IMPLEMENTATION OF NEW PART 37 REQUIREMENTS BY NRC AND THE AGREEMENT STATES

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1 IMPLEMENTATION OF NEW PART 37 REQUIREMENTS BY NRC AND THE AGREEMENT STATES Duncan White Office of Federal and State Materials and Environmental Management Programs U.S. Nuclear Regulatory Commission

2 Outline Part 37 Implementation Working Group Overview of Part 37 Summary of New Requirements and Changes Between IC Orders and Part 37 Available Resources Safety Culture

3 Part 37 Implementation Working Group Part of final rule package Includes NRC HQ, Regional and Agreement States Manage the actions necessary to put Part 37 into practice for NRC and Agreement States Organized into subgroups to focus on accomplishing key tasks

4 Rescission of NRC Orders Removal of NRC License Conditions Training Inspection Activities Tracking Agreement State Regulations Information Protection Part 37 Implementation Working Group Licensing Guidance Implementing Guidance Stakeholder Outreach Enforcement Guidance Inspection Procedures Best Security Practices Guidance

5 10 CFR 37 Applicability Applies to persons that: Possesses or uses an aggregated Category 1 or Category 2 quantity Transport or deliver to a carrier for transport in a single shipment, a Category 1 or Category 2 quantity Imports or exports a Category 1 or Category 2 quantity

6 General Purpose of 10 CFR 37 To provide reasonable assurance of the security of Category 1 and Category 2 radioactive material by protecting from theft or diversion

7 10 CFR Part 37 Outline: Subpart A: General Provisions Subpart B: Background Investigations and Access Control Program Subpart C: Physical Protection Requirements During Use Subpart D: Physical Protection in Transit Subpart F: Records Subpart G: Enforcement Appendix A: Cat 1 and Cat 2 Table

8 10 CFR Part 37 Final Rule Published in the Federal Register on March 19, pdf/ pdf Conforming changes made to 10 CFR Parts 20, 30, 32, 33, 34, 35, 36, 39, 51, 71, and 73 NRC licensee compliance with the final rule is required on March 19, 2014

9 10 CFR Part 37 and Agreement States Agreement States adopt compatible regulations by March 20, 2016 Compatibility of regulations Most sections require identical requirements Working under Reciprocity Comply with 10 CFR More guidance forthcoming

10 10 CFR Part 37 For NRC licensees, as applicable: Modification of existing licenses to remove Increased Control (IC) and Fingerprinting (FP) license conditions; Rescission of NRC-issued Orders Agreement States Have 3 years from March 19, 2013, (final rule publication date) to issue compatible requirements NRC rescission of NRC-issued Orders to State licensees concurrent with State implementation of compatible requirements

11 Summary of New Requirements and Changes Between IC Orders and Part 37 Subpart B Background Investigations and Access Authorization Program Reviewing Official (CHANGE) Access Authorization (NEW) Background Investigations (CHANGE) Relief from background investigations for designated categories of individuals (CHANGE) Access authorization program review. (NEW)

12 Summary of New Requirements and Changes Between IC Orders and Part 37 Subpart C Physical Protection Requirements During Use (a) (c) General security program requirements (NEW) (d) General security program requirements (CHANGE) LLEA coordination. (CHANGE) Security zones. (New Term Security Zone) (NEW) Monitoring, detection, and assessment (CHANGE) Maintenance, testing, and calibration (NEW) Requirements for mobile devices (CHANGE) Security program review (NEW) Reporting of events (NEW)

13 Summary of New Requirements and Changes Between IC Orders and Part 37 Subpart D Physical Protection in Transit 37.5 Definitions (NEW) Transfer of category 1 and category 2 quantities of radioactive material (CHANGE) Preplanning and coordination of shipment of category 1 or category 2 quantities of radioactive material (NEW) Advance notification of shipment of category 1 quantities of radioactive material (NEW)

14 Summary of New Requirements and Changes Between IC Orders and Part 37 Subpart D Physical Protection in Transit - continued Requirements for physical protection of category 1 and category 2 quantities of radioactive material during shipment (CHANGE) Reporting of events (NEW)

15 NRC Security Requirements - Transportation Cat 1 Cat 2 Coordinate Arrival Time and Confirm Receipt a a Continuous and Active Monitoring of Shipment a! Communication Center/Call-In, Backup Communication a! Package Tracking Systems a! Capability to Summon En-Route Assistance a! a! Plan and Coordinate Shipment with En-Route States a! Advance Notification to NRC and En-Route States a! Investigation of Past Due Shipments a! a! Report Lost, Missing or Stolen Material a! a! Notify Law Enforcement and NRC a! Accompanying Individual/No Casual Stops/Surveillance a! Training, Procedures and Instructions a! a!

16 Summary of New Requirements and Changes Between IC Orders and Part Form of records (NEW) Subpart F Records Record retention (CHANGE) Appendix A to Part 37 Category 1 and Category 2 Radioactive Materials (CHANGE)

17 What tools are or will be available regarding 10 CFR Part 37? Rule/Order Comparison Document Implementation Guidance Inspection Procedure Best Practices Document

18 Rule/Order Comparison Document Table that provides the differences between the ICs and the other NRCissued Security Orders and 10 CFR 37 Most of the provisions are similar but there are some differences

19 IC - Increased Control Order FP - Fingerprint Orders MD Manufacturer & Distributer Order RQ - RAMQC Order PU - Panoramic and Underwater Irradiator Order Background investigations. (a) Initial Investigation. Before allowing an individual unescorted access to category 1 or category 2 quantities of radioactive material or to the devices that contain the material, licensees shall complete a background investigation of the individual seeking unescorted access authorization. The scope of the investigation must encompass at least the 7 years preceding the date of the background investigation or since the individual s eighteenth birthday, whichever is shorter. The background investigation must include at a minimum: IC 1.b. - For individuals employed by the licensee for three years or less, and for non-licensee personnel, such as physicians, physicists, house-keeping personnel, and security personnel under contract, trustworthiness and reliability shall be determined, For individuals employed by the licensee for longer than three years, trustworthiness and reliability shall be determined, at a minimum,. RQ 2. d. - The trustworthiness, reliability, The background investigation shall address at least the past three (3) years, and If an individual s employment has been less then the required three (3) years period, educational references may be used in lieu of employment history. MD 5. a. - The trustworthiness and reliability of individuals shall be determined based on a background investigation. The background investigation shall address at least the past 3 years PU 2. A. i. - The trustworthiness and reliability of individuals shall be determined based on a background investigation. The background investigation shall address at least the past 3 years Difference: The rule goes back the last 7 years instead of 3 years and the background investigation elements are the same whether the individual is a longtime employee or a new hire.

20 37.23 Access authorization program requirements. (d) Personal history disclosure. Any individual who is applying for unescorted access authorization shall disclose the personal history information that is required by the licensee s access authorization program for the reviewing official to make a determination of the individual s trustworthiness and reliability. Refusal to provide, or the falsification of, any personal history information required by this subpart is sufficient cause for denial or termination of unescorted access. New Requirement

21 10 CFR Part 37 Implementation Guidance NUREG

22 Regulation text Plain language explanation Q and As

23 Inspection Procedure (IP) Materials Security Programs IP was developed by NRC and Agreement State working group The draft IP was provided in September 2013 to NRC Regions and Agreement States for comment A finalized IP will be available for use on the compliance date for NRC licensees

24 Inspection Procedure Establishes inspection requirements for three focus areas: Access Authorization- Background Investigations Physical Protection During Use Physical Protection During Transit

25 Best Practices Document Developed, in part, in response to Government Accountability Office report

26 Physical Security Best Practices for the Protection of Risk Significant Radioactive Material Due to GAO in mid-march 2014 To be published as an NRC NUREG Developed by a working group composed of representatives from NRC, the Agreement States, and the National Nuclear Security Administration The intent is to provide practical, user-friendly guidance for implementing a physical protection program for different types of licensee activities

27 Safety Culture Definition Nuclear Safety Culture is the core values and behaviors resulting from a collective commitment by leaders and individuals to emphasize safety over competing goals to ensure protection of people and the environment. Safety Culture Policy Statement

28 Safety Culture Traits Leadership Safety Values and Actions Leaders demonstrate a commitment to safety in their decisions and behaviors Work Processes The process of planning and controlling work activities is implemented so that safety is maintained Effective Safety Communications Communications maintain a focus on safety Problem Identification and Resolution Issues potentially impacting safety are promptly identified, fully evaluated, and promptly addressed and corrected commensurate with their significance Continuous Learning Opportunities to learn about ways to ensure safety are sought out and implemented Respectful Work Environment Trust and respect permeate the organization Personal Accountability All individuals take personal responsibility for safety Environment for Raising Concerns A safety conscious work environment is maintained where personnel feel free to raise safety concerns without fear of retaliation, intimidation, harassment or discrimination Questioning Attitude Individuals avoid complacency and continually challenge existing conditions and activities in order to identify discrepancies that might result in error or inappropriate action

29 What Does Safety Culture Look Like for You? NRC Information Notice : describes several events resulting in exposures exceeding regulatory limits Several contributors that can be associated with safety culture traits highlighted Work processes not using calibrated, functioning survey meters and personal rate alarms; not following proper safety procedures Questioning attitude inattention to detail Problem identification & resolution re-enactments may be necessary to estimate dose

30 What Does Safety Culture Look Like for You cont d? Other examples of traits in practice Leadership Values management setting tone for priority of safety Problem Identification & Resolution recognizing unusual survey meter measurements as potential safety threats Personal Accountability paying attention to detail; taking necessary time to complete actions; taking ownership for assuring safety Work Processes - ensuring source is secured in fully shielded position Questioning Attitude - periodically checking equipment to ensure proper condition and operation and stopping work if any abnormalities noted Continuous Learning training on how to properly respond to unusual situations; covering safety topics during annual refresher training Environment for Raising Concerns personnel at all levels (e.g., including assistants & trainees) feel comfortable raising safety concerns Effective Safety Communications messages about safety are passed down to all levels of the organization Respectful Work Environment trust and respect at all levels of the organization

31 Summary NRC licensees are required to comply with 10 CFR 37 on March 19, 2014 Agreement States have 3 years from March 19, 2013 to issue compatible requirements Several tools are under development or are currently available regarding implementation of 10 CFR Part 37 Positive Safety Culture

32 Duncan White Thanks to Janine Katanic, Cindy Flannery, Ken Lambert and Geoff Warren

33 Questions?