licensee shall ensure
that: (a) The revision has been reviewed and approved by the individual
with overall responsibility for the security program; and (b) The affected individuals are instructed on the revised plan
before the changes are implemented. (4) The licensee shall
retain a copy of the current security plan as a record for three years after
the security plan is no longer required. If any portion of the plan is
superseded, the licensee shall retain the superseded material for three years
after the record is superseded. (B) Implementing procedures: (1) The licensee shall
develop and maintain written procedures that document how the requirements of
rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code 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 three years after the
procedure is no longer needed. Superseded portions of the procedure must be
retained for three years after the record is superseded. (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: (a) The licensee's security program and procedures to
secure category one or category two quantities of radioactive material, and in
the purposes and functions of the security measures employed; (b) The responsibility to report promptly to the licensee any
condition that causes or may cause a violation of department
requirements; (c) The responsibility of the licensee to report promptly to the
local law enforcement agency (LLEA) and licensee any actual or attempted theft,
sabotage, or diversion of category one or category two quantities of
radioactive material; and (d) 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 one or category two quantities of
radioactive material. The extent of the training must be commensurate with the
individual's potential involvement in the security of category one or
category two quantities of radioactive material. (3) Refresher training
must be provided at a frequency not to exceed twelve months and when
significant changes have been made to the security program. This training must
include: (a) Review of the training requirements of paragraph (C) of this
rule and any changes made to the security program since the last
training; (b) Reports on any relevant security issues, problems, and
lessons learned; (c) Relevant results of Ohio department of health inspections;
and (d) 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 three 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. (D) Protection of
information: (1) Licensees authorized
to possess category one or category two 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. (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,
implementing procedures, and the list of individuals that have been approved
for unescorted access. (3) Before granting an
individual access to the security plan, implementing procedures, or the list of
individuals that have been approved for unescorted access, licensees
shall: (a) Evaluate an individual's need to know the security
plan, implementing procedures, or the list of individuals that have been
approved for unescorted access; and (b) If the individual has not been authorized for unescorted
access to category one or category two 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 paragraphs
(A)(2) to (A)(7) of rule 3701:1-37-09 of the Administrative Code. (4) Licensees need not
subject the following individuals to the background investigation elements for
protection of information: (a) The categories of individuals listed in rule 3701:1-37-11 of
the Administrative Code; or (b) Security service provider employees, provided written
verification that the employee has been determined to be trustworthy and
reliable, by the required background investigation in rule 3701:1-37-09 of the
Administrative Code, 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, implementing
procedures, or the list of individuals that have been approved for unescorted
access. (6) Licensees shall
maintain a list of persons currently approved for access to the security plan,
implementing procedures, or the list of individuals that have been approved for
unescorted access. When a licensee determines that a person no longer needs
access to the security plan, implementing procedures, or the list of
individuals that have been approved for unescorted access, 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 possible,
but no later than seven working days, and take prompt measures to ensure that
the individual is unable to obtain the security plan, implementing procedures,
or the list of individuals that have been approved for unescorted
access. (7) When not in use, the
licensee shall store its security plan, implementing procedures, and the list
of individuals that have been approved for unescorted access 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 three years after the document is no longer
needed: (a) A copy of the information protection procedures;
and (b) The list of individuals approved for access to the security
plan, implementing procedures, or the list of individuals that have been
approved for unescorted access.
Last updated May 15, 2023 at 1:43 AM
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Rule 3701:1-37-16 | LLEA coordination.
Effective:
November 3, 2019
(A) A licensee subject to rules
3701:1-37-14 to 3701:1-37-22 of the Administrative Code 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 one and category two quantities of radioactive
materials along with a description of the licensee's security measures
that have been implemented to comply with rules 3701:1-37-14 to 3701:1-37-22 of
the Administrative Code; 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 one or category two
quantities of material. (3) A notification that
provides a description of the facilities and the category one and category two
quantities of radioactive materials along with a description of the
licensee's security measures is not public record pursuant to section
149.433 of the Revised Code (exemption of security records). (B) The licensee shall notify the
director within three business days if: (1) The LLEA has not
responded to the request for coordination within sixty 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 three
years. (D) The licensee shall coordinate with
the LLEA at least every twelve 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.
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Rule 3701:1-37-17 | Security zones.
Effective:
October 1, 2014
(A) Licensees shall ensure that all aggregated category one and category two 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 one and category two 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 one or category two 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. (D) For category one 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. (E) Individuals not approved for unescorted access to category one or category two quantities of radioactive material must be escorted by an approved individual when in a security zone.
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Rule 3701:1-37-18 | Monitoring, detection, and assessment.
Effective:
November 3, 2019
(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: (a) A monitored intrusion detection system that is linked
to an onsite or offsite central monitoring facility; (b) Electronic devices for intrusion detection alarms that
will alert nearby facility personnel; (c) A monitored video surveillance system; (d) Direct visual surveillance by approved individuals
located within the security zone; or (e) Direct visual surveillance by a licensee designated
individual located outside the security zone. (3) A licensee subject to
rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code shall also have a
means to detect unauthorized removal of the radioactive material from the
security zone. This detection capability must provide: (a) For category one quantities of radioactive material,
immediate detection of any attempted unauthorized removal of the radioactive
material from the security zone. Such immediate detection capability must be
provided by: (i) Electronic sensors
linked to an alarm; (ii) Continuous monitored
video surveillance; or (iii) Direct visual
surveillance. (b) For category two 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. (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. (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 one or
category two quantities of radioactive material at licensee facilities or
temporary job sites. For any unauthorized access involving an actual or
attempted theft, sabotage, or diversion of category one or category two
quantities of radioactive material, the licensee's response shall include
requesting, without delay, an armed response from the LLEA.
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Rule 3701:1-37-19 | Maintenance and testing.
Effective:
November 3, 2019
(A) Each licensee subject to rules
3701:1-37-14 to 3701:1-37-22 of the Administrative Code 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 and are capable of performing their intended function when
needed. The equipment relied on to meet the security requirements of this
chapter must be inspected and tested for operability and performance at the
manufacturer's suggested frequency. If there is no suggested
manufacturer's suggested frequency, the testing must be performed at
least annually, not to exceed twelve months. (B) The licensee shall maintain records
on the maintenance and testing activities for three years.
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Rule 3701:1-37-20 | Requirements for mobile devices.
Effective:
October 1, 2014
Each licensee that possesses mobile devices containing category one or category two 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.
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Rule 3701:1-37-21 | Security program review.
Effective:
November 3, 2019
(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 rules 3701:1-37-14 to 3701:1-37-22 of the Administrative Code
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 three years.
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Rule 3701:1-37-22 | Reporting of events.
Effective:
November 3, 2019
(A) The licensee shall immediately notify
the LLEA after determining that an unauthorized entry resulted in an actual or
attempted theft, sabotage, or diversion of a category one or category two
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 director at (614) 644-2727
in accordance with rule 3701:1-37-05 of the Administrative Code. In no case
shall the notification to the director be later than four hours after the
discovery of any attempted or actual theft, sabotage, or
diversion. (B) The licensee shall assess any
suspicious activity related to possible theft, sabotage, or diversion of
category one or category two quantities of radioactive material and notify the
LLEA as appropriate. As soon as possible but not later than four hours after
notifying the LLEA, the licensee shall notify the director at (614) 644-2727 in
accordance with rule 3701:1-37-05 of the Administrative Code. (C) The initial telephonic notification
to the director required by paragraph (A) of this rule must be followed within
a period of thirty days by a written report submitted to the director by an
appropriate method listed in rule 3701:1-37-04 of the Administrative Code. The
report must include sufficient information for director analysis and
evaluation, including identification of any necessary corrective actions to
prevent future instances.
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Rule 3701:1-37-23 | Additional requirements for transfer of category one and category two quantities of radioactive material.
Effective:
October 1, 2014
A licensee transferring a category one or category two quantity of radioactive material to a licensee of the U.S. nuclear regulatory commission or an agreement state shall meet the license verification provisions listed below instead of those listed in rule 3701:1-40-19 of the Administrative Code: (A) Any licensee transferring category one quantities of radioactive material to a licensee of the U.S. nuclear regulatory commission or an agreement state, prior to conducting such transfer, shall verify with the U.S. nuclear regulatory commission'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 two quantities of radioactive material to a licensee of the U.S. nuclear regulatory commission or an agreement state, prior to conducting such transfer, shall verify with the U.S. nuclear regulatory commission'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 one shipment the authorized address. The licensee shall keep a copy of the certification. The certification must be confirmed by use of the U.S. nuclear regulatory commission'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 three years.
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Rule 3701:1-37-24 | Applicability of physical protection of category one and category two quantities of radioactive material during transit.
Effective:
November 3, 2019
(A) For shipments of category one
quantities of radioactive material, each shipping licensee shall comply with
the requirements for physical protection contained in rules 3701:1-37-25 to
3701:1-37-28 of the Administrative Code. (B) For shipments of category two
quantities of radioactive material, each shipping licensee shall comply with
the requirements for physical protection contained in rules 3701:1-37-25,
3701:1-37-27 and 3701:1-37-28 of the Administrative Code. For those shipments
of category two quantities of radioactive material that meet the criteria of
rule 3701:1-50-23 of the Administrative Code, the shipping licensee shall also
comply with the advance notification provisions of rule 3701:1-50-23 of the
Administrative Code. (C) The shipping licensee shall be
responsible for meeting the requirements of rules 3701:1-37-23 to 3701:1-37-28
of the Administrative Code unless the receiving licensee has agreed in writing
to arrange for the in-transit physical protection required under rules
3701:1-37-23 to 3701:1-37-28 of the Administrative Code. (D) Each licensee that imports or exports
category one quantities of radioactive material shall comply with the
requirements for physical protection during transit contained in rules
3701:1-37-25 to 3701:1-37-28 of the Administrative Code for the domestic
portion of the shipment. (E) Each licensee that imports or exports
category two quantities of radioactive material shall comply with the
requirements for physical protection during transit contained in rules
3701:1-37-27 and 3701:1-37-28 of the Administrative Code for the domestic
portion of the shipment.
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Rule 3701:1-37-25 | Preplanning and coordination of shipment of category one or category two quantities of radioactive material.
Effective:
October 1, 2014
(A) Each licensee that plans to transport, or deliver to a carrier for transport, licensed material that is a category one 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: (a) Discuss the state's intention to provide law enforcement escorts; and (b) Identity safe havens; and (3) Document the preplanning and coordination activities. (B) Each licensee that plans to transport, or deliver to a carrier for transport, licensed material that is a category two quantity of radioactive material outside the confines of the licensee's facility or other place of use or storage shall coordinate the shipment no-later-than arrival time and the expected shipment arrival with the receiving licensee. The licensee shall document the coordination activities. (C) Each licensee who receives a shipment of a category two 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. (D) Each licensee, who transports or plans to transport a shipment of a category two 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 rule, shall promptly notify the receiving licensee of the new no-later-than arrival time. (E) The licensee shall retain a copy of the documentation for preplanning and coordination and any revision thereof, as a record for three years.
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Rule 3701:1-37-26 | Advance notification of shipment of category one quantities of radioactive material.
As specified in paragraphs (A) and (B) of this
rule, each licensee shall provide advance notification to the director and the
governor of a state, or the governor's designee, of the shipment of
licensed material in a category one quantity, through or across the boundary of
the state, before the transport, or delivery to a carrier for transport of the
radioactive 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 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
https://scp.nrc.gov/special/designee.pdf. A list of the contact information is
also available upon request from the "Director, Division of Material
Safety, Security, State, and Tribal Programs, Office of Nuclear Material Safety
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001." The notification to the director may be made by an
appropriate method listed in rule 3701:1-37-04 of the Administrative
Code. (2) A notification
delivered by mail must be postmarked at least seven days before transport of
the shipment commences at the shipping facility. (3) A notification
delivered by any means other than mail must reach the director at least four
days before the transport of the shipment commences and must reach the office
of the governor or the governor's designee at least four days before
transport of a shipment within or through the state. (B) Information to be furnished in
advance notification of shipment: Each advance notification of shipment of
category one 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 one
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. (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 director. (2) A licensee shall
promptly notify the governor of the state or the governor's designee of
any such changes to the information provided in accordance with paragraphs (B)
and (C)(1) of this rule. The licensee shall also immediately notify the
director of any such changes. (D) Cancellation notice: each licensee
who cancels a shipment for which the 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 director. 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
canceled. (E) Records: the licensee shall retain a
copy of the advance notification and any revision and cancellation notices as a
record for three years. (F) Protection of information: state
officials, state employees, and other individuals, whether or not licensees of
the U.S. nuclear regulatory commission or an agreement state, who receive
schedule information of the kind specified in paragraph (B) of this rule shall
protect that information against unauthorized disclosure as specified in
paragraph (D) of rule 3701:1-37-15 of the Administrative Code.
Last updated May 15, 2023 at 1:43 AM
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Rule 3701:1-37-27 | Requirements for physical protection of category one and category two quantities of radioactive material during shipment.
Effective:
November 3, 2019
(A) Shipments by road: (1) Each licensee who
transports, or delivers to a carrier for transport, in a single shipment, a
category one quantity of radioactive material shall: (a) Ensure that movement control centers are established
that maintain position information from a remote location. These control
centers must monitor shipments twenty-four hours a day, seven days a week, and
have the ability to communicate immediately, in an emergency, with the
appropriate law enforcement agencies. (b) 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. (c) 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 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. (d) Provide an individual to accompany the driver for those
highway shipments with a driving time period greater than the maximum number or
allowable hours of service in a twenty-four hour duty day as established by the
United States department of transportation federal motor carrier safety
administration. The accompanying individual may be another driver. (e) Develop written normal and contingency procedures to
address: (i) Notifications to the
communication center and law enforcement agencies; (ii) 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; (iii) Loss of
communications; and (iv) Responses to an
actual or attempted theft or diversion of a shipment. (f) Each licensee who makes arrangements for the shipments
for category one quantities of radioactive material shall ensure that drivers,
accompanying personnel, and movement control center personnel have access to
the normal and contingency procedures. (2) Each licensee that
transports category two quantities of radioactive material shall maintain
constant control and/or surveillance during transit and have the capability for
immediate communication to summon appropriate response or
assistance. (3) Each licensee who
delivers to a carrier for transport, in a single shipment, a category two
quantity of radioactive material shall: (a) 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. (b) 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 (c) Use carriers that have established tracking systems
that require an authorized signature prior to releasing the package for
delivery or return. (B) Shipments by rail: (1) Each licensee who
transports, or delivers to a carrier for transport, in a single shipment, a
category one quantity of radioactive material shall: (a) 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 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. (b) Ensure that periodic reports to the communications
center are made at preset intervals. (2) Each licensee who
transports, or delivers to a carrier for transport, in a single shipment, a
category two quantity of radioactive material shall: (a) 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. (b) 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 (c) Use carriers that have established tracking systems
that require an authorized signature prior to releasing the package for
delivery of return. (C) Investigations: Each licensee who
makes arrangements for shipment of category one quantities of radioactive
material shall immediately conduct an investigation upon the discovery that a
category one shipment is lost or missing. Each licensee who makes arrangements
for the shipment of category two 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.
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Rule 3701:1-37-28 | Reporting of transportation events.
Effective:
November 3, 2019
(A) The shipping licensee shall notify
the appropriate LLEA and the director in accordance with rule 3701:1-37-05 of
the Administrative Code within one hour of its determination that a shipment of
category one 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
paragraph (C) of rule 3701:1-37-27 of the Administrative Code, the shipping
licensee will provide agreed upon updates to the director on the status of the
investigation. (B) The shipping licensee shall notify
the director in accordance with rule 3701:1-37-05 of the Administrative Code
within four hours of its determination that a shipment of category two
quantities of radioactive material is lost or missing. If, after twenty-four
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 director. (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 one
quantity of radioactive material. As soon as possible after notifying the LLEA,
the licensee shall notify the director in accordance with rule 3701:1-37-05 of
the Administrative Code upon discovery of any actual or attempted theft or
diversion of a shipment, or any suspicious activity related to the shipment of
category one radioactive material. (D) The shipping licensee shall notify
the director in accordance with rule 3701:1-37-05 of the Administrative Code 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 two quantity of radioactive material. (E) The shipping licensee shall notify
the director in accordance with rule 3701:1-37-05 of the Administrative Code
and the LLEA as soon as possible upon recovery of any lost or missing category
one quantities of radioactive material. (F) The shipping licensee shall notify
the director in accordance with rule 3701:1-37-05 of the Administrative Code as
soon as possible upon recovery of any lost or missing category two quantities
of radioactive materials. (G) The initial telephonic notification
required by paragraphs (A) to (D) of this rule must be followed within a period
of thirty days by a written report submitted to the director by an appropriate
method listed in rule 3701:1-37-04 of the Administrative Code. A written report
is not required for notifications on suspicious activities required by
paragraphs (C) and (D) of this rule. 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. (H) Subsequent to filing the written
report, the licensee shall also report any additional substantive information
on the loss or theft within thirty days after the licensee learns of such
information.
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Rule 3701:1-37-29 | Form of records.
Effective:
November 3, 2019
Each record required by this chapter must be
legible throughout the retention period specified by each rule in which the
requirement appears. 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.
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Rule 3701:1-37-30 | Record retention.
Effective:
October 1, 2014
Licensees shall maintain the records that are required by the rules in this chapter for the period specified by the appropriate rule. If a retention period is not otherwise specified, these records must be retained until the director terminates the facility's license. All records related to this chapter may be destroyed upon director's termination of the facility's license.
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Rule 3701:1-37-31 | Inspections.
Effective:
October 1, 2014
(A) Each licensee shall afford the director at all reasonable times the opportunity to inspect category one or category two quantities of radioactive material and the premises and facilities wherein the nuclear material is used, produced, or stored. (B) Each licensee shall make available to the director for inspection, upon reasonable notice, records kept by the licensee pertaining to its receipt, possession, use, acquisition, import, export, or transfer of category one or category two quantities of radioactive material.
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