Radioactive Source Security and Accountability Rule
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Abstract
The U.S. Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to require applicants to demonstrate that they will use the requested byproduct, source, or special nuclear materials for the purposes stated in their license applications. The proposed revisions would help address the concern that applicants could use a fictitious company or provide false information to obtain a valid license that could then be used to acquire radioactive materials. This proposed rule also would enhance the requirement for a licensee transferring category 3 quantities of radioactive material to verify that the recipient (transferee) is licensed to receive the type, form, and quantity of radioactive material to be transferred. This proposed rule would require the transferor licensee to conduct the verification through the NRC’s License Verification System (LVS) or by contacting the license-issuing authority. The NRC also is proposing a more stringent follow-up verification method for licensees that process an emergency shipment for transfers that are below category 2 quantities of radioactive material and to remove an obsolete verification method. In addition, the proposed rule would require that generally licensed devices containing category 3 quantities of byproduct material can only be transferred to licensees possessing a specific NRC or Agreement State license. Finally, the proposed rule would make conforming and other clarifying changes of a corrective or of a minor or nonpolicy nature (e.g., inclusive language, plain language, conforming and clarifying language, and reassignment and deletion of paragraphs). This rulemaking would affect applicants for a radioactive material license, as well as licensees who transfer category 3 quantities of radioactive material.
Proposed Rule
Radioactive Source Security and Accountability
Key Documents
Frequently Asked Questions About the Radioactive Source Security and Accountability Rule
The NRC staff is planning to update NUREG-1556 series "Consolidated Guidance About Materials Licenses" with changes to conform with this rulemaking. Due to the accelerated schedule of this rulemaking, these updates will be made in a future revision of the guidance rather than concurrently with the proposed rule. In the interim, the NRC has developed draft guidance that provides answers to frequently asked questions about the requirements in the proposed "Radioactive Source Security and Accountability" rule. These questions and answers will be updated to conform to any changes made by the final rule, if and when it becomes effective. These questions are grouped by subject matter into the following categories:
License Verification Before Transfers:
- What is the License Verification System (LVS)?
- Can I use LVS to verify licenses?
- How do I get access to the LVS?
- What if I have issues with credentialing or using the LVS? Where can I find information on how to use the system or who can I contact for questions?
- How does a transferor licensee conduct the verification of licenses for transfers of category 3 quantities of radioactive material?
- May I use a fax or e-mail to verify the validity of a license or just keep a copy of the recipient’s license on file?
- When should a licensee document the verification, and how should it be documented?
- If I verified the license at the time of the purchase order, do I need to re-verify before shipment, and if so, how close to the shipment date?
- If I can’t reach the license-issuing authority or access the LVS to verify that the recipient of my shipment is licensed to receive and possess the material, do I have to postpone the shipment until I obtain the verification?
- What constitutes an "emergency," as that term is used in 10 CFR 30.41, 40.51, and 70.42, and in the case of emergency transfers of category 3 quantities of radioactive material, thereby allowing a licensee who cannot reach the LVS or the license-issuing authority and thus, who cannot verify the recipient’s license before transfer, to accept an oral confirmation from the recipient licensee that the recipient is authorized to receive the type, form, and quantity of the radioactive material to be transferred, and then to transfer the subject radioactive material to the recipient, with confirmation of the oral certification to be conducted by the transferor by the end of the next business day?
- If I rely on the recipient’s oral certification to ship material under the provisions for emergency transfers, what do I do if I discover after shipment that the recipient’s license is not valid for the transfer?
- Typical source or device manufacturer and distributor licensees (M&D) could ship many sources a day to user licensees in many different jurisdictions. Is verification necessary for each shipment, including for returns of category 3 quantities of radioactive material to a M&D licensee?
- The proposed rule states "For transfers within the same organization, the licensee does not need to verify the transfer." What is meant by the word "organization" in this statement?
Validity of License Applicants:
General License Program (General Licensees and Generally Licensed Devices):
Scope of Rule:
General:
License Verification Before Transfers
What is the License Verification System (LVS)?
The LVS is a web-based system designed to enable users to electronically verify the validity and accuracy of a license issued by either the NRC or an Agreement State, and to confirm that the license held by the transferee licensee authorizes the transferee to receive and possess the type, form, and quantity of radioactive material being requested before a transfer is made. For category 3 quantities of radioactive material, the LVS is the preferred method to verify licenses through NRC or Agreement State agencies because it can be accessed at any time by transferor licensees who need to use it, without needing to manually contact the NRC’s helpdesk or an individual regulator. For more information, please visit the LVS webpage.
Can I use LVS to verify licenses?
You can use LVS if you have credentials (see next question) and if the license you are verifying was issued within a jurisdiction that uses the LVS. The NRC and participating Agreement States will have license information in the LVS. You can find the list of Agreement States on the NRC Agreement States page. If the recipient is in a jurisdiction that does not use the LVS, you must follow one of the other license verification methods (see items b-d in question below).
How do I get access to the LVS?
Users need to get credentialed to access the LVS before being able to verify licenses through the system. The credentialing process is done online and handled by the NRC through the Portfolio Enrollment Module (PEM). Once the user completes the process and is approved, a one-time password token will be issued to the user to access the LVS.
What if I have issues with credentialing or using the LVS? Where can I find information on how to use the system or who can I contact for questions?
Instructions on how to log in and use the LVS can be found in the LVS User Guide. For assistance with accessing the system, answering questions, or resolving issues, please contact the LVS Help Desk by calling 1-877-671-6787 or by emailing at LVSHelp.Resource@nrc.gov. The Help Desk is staffed Monday through Friday from 8:00am to 8:00pm ET.
How does a transferor licensee conduct the verification of licenses for transfers of category 3 quantities of radioactive material?
The licensee can conduct these verifications by various methods:
- by using the LVS (the preferred option)
- by emailing NRC Form 749, "Manual License Verification Report", to the LVS Help Desk if a license cannot be accessed through the LVS
- by following the manual license verification procedure when calling or emailing the LVS Help Desk directly, or
- by contacting a representative of the license-issuing authority (NRC or Agreement State) directly by phone, email, or fax. Licensees should contact the LVS Help Desk to verify NRC licenses. To verify Agreement State licenses, information on Agreement State contacts appears on the NRC Directory of Agreement State and Non-Agreement State Directors and State Liaison Officers webpage.
May I use a fax or e-mail to verify the validity of a license or keep a copy of the recipient’s license on file?
No. Neither fax nor e-mail provide the positive identification needed for verifying the validity of a license. An individual could alter an electronic image of the license to change its possession limits, authorized location of use, or even the name of the person who received the license. Keeping a copy of the recipient’s license on file also is inadequate for verifying the validity of a license because the license could be amended or terminated. The transferor licensee shipping the material would not know that the intended recipient’s license was no longer valid. The proposed changes to 10 CFR 30.41, 40.51, and 70.42 would require transferor licensees to use the LVS or to contact the license-issuing authority (the NRC or Agreement State) to verify that a license is valid before transferring category 3 quantities of radioactive material to a specific licensee.
When should a licensee document the verification, and how should it be documented?
If the transferor licensee uses the LVS, the system will save the verification record automatically and store it indefinitely; the verification record in the LVS would fulfill the recordkeeping requirements in the proposed rule. A transferor licensee may also use the manual license verification process and verification form (NRC Form 749, "Manual License Verification Report") through the LVS Help Desk to facilitate the verification and keep as a record. If the transferor licensee contacts the license-issuing authority directly, it should document the communication. If the transferor licensee makes contact by phone, the transferor licensee should prepare a note for its files that contains information on the transfer (including the recipient company name, the recipient’s license number, and the material and quantities being transferred), the date of the communication, and the name of the individual at the license-issuing authority. If the transferor licensee communicates by e-mail or fax, the licensee should retain a copy of the e-mail or fax from the license-issuing authority. These records must be maintained for 3 years. More information is available on the Manual License Verification Procedure page.
If I verified the license at the time of the purchase order, do I need to re-verify before shipment, and if so, how close to the shipment date?
The current regulations require a transferor licensee to verify a recipient’s license prior to shipping a category 3 quantity of radioactive material but do not specify how far from the shipping date the verification should occur. Therefore, most transferor licensees perform the verification at the time they receive a purchase order from the recipient, which could be months before the shipping date. The current regulations do not require transferor licensees to re-verify a license prior to shipping the category 3 quantity of radioactive material.
The proposed requirement, however, will address the issue of a transferor licensee not knowing whether the recipient’s license was amended or terminated between the period when the transferor licensee initially verified the license and the date it ships the radioactive material to the recipient. The proposed requirement will require a transferor licensee to verify the recipient’s license no earlier than 7 days prior to shipping the category 3 quantity of radioactive material to the recipient. Requiring that the transferor licensee conduct the verification no earlier than 7 days prior to the transfer would ensure that the verification is contemporaneous with the transfer (i.e., that the verification will be of a license likely to be in effect at the time of transfer and not one that has been suspended, revoked, or otherwise modified by the license-issuing authority). This new requirement, however, does not preclude the transferor licensee from conducting an initial verification at the time it receives a purchase order from the recipient.
If I can’t reach the license-issuing authority or access the LVS to verify that the recipient of my shipment is licensed to receive and possess the material, do I have to postpone the shipment until I obtain the verification?
Yes, except in the case of an emergency situation. The requirements in 10 CFR 30.41, 40.51, and 70.42 provide an alternative that allows transferor licensees to ship in emergency situations in which the license-issuing authority cannot be reached or if a license cannot be accessed through the LVS. Under the proposed regulations, the transferor licensee may obtain an oral certification from the recipient noting that it is authorized to receive the requested type, form, and quantity of radioactive material. The certification must include the license number, current revision number, issuing agency, and expiration date. For category 3 quantities of radioactive material, the transferor licensee must confirm the oral certification with the LVS or the license-issuing authority by the end of the next business day to confirm that the recipient’s license is valid. If the transferor licensee is contacting the license-issuing authority directly by phone and the transferor licensee is unable to reach the intended contact, it is recommended to follow up with an email or fax immediately following the phone contact, so that a copy of such communication can be retained as a record.
What constitutes an "emergency," as that term is used in 10 CFR 30.41, 40.51, and 70.42, and in the case of emergency transfers of category 3 quantities of radioactive material, thereby allowing a licensee who cannot reach the LVS or the license-issuing authority and thus, who cannot verify the recipient’s license before transfer, to accept an oral confirmation from the recipient licensee that the recipient is authorized to receive the type, form, and quantity of the radioactive material to be transferred, and then to transfer the subject radioactive material to the recipient, with confirmation of the oral certification to be conducted by the transferor by the end of the next business day?
In order to maintain regulatory flexibility and to allow for unforeseen circumstances, the NRC has chosen not to explicitly define the term "emergency." The NRC’s view, however, is that an emergency in the context of such transfers of radioactive material between licensees would be a rare event. In terms of illustrative examples, a valid emergency may exist if the recipient needs the radioactive material to: conduct a lifesaving medical procedure; to assist with other lifesaving activities, such as search and rescue operations; to assist the proper authorities in a national security or law enforcement matter; or to assist in moving radioactive material to a safe and secure location following a natural or human-caused disaster. In addition, an emergency would be in the context of sudden and unexpected circumstances that do not permit the transferor licensee to use one of the approved verification methods. General business reasons, such as expediting the transfer of a device to fill a customer order by a certain date, would not constitute an emergency. Any claimed emergency should be subject to close scrutiny by the license-issuing authority to prevent the abuse of this provision.
If I rely on the recipient’s oral certification to ship material under the provisions for emergency transfers, what do I do if I discover after shipment that the recipient’s license is not valid for the transfer?
The transferor licensee should contact the license-issuing authority immediately. The licensee should discuss with the license-issuing authority the actions that should be taken. One possible action is to contact the carrier to determine whether it has delivered the shipment. If it has not, the transferor licensee may be able to request that the carrier return the shipment. If the shipment has been delivered, the transferor licensee, in consultation with the license-issuing authority, may need to contact the appropriate Federal and State law enforcement authorities.
Typical source or device manufacturer and distributor licensees (M&D) could ship many sources a day to user licensees in many different jurisdictions. Is verification necessary for each shipment, including for returns of category 3 quantities of radioactive material to the M&D licensee?
Yes. Verification prior to each shipment of a category 3 quantity of radioactive material is necessary because verification of the recipient’s license before transfer enhances the security of the material by validating the recipient’s legitimacy. If the license has been entered into the NRC’s LVS, using the LVS is the most efficient verification method. This FAQ includes the proposed time requirements for license verification prior to shipment above.
The proposed rule states "For transfers within the same organization, the licensee does not need to verify the transfer." What is meant by the word "organization" in this statement?
In the context of the proposed rule, an organization is a single entity—such as a company or institution—holding two or more licenses issued by the NRC and/or an Agreement State, authorizing the possession and/or use of radioactive materials. License verification is not required when transferring radioactive materials between licensees of the same organization.
Validity of License Applicants
How would an applicant make the demonstration required by 10 CFR 30.33(a)(3), 40.32(d), or 70.23(a)(5)? Are all applicants required to install safety and security equipment, establish facilities, and develop procedures?
No, the staff will determine whether an applicant has made this demonstration on a case-by-case basis, considering the proposed licensed activities and the type, quantity, and form of the proposed radioactive material to be possessed and used under the license. The staff will use NRC’s existing non-public pre-licensing guidance to guide this determination.
What type of "safety and security equipment" should be in place before a license is issued to make the demonstration required by 10 CFR 30.33(a)(3), 40.32(d), or 70.23(a)(5)?
The type of safety and security equipment needed, if any, may vary significantly according to the scope of the proposed type of licensed activities and the type, quantity, and form of the proposed radioactive material to be possessed and used under the license. Examples of such equipment could include radiation detection and measurement equipment (e.g., survey meters, dosimeters, dose calibrators), radiation safety equipment (e.g., shielding, remote handling tools, glove boxes), other safety equipment (e.g., personnel protective equipment, air filtration systems, radiation warnings), and security equipment (e.g., key card systems, door locks, intrusion detection systems) in accordance with 10 CFR Part 37, 10 CFR Part 73, and 10 CFR 20.1801 and 20.1802, as applicable. If the NRC or the Agreement State requires it, the safety and security equipment should be onsite and properly installed to support the safe and secure use of the requested radioactive materials.
General License Program (General Licensees and Generally Licensed Devices)
What are the radionuclides and threshold limits for category 3 quantities of radioactive material?
Please see table in proposed Appendix F to 10 CFR Part 30 for the radionuclides and threshold limits of category 3 quantities of radioactive material.
I possess a generally licensed device containing a category 3 quantity of radioactive material. Is this device still considered to be generally licensed?
Yes, if the Commission approves the proposed changes to 10 CFR 32.51 in a final rule, and if you took possession of the generally licensed device prior to the effective date of the final rule, then the device may continue to be used under a general license.
I possess a generally licensed device containing a category 3 quantity of radioactive material. Do I need to continue to respond to the NRC’s annual registration?
Yes, because the device was distributed as a generally licensed device, you must continue to respond to the NRC’s annual registration.
I possess a generally licensed device containing a category 3 quantity of radioactive material. Do I need to implement any additional security requirements on my device?
No, there are no additional security requirements that users of generally licensed devices must implement.
I possess a generally licensed device containing a category 3 quantity of radioactive material. If I no longer want the device, what must I do to transfer or dispose of the device?
You must transfer the device to a specific licensee authorized to receive the type, form, and quantity of the radioactive material and verify the recipient’s license in accordance with the proposed requirements for 10 CFR 30.41(d).
Transfers of generally licensed devices containing a category 3 quantity of radioactive material to general licensees are no longer permitted.
I possess a generally licensed device containing a category 3 quantity of radioactive material. Can I transfer the device to a new owner under the general license, if the device stays in use in the same location?
No, you would need to transfer the device to a specific licensee and verify the recipient’s license in accordance with the proposed requirements for 10 CFR 30.41(d).
I am a distributor of a device containing category 3 quantities of radioactive material that is currently authorized to be distributed as a generally licensed device. Can I continue to distribute the device to a general licensee?
No. Under the proposed requirements, devices containing category 3 quantities of radioactive material could only be distributed to specific licensees authorized to possess the device.
Scope of Rule
Does this proposed rule address potential aggregation of several category 3 quantities of radioactive material to form a category 1 or category 2 quantity of radioactive material?
No, this proposed rule would not address aggregation. In SRM-SECY-17-0083, the Commission approved the staff’s recommendation not to impose security requirements to prevent aggregation of category 3 quantities of radioactive material.
General
How would this proposed rule affect reactor licensees?
The regulatory changes proposed in this rule would affect all applicants applying for a radioactive materials license (specifically, for the validity of license applicants provisions) and all licensees, including reactor licensees, who transfer category 3 quantities of radioactive material (for the remaining provisions). Although the rule would not affect activities regulated under 10 CFR Parts 50 or 52, reactor licensees that possess or use source, byproduct, or special nuclear material under Parts 30, 40, or 70 would be subject to the proposed regulatory changes to those parts.
Paperwork Reduction Act
These Frequently Asked Question responses provide voluntary guidance for implementing the mandatory information collections in 10 CFR Parts 30, 31, 32, 40, 70, and NRC Form 313 and NRC Form 749/Licensing Verification System that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.). These information collections were approved by the Office of Management and Budget (OMB), under control numbers 3150-0017, -0016, -0001, -0020, -0009, -0120, and -0223, respectively. Send comments regarding this information collection to the FOIA, Library, and Information Collections Branch (T6-A10M), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by email to Infocollects.Resource@nrc.gov, and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB 10202, Office of Management and Budget, Washington, DC, 20503.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the document requesting or requiring the collection displays a currently valid OMB control number.