ML20097D393

Colorado Regulations Part 37 Equivalent

ML20097D393
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Issue date:	04/01/2020
From:	Office of Nuclear Material Safety and Safeguards
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DRAFT B 03/27/2020 1

DEPARTMENT OF PUBLIC HEALTH AND ENVIRONMENT 1

Hazardous Materials and Waste Management Division 2

RADIATION CONTROL - PHYSICAL PROTECTION OF CATEGORY 1 AND CATEGORY 2 3

QUANTITIES OF RADIOACTIVE MATERIAL 4

6 CCR 1007-1 Part 22 5

[Editors Notes follow the text of the rules at the end of this CCR Document.]

6 7

Adopted by the Board of Health on May 17, 2017August 19, 2020; effective June 30, 2017October 8

15, 2020.

9 Affected licensees shall be compliant with this Part on or before March 19, 2016 10 PHYSICAL PROTECTION OF CATEGORY 1 AND CATEGORY 2 QUANTITIES OF RADIOACTIVE 11 MATERIAL 12 22.1 Authority.

13 22.1.1 Rules and regulations set forth herein are adopted pursuant to the provisions of section 25-1-108, 14 25-1.5-101(1)(k) and (1)(l), and 25-11-104, CRS.

15 Section A - General provisions 16 22.2 Scope, Purpose and Applicability.

17 18

[ * *

• INDICATES NO CHANGES TO THIS PORTION OF THE RULE]

19 20 22.2.2 Applicability.

21 22.2.2.1 This Part appliesSections B and C of this part apply to any person who, under 22 these regulations of 22.8 through 22.23, possesses or uses at any site, an 23 aggregated category 1 or category 2 quantity of radioactive material.

24 22.2.2.2 This PartSection D of this part applies to any person who, under these 25 regulations of 22.24 through 22.29:

26 (1)

Transports or delivers to a carrier for transport in a single shipment, a category 1 27 or category 2 quantity of radioactive material; or 28 (2)

Imports or exports a category 1 or category 2 quantity of radioactive material; the 29 provisions only apply to the domestic portion of the transport.

30 22.2.2.3 In accordance with Section 24-4-103(12.5)(c), CRS, 31 https://www.colorado.gov/cdphe/radregs identifies where incorporated material is 32 available to the public on the internet at no cost. If the incorporated material is not 33 available on the internet at no cost to the public, copies of the incorporated material has 34 Commented [JSJ1]:

Editorial note 1: All comments (such as this one) shown in the right side margin of this draft document are for information purposes only to assist the reader in understanding the proposed rule change during the review and comment process.

These side margin notes are not part of the rule and all comments will be deleted prior to publication of the final rule.

Editorial note 2: Alignment and formatting corrections and minor typographical adjustments may be made in the rule and may not be specifically identified with a side margin comment.

Editorial note 3: The acronym RATS-20##-# refers to the U.S. Nuclear Regulatory Commission (NRC) regulatory action tracking system. This system is used to identify and summarize changes to federal regulations that may be required for adoption by an NRC agreement state. To maintain agreement state status, Colorados radiation regulations must be compatible with federal regulations of the NRC.

Colorado statute also prescribes that the radiation control regulations must be consistent with the model regulations of the Conference of Radiation Control Program Directors, Inc. (CRCPD). To date, the CRCPD model regulation equivalent to part 22 has not been updated for consistency with the 2018 federal rule changes.

Commented [JSJ2]:

These dates reflect anticipated adoption and effective dates based on the current rulemaking schedule.

Dates are subject to change pending additional review, approvals, and department rulemaking and Board of Health schedules.

Commented [JSJ3]: Here and throughout the rule, section designations (section A, section B, etc.) are added to parallel the subpart structure found in 10 CFR Part 37. These section headers are then referenced in the rule body/text, consistent with the equivalent provisions referenced in 10 CFR Part 37.

Commented [JSJ4]: Section 22.2 is formatted for alignment.

Commented [JSJ5]: This provision is replaced by the new/revised provisions in 22.2.3.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 2

been provided to the State Publications Depository and Distribution Center, also known 35 as the State Publications Library. The State Librarian at the State Publication Library 36 retains a copy of the material and will make the copy available to the public.

37 22.2.3 Published material incorporated by reference.

38 22.2.3.1 In accordance with Section 24-4-103(12.5)(c), CRS, 39 https://www.colorado.gov/cdphe/radregs identifies where incorporated 40 material is available to the public on the internet at no cost. If the 41 incorporated material is not available on the internet at no cost to the 42 public, copies of the incorporated material has been provided to the State 43 Publications Depository and Distribution Center, also known as the State 44 Publications Library. The State Librarian at the State Publication Library 45 retains a copy of the material and will make the copy available to the 46 public.

47 22.2.3.2 The materials incorporated by reference in this Part include only those 48 versions that were in effect at the time of the most recent adoption of this 49 Part, and not later amendments to the incorporated material, unless a prior 50 version of the incorporated material is otherwise specifically noted, and in 51 such case that prior version shall apply.

52 22.3 Definitions.

53 54 Approved individual means an individual whom the licensee has determined to be trustworthy and 55 reliable for unescorted access in accordance with 22.8 through 22.14section B of this part and who has 56 completed the training required by 22.16.3.

57 58 22.4 Communications.

59 Except where otherwise specified, all communications, reports, and notifications concerning or required 60 by the regulations in this Part shall be sent via email to CDPHE_hmradmat@state.co.us. Hardcopy 61 documents should be mailed to Radiation Program - HMWMD, Colorado Department of Public Health 62 and Environment, 4300 Cherry Creek Drive South, Denver, CO 80246-1530.

63 22.5 Reserved.

64 22.6 Specific Exemptions.

65 22.6.1 The Department may, upon application of any interested person or upon its own initiative, grant 66 such exemptions from the requirements of the regulations in this Part as it determines are 67 authorized by law and will not endanger life or property or the common defense and 68 securityphysical protection of material, and are otherwise in the public interest.

69 22.6.2 A licensee that possesses radioactive waste that contains category 1 or category 2 quantities of 70 radioactive material is exempt from the requirements of 22.8 through 22.29sections B, C and D 71 of this part. Except that any radioactive waste that contains discrete sources, ion-exchange 72 resins, or activated material that weighs less than 2,000 kg (4,409 lbs) is not exempt from the 73 requirements of this Part. The licensee shall implement the following requirements to secure the 74 radioactive waste:

75 Commented [JSJ6]: For consistency with other recent rule revisions, the following standard language is added.

Commented [JSJ7]: This provision is added for consistency with the Colorado Administrative Procedure Act (24-4-103(12.5)(a)(2), CRS).

[NON-RATS ITEM]

Commented [JSJ8]:

As the department is continuing to move towards less paper documents, this provision updated to include an email address where documents may be sent.

Commented [JSJ9]: Language revised as Colorado may not have the authority specified in the original language.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 3

A.

Use continuous physical barriers that allow access to the radioactive waste only through 76 established access control points; 77 B.

Use a locked door or gate with monitored alarm at the access control point; 78 C.

Assess and respond to each actual or attempted unauthorized access to determine 79 whether an actual or attempted theft, sabotage, or diversion occurred; and 80 D.

Immediately notify the LLEA and request an armed response from the LLEA upon 81 determination that there was an actual or attempted theft, sabotage, or diversion of the 82 radioactive waste that contains category 1 or category 2 quantities of radioactive 83 material.

84 22.7 Reserved 85 Background Investigations and Access Authorization ProgramSection B - Background investigations 86 and access authorization program 87 22.8 Personnel Access Authorization Requirements for Category 1 or Category 2 Quantities of 88 Radioactive Material.

89 22.8.1 General.

90 A.

Each licensee that possesses an aggregated quantity of radioactive material at or above 91 the category 2 threshold shall establish, implement, and maintain its access authorization 92 program in accordance with the requirements of section B of this Part.

93 B.

An applicant for a new license and each licensee that would become newly subject to the 94 requirements of this Partsection B upon application for modification of its license shall 95 implement the requirements of this section BPart, as appropriate, before taking 96 possession of an aggregated category 1 or category 2 quantity of radioactive material.

97 C.

Any licensee that has not previously implemented the NRC Security Orders or been 98 subject to the provisions of 22.8 through 22.14this section B shall implement the 99 provisions of 22.8 through 22.14this section B before aggregating radioactive material to 100 a quantity that equals or exceeds the category 2 threshold.

101 102 D.

Licensees may include individuals needing access to safeguards information-modified 103 handling under 10 CFR Part 73 in the access authorization program under section B of 104 this Part22.8 through 22.14.

105 22.9 Access Authorization Program Requirements.

106 22.9.1 Granting unescorted access authorization.

107 A.

Licensees shall implement the requirements of section B of this Part for granting initial 108 or reinstated unescorted access authorization.

109 B.

Individuals who have been determined to be trustworthy and reliable shall also complete 110 the security training required by 22.16.3 before being allowed unescorted access to 111 category 1 or category 2 quantities of radioactive material.

112 22.9.2 Reviewing officials.

113

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 4

A.

Reviewing officials are the only individuals who may make trustworthiness and reliability 114 determinations that allow individuals to have unescorted access to category 1 or category 115 2 quantities of radioactive materials possessed by the licensee.

116 B.

Each licensee shall name one or more individuals to be reviewing officials. After 117 completing the background investigation on the reviewing official, the licensee shall 118 provide under oath or affirmation, a certification that the reviewing official is deemed 119 trustworthy and reliable by the licensee. Provide oath or affirmation certifications to 120 the Department. The fingerprints of the named reviewing official must be taken by a law 121 enforcement agency, Federal or State agencies that provide fingerprinting services to the 122 public, or commercial fingerprinting services authorized by a State to take fingerprints.

123 The licensee shall re-certify that the reviewing official is deemed trustworthy and reliable 124 every 10 years in accordance with 22.10.3.

125

1.

The oath or affirmation certifications required by 22.9.2.B shall be provided 126 to the Department within 30 days of naming a new or additional individual 127 as a reviewing official.

128

2.

The licensee shall notify the Department in writing within 30 days of 129 revoking a reviewing official certification.

130 C.

Reviewing officials must be permitted to have unescorted access to category 1 or 131 category 2 quantities of radioactive materials or access to safeguards information or 132 safeguards information-modified handling, if the licensee possesses safeguards 133 information or safeguards information modified handling.

134 D.

Reviewing officials cannot approve other individuals to act as reviewing officials.

135 E.

A reviewing official does not need to undergo a new background investigation before 136 being named by the licensee as the reviewing official if:

137

1.

The individual has undergone a background investigation that included 138 fingerprinting and an FBI criminal history records check and has been 139 determined to be trustworthy and reliable by the licensee; or 140

2.

The individual is subject to a category listed in 22.12.1.

141 22.9.3 Informed consent.

142 A.

Licensees may not initiate a background investigation without the informed and signed 143 consent of the subject individual. This consent must include authorization to share 144 personal information with other individuals or organizations as necessary to complete the 145 background investigation. Before a final adverse determination, the licensee shall provide 146 the individual with an opportunity to correct any inaccurate or incomplete information that 147 is developed during the background investigation. Licensees do not need to obtain 148 signed consent from those individuals that meet the requirements of 22.10.2. A signed 149 consent must be obtained prior to any reinvestigation.

150 B.

The subject individual may withdraw his or her consent at any time. Licensees shall 151 inform the individual that:

152

1.

If an individual withdraws his or her consent, the licensee may not initiate any 153 elements of the background investigation that were not in progress at the time 154 the individual withdrew his or her consent; and 155 Commented [JSJ10]:

This provision is updated to add clarifying language regarding submission of documentation, consistent with the intent of the 2018 amendments to 10 CFR 37.23(b)(2).

Although the proposed language is new to Part 22, the requirement for submission of the reviewing official documentation and notification to the department has been in effect for a number of years through existing licensing activities.

NRC Compatibility B NRC RATS 2018-3

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 5

2.

The withdrawal of consent for the background investigation is sufficient cause for 156 denial or termination of unescorted access authorization.

157 22.9.4 Personal history disclosure.

158 A.

Any individual who is applying for unescorted access authorization shall disclose the 159 personal history information that is required by the licensees access authorization 160 program for the reviewing official to make a determination of the individuals 161 trustworthiness and reliability. Refusal to provide, or the falsification of, any personal 162 history information required by section B of this Part is sufficient cause for denial or 163 termination of unescorted access.

164 22.9.5 Determination basis.

165 A.

The reviewing official shall determine whether to permit, deny, unfavorably terminate, 166 maintain, or administratively withdraw an individuals unescorted access authorization 167 based on an evaluation of all of the information collected to meet the requirements of 168 section B of this Part.

169 B.

The reviewing official may not permit any individual to have unescorted access until the 170 reviewing official has evaluated all of the information collected to meet the requirements 171 of section B of this Part and determined that the individual is trustworthy and reliable.

172 The reviewing official may deny unescorted access to any individual based on 173 information obtained at any time during the background investigation.

174 175 22.9.6 Procedures.

176 A.

Licensees shall develop, implement, and maintain written procedures for implementing 177 the access authorization program. The procedures must include provisions for the 178 notification of individuals who are denied unescorted access. The procedures must 179 include provisions for the review, at the request of the affected individual, of a denial or 180 termination of unescorted access authorization. The procedures must contain a provision 181 to ensure that the individual is informed of the grounds for the denial or termination of 182 unescorted access authorization and allow the individual an opportunity to provide 183 additional relevant information.

184 22.9.7 Right to correct and complete information.

185 A.

Prior to any final adverse determination, licensees shall provide each individual subject to 186 section B of this Part22.8 through 22.14 with the right to complete, correct, and explain 187 information obtained as a result of the licensees background investigation. Confirmation 188 of receipt by the individual of this notification must be maintained by the licensee for a 189 period of 1 year from the date of the notification.

190 B.

If, after reviewing his or her criminal history record, an individual believes that it is 191 incorrect or incomplete in any respect and wishes to change, correct, update, or explain 192 anything in the record, the individual may initiate challenge procedures. These 193 procedures include direct application by the individual challenging the record to the law 194 enforcement agency that contributed the questioned information or a direct challenge as 195 to the accuracy or completeness of any entry on the criminal history record to the Federal 196 Bureau of Investigation, Criminal Justice Information Services (CJIS) Division, ATTN:

197 SCU, Mod. D-2, 1000 Custer Hollow Road, Clarksburg, WV 26306 as set forth in 28 CFR 198 Part 16.30 through 16.34. In the latter case, the Federal Bureau of Investigation (FBI) will 199

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 6

forward the challenge to the agency that submitted the data, and will request that the 200 agency verify or correct the challenged entry. Upon receipt of an official communication 201 directly from the agency that contributed the original information, the FBI Identification 202 Division makes any changes necessary in accordance with the information supplied by 203 that agency. Licensees must provide at least 10 days for an individual to initiate action to 204 challenge the results of an FBI criminal history records check after the record being made 205 available for his or her review. The licensee may make a final adverse determination 206 based upon the criminal history records only after receipt of the FBIs confirmation or 207 correction of the record.

208 209 22.10 Background Investigations.

210 22.10.1 Initial investigation.

211 A.

Before allowing an individual unescorted access to category 1 or category 2 quantities of 212 radioactive material or to the devices that contain the material, licensees shall complete a 213 background investigation of the individual seeking unescorted access authorization. The 214 scope of the investigation must encompass at least the 7 years preceding the date of the 215 background investigation or since the individuals eighteenth birthday, whichever is 216 shorter. The background investigation must include at a minimum:

217

1.

Fingerprinting and an FBI identification and criminal history records check in 218 accordance with 22.11; 219

2.

Verification of true identity. Licensees shall verify the true identity of the individual 220 who is applying for unescorted access authorization to ensure that the applicant 221 is who he or she claims to be. A licensee shall review official identification 222 documents (e.g., drivers license; passport; government identification; certificate 223 of birth issued by the state, province, or country of birth) and compare the 224 documents to personal information data provided by the individual to identify any 225 discrepancy in the information. Licensees shall document the type, expiration, 226 and identification number of the identification document, or maintain a photocopy 227 of identifying documents on file in accordance with 22.13. Licensees shall certify 228 in writing that the identification was properly reviewed, and shall maintain the 229 certification and all related documents for review upon inspection; 230

3.

Employment history verification. Licensees shall complete an employment history 231 verification, including military history. Licensees shall verify the individuals 232 employment with each previous employer for the most recent 7 years before the 233 date of application; 234

4.

Verification of education. Licensees shall verify that the individual participated in 235 the education process during the claimed period; 236

5.

Character and reputation determination. Licensees shall complete reference 237 checks to determine the character and reputation of the individual who has 238 applied for unescorted access authorization. Unless other references are not 239 available, reference checks may not be conducted with any person who is known 240 to be a close member of the individuals family, including but not limited to the 241 individuals spouse, parents, siblings, or children, or any individual who resides in 242 the individuals permanent household. Reference checks under section B of this 243 Part must be limited to whether the individual has been and continues to be 244 trustworthy and reliable; 245 Commented [JSJ11]:

Section 22.10.1 is modified for formatting to remove unneeded spaces.

Note that these changes are not shown by strikeout or other indicators.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 7

6.

The licensee shall also, to the extent possible, obtain independent information to 246 corroborate that provided by the individual (e.g., seek references not supplied by 247 the individual); and 248

7.

If a previous employer, educational institution, or any other entity with which the 249 individual claims to have been engaged fails to provide information or indicates 250 an inability or unwillingness to provide information within a time frame deemed 251 appropriate by the licensee but at least after 10 business days of the request or if 252 the licensee is unable to reach the entity, the licensee shall document the refusal, 253 unwillingness, or inability in the record of investigation; and attempt to obtain the 254 information from an alternate source.

255 22.10.2 Grandfathering.

256 A.

Individuals who have been determined to be trustworthy and reliable for unescorted 257 access to category 1 or category 2 quantities of radioactive material under the fingerprint 258 Orders or equivalent Agreement State requirements may continue to have unescorted 259 access to category 1 and category 2 quantities of radioactive material without further 260 investigation. These individuals shall be subject to the reinvestigation requirement.

261 B.

Individuals who have been determined to be trustworthy and reliable under the provisions 262 of 10 CFR Part 73 or the security orders for access to safeguards information, 263 safeguards information-modified handling, or risk-significant material may have 264 unescorted access to category 1 and category 2 quantities of radioactive material without 265 further investigation. The licensee shall document that the individual was determined to 266 be trustworthy and reliable under the provisions of 10 CFR Part 73 or a security order.

267 Security order, in this context, refers to any order that was issued by the NRC that 268 required fingerprints and an FBI criminal history records check for access to safeguards 269 information, safeguards information-modified handling, or risk significant material such as 270 special nuclear material or large quantities of uranium hexafluoride. These individuals 271 shall be subject to the reinvestigation requirement.

272 22.10.3 Reinvestigations.

273 A.

Licensees shall conduct a reinvestigation every 10 years for any individual with 274 unescorted access to category 1 or category 2 quantities of radioactive material. The 275 reinvestigation shall consist of fingerprinting and an FBI identification and criminal history 276 records check in accordance with 22.11. The reinvestigations must be completed within 277 10 years of the date on which these elements were last completed.

278 22.11 Requirements for Criminal History Records Checks of Individuals Granted Unescorted 279 Access to Category 1 or Category 2 Quantities of Radioactive Material.

280 22.11.1 General performance objective and requirements.

281 A.

Except for those individuals listed in 22.12 and those individuals grandfathered under 282 22.10.2., each licensee subject to the provisions of section B of this Part shall fingerprint 283 each individual who is to be permitted unescorted access to category 1 or category 2 284 quantities of radioactive material. Licensees shall transmit all collected fingerprints to the 285 U.S. Nuclear Regulatory Commission for transmission to the FBI. The licensee shall use 286 the information received from the FBI as part of the required background investigation to 287 determine whether to grant or deny further unescorted access to category 1 or category 2 288 quantities of radioactive materials for that individual.

289 290 Commented [JSJ12]:

This section (22.10.2) modified for formatting to remove unneeded spaces.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 8

D.

Fingerprints do not need to be taken if an individual who is an employee of a licensee, 291 contractor, manufacturer, or supplier has been granted unescorted access to category 1 292 or category 2 quantities of radioactive material, access to safeguards information, or 293 safeguards information-modified handling by another licensee, based upon a background 294 investigation conducted under section B of this Part, the Fingerprint Orders, or 10 CFR 295 Part 73. An existing criminal history records check file may be transferred to the licensee 296 asked to grant unescorted access in accordance with the provisions of 22.13.3.

297 298 22.11.2 Prohibitions.

299 300 B.

Licensees may not use information received from a criminal history records check 301 obtained under section B of this Part in a manner that would infringe upon the rights of 302 any individual under the First Amendment to the Constitution of the United States, nor 303 shall licensees use the information in any way that would discriminate among individuals 304 on the basis of race, religion, national origin, gender, or age.

305 22.11.3 Procedures for processing of fingerprint checks.

306 A.

For the purpose of complying with this Part, licensees shall submit to the U.S. Nuclear 307 Regulatory Commission, Director, Division of Facilities and Security, 11545 Rockville 308 Pike, Rockville, MD 20852-2738, ATTN: Criminal History Program, Mail Stop TWB-05 309 B32M, one completed, legible standard fingerprint card (Form FD-258, 310 ORIMDNRCOOOZ), electronic fingerprint scan or, where practicable, other fingerprint 311 record for each individual requiring unescorted access to category 1 or category 2 312 quantities of radioactive material. Copies of these forms may be obtained by writing the 313 Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, 314 Washington, DC 20555-0001, by calling 1-630-829-9565, or by email to 315 FORMS.Resource@nrc.gov. Guidance on submitting electronic fingerprints can be found 316 at http://www.nrc.gov/site-help/e-submittals.html.For the purposes of complying with 317 this section B, licensees shall use an appropriate method listed in 10 CFR Part 37.7 318 to submit to the U.S. Nuclear Regulatory Commission, Director, Division of 319 Physical and Cyber Security Policy, 11545 Rockville Pike, ATTN: Criminal History 320 Program/Mail Stop T-8B20, Rockville MD 20852, one completed, legible standard 321 fingerprint card (Form FD-258, ORIMDNRCOOOZ), electronic fingerprint scan or, 322 where practicable, other fingerprint record for each individual requiring unescorted 323 access to category 1 or category 2 quantities of radioactive material. Copies of 324 these forms may be obtained by emailing MAILSVS.Resource@nrc.gov. Guidance 325 on submitting fingerprints can be found at https://www.nrc.gov/security/chp.html.

326 B.

Fees for the processing of fingerprint checks are due upon application. Licensees shall 327 submit payment with the application for the processing of fingerprints through corporate 328 check, certified check, cashiers check, money order, or electronic payment, made 329 payable to U.S. NRC. (For guidance on making electronic payments, contact the 330 Security Branch, Division of Facilities and Security at 301-492-3531.) (For guidance on 331 making electronic payments, contact the Division of Physical and Cyber Security 332 Policy by e-mailing Crimhist.Resource@nrc.gov.) Combined payment for multiple 333 applications is acceptable. The U.S. Nuclear Regulatory Commission publishes the 334 amount of the fingerprint check application fee on the NRCs public Web site. (To find the 335 current fee amount, go to the Electronic Submittals page at http://www.nrc.gov/site-336 help/e-submittals.html and see the link for the Criminal History Program under Electronic 337 Submission Systems.)(To find the current fee amount, go to the Licensee Criminal 338 History Records Checks & Firearms Background Check information page at 339 Commented [JSJ13]:

This provision is amended for consistency with the November 18, 2019 technical corrections to 10 CFR 37.27(c)(1), due to changes in NRC organizational structure and contact information.

Licensees will use this updated information in order to submit fingerprinting information to NRC.

NRC Compatibility B NRC RATS 2019-1 Commented [JSJ14]:

This provision is amended for consistency with the November 18, 2019 technical corrections to 10 CFR 37.27(c)(2), due to changes in NRC organizational structure and contact information.

Licensees will require this updated information in order to submit payment for fingerprinting processing.

NRC Compatibility B NRC RATS 2019-1

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 9

https://www.nrc.gov/security/chp.html and see the link for How do I determine how 340 much to pay for the request?).

341 C.

The U.S. Nuclear Regulatory Commission will forward to the submitting licensee all data 342 received from the FBI as a result of the licensees application(s) for criminal history 343 records checks.

344 22.12 Relief from Fingerprinting, Identification, and Criminal History Records Checks and Other 345 Elements of Background Investigations for Designated Categories of Individuals Permitted 346 Unescorted Access to Certain Radioactive Materials.

347 22.12.1 Fingerprinting, and the identification and criminal history records checks required by 348 section 149 of the Atomic Energy Act of 1954, as amended, and other elements of the 349 background investigation are not required for the following individuals prior to granting 350 unescorted access to category 1 or category 2 quantities of radioactive materials:

351 A.

An employee of the Commission or of the Executive Branch of the U.S. Government who 352 has undergone fingerprinting for a prior U.S. Government criminal history records check; 353 B.

A Member of Congress; 354 C.

An employee of a member of Congress or Congressional committee who has undergone 355 fingerprinting for a prior U.S. Government criminal history records check; 356 D.

The Governor of a State or his or her designated State employee representative; 357 E.

Federal, State, or local law enforcement personnel; 358 F.

State Radiation Control Program Directors and State Homeland Security Advisors or their 359 designated State employee representatives; 360 G.

Agreement State employees conducting security inspections on behalf of the NRC under 361 an agreement executed under section 274.i. of the Atomic Energy Act; 362 H.

Representatives of the International Atomic Energy Agency (IAEA) engaged in activities 363 associated with the U.S./IAEA Safeguards Agreement who have been certified by the 364 NRC; 365 I.

Emergency response personnel who are responding to an emergency; 366 J.

Commercial vehicle drivers for road shipments of category 1 and category 2 quantities of 367 radioactive material; 368 K.

Package handlers at transportation facilities such as freight terminals and railroad yards; 369 L.

Any individual who has an active Federal security clearance, provided that he or she 370 makes available the appropriate documentation. Written confirmation from the 371 agency/employer that granted the Federal security clearance or reviewed the criminal 372 history records check must be provided to the licensee. The licensee shall retain this 373 documentation for a period of 3 years from the date the individual no longer requires 374 unescorted access to category 1 or category 2 quantities of radioactive material; and 375 M.

Any individual employed by a service provider licensee for which the service provider 376 licensee has conducted the background investigation for the individual and approved the 377 individual for unescorted access to category 1 or category 2 quantities of radioactive 378 Commented [JSJ15]:

The following sections are formatted for alignment of text and to remove unneeded spaces:

22.12.1 22.12.2

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 10 material. Written verification from the service provider must be provided to the licensee.

379 The licensee shall retain the documentation for a period of 3 years from the date the 380 individual no longer requires unescorted access to category 1 or category 2 quantities of 381 radioactive material.

382 22.12.2 Fingerprinting, and the identification and criminal history records checks required by 383 section 149 of the Atomic Energy Act of 1954, as amended, are not required for an 384 individual who has had a favorably adjudicated U.S. Government criminal history records 385 check within the last 5 years, under a comparable U.S. Government program involving 386 fingerprinting and an FBI identification and criminal history records check provided that 387 he or she makes available the appropriate documentation. Written confirmation from the 388 agency/employer that reviewed the criminal history records check must be provided to 389 the licensee. The licensee shall retain this documentation for a period of 3 years from the 390 date the individual no longer requires unescorted access to category 1 or category 2 391 quantities of radioactive material. These programs include, but are not limited to:

392 A.

National Agency Check; 393 B.

Transportation Worker Identification Credentials (TWIC) under 49 CFR part 1572; 394 C.

Bureau of Alcohol, Tobacco, Firearms, and Explosives background check and clearances 395 under 27 CFR part 555; 396 D.

Health and Human Services security risk assessments for possession and use of select 397 agents and toxins under 42 CFR part 73; 398 E.

Hazardous Material security threat assessment for hazardous material endorsement to 399 commercial drivers license under 49 CFR part 1572; and 400 F.

Customs and Border Protections Free and Secure Trade (FAST) Program.

401 22.13 Protection of Information.

402 22.13.1 Each licensee who obtains background information on an individual under section B of 403 this Part shall establish and maintain a system of files and written procedures for 404 protection of the record and the personal information from unauthorized disclosure.

405 22.13.2 The licensee may not disclose the record or personal information collected and 406 maintained to persons other than the subject individual, his or her representative, or to 407 those who have a need to have access to the information in performing assigned duties 408 in the process of granting or denying unescorted access to category 1 or category 2 409 quantities of radioactive material, safeguards information, or safeguards information-410 modified handling. No individual authorized to have access to the information may 411 disseminate the information to any other individual who does not have a need to know.

412 22.13.3 The personal information obtained on an individual from a background investigation may 413 be provided to another licensee:

414 A.

Upon the individuals written request to the licensee holding the data to disseminate the 415 information contained in his or her file; and 416 B.

The recipient licensee verifies information such as name, date of birth, social security 417 number, gender, and other applicable physical characteristics.

418 Commented [JSJ16]:

The following sections are formatted for alignment of text and to remove unneeded spaces:

22.13.1 22.13.2 22.13.3 22.13.4 22.13.5

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 11 22.13.4 The licensee shall make background investigation records obtained under section B of 419 this Part available for examination by an authorized representative of the Department to 420 determine compliance with the regulations and laws.

421 22.13.5 The licensee shall retain all fingerprint and criminal history records (including data 422 indicating no record) received from the FBI, or a copy of these records if the individuals 423 file has been transferred, on an individual for 3 years from the date the individual no 424 longer requires unescorted access to category 1 or category 2 quantities of radioactive 425 material.

426 22.14 Access Authorization Program Review.

427 22.14.1 Each licensee shall be responsible for the continuing effectiveness of the access 428 authorization program. Each licensee shall ensure that access authorization programs 429 are reviewed to confirm compliance with the requirements of section B of this Part and 430 that comprehensive actions are taken to correct any noncompliance that is identified. The 431 review program shall evaluate all program performance objectives and requirements.

432 Each licensee shall periodically (at least annually) review the access program content 433 and implementation.

434 22.14.2 The results of the reviews, along with any recommendations, must be documented. Each 435 review report must identify conditions that are adverse to the proper performance of the 436 access authorization program, the cause of the condition(s), and, when appropriate, 437 recommend corrective actions, and corrective actions taken. The licensee shall review 438 the findings and take any additional corrective actions necessary to preclude repetition of 439 the condition, including reassessment of the deficient areas where indicated.

440 22.14.3 Review records must be maintained for 3 years.

441 Physical Protection Requirements During UseSection C - Physical protection requirements during 442 use 443 22.15 Security Program.

444 22.15.1 Applicability.

445 A.

Each licensee that possesses an aggregated category 1 or category 2 quantity of 446 radioactive material shall establish, implement, and maintain a security program in 447 accordance with the requirements of section C of this Part.

448 B.

An applicant for a new license and each licensee that would become newly subject to the 449 requirements of section C of this Part upon application for modification of its license 450 shall implement the requirements of section C of this Part, as appropriate, before taking 451 possession of an aggregated category 1 or category 2 quantity of radioactive material.

452 C.

Any licensee that has not previously implemented the Security Orders or been subject 453 to equivalent Agreement State requirements or been subject to section C of this 454 Part22.15 through 22.23 shall provide written notification to the Department to the 455 address specified in 22.4 at least 90 days before aggregating radioactive material to a 456 quantity that equals or exceeds the category 2 threshold.

457 458 459 Commented [JSJ17]:

The following sections are formatted for alignment of text and to remove unneeded spaces:

22.14.1 22.14.2

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 12 22.16 General Security Program Requirements.

460 22.16.1 Security plan.

461 A.

Each licensee identified in 22.15.1. shall develop a written security plan specific to its 462 facilities and operations. The purpose of the security plan is to establish the licensees 463 overall security strategy to ensure the integrated and effective functioning of the security 464 program required by section C of this Part. The security plan must, at a minimum:

465

1.

Describe the measures and strategies used to implement the requirements of 466 section C of this Part; and 467

2.

Identify the security resources, equipment, and technology used to satisfy the 468 requirements of section C of this Part.

469 B.

The security plan must be reviewed and approved by the individual with overall 470 responsibility for the security program.

471 C.

A licensee shall revise its security plan as necessary to ensure the effective 472 implementation of Department requirements. The licensee shall ensure that:

473

1.

The revision has been reviewed and approved by the individual with overall 474 responsibility for the security program; and 475

2.

The affected individuals are instructed on the revised plan before the changes 476 are implemented.

477 D.

The licensee shall retain a copy of the current security plan as a record for 3 years after 478 the security plan is no longer required. If any portion of the plan is superseded, the 479 licensee shall retain the superseded material for 3 years after the record is superseded.

480 22.16.2 Implementing procedures.

481 A.

The licensee shall develop and maintain written procedures that document how the 482 requirements of section C of this Part and the security plan will be met.

483 484 485 22.16.4 Protection of information.

486 A.

Licensees authorized to possess category 1 or category 2 quantities of radioactive 487 material shall limit access to and unauthorized disclosure of their security plan, 488 implementing procedures, and the list of individuals that have been approved for 489 unescorted access.

490 B.

Efforts to limit access shall include the development, implementation, and maintenance of 491 written policies and procedures for controlling access to, and for proper handling and 492 protection against unauthorized disclosure of, the security plan and implementing 493 procedures, and the list of individuals that have been approved for unescorted 494 access.

495 C.

Before granting an individual access to the security plan, or implementing procedures, or 496 the list of individuals that have been approved for unescorted access, licensees 497 shall:

498 Commented [JSJ18]:

New (repeated) language is added to several provisions in 22.16.4 for consistency with the 2018 amendments to 10 CFR Part 37.43.

The amended language provides clarification that the list of approved individuals must be maintained in a secure manner similar to other security related documents and information.

Licensees will be required to make minor changes to their security plan and/or procedures as a result of this change.

NRC Compatibility C NRC RATS 2018-3

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 13

1.

Evaluate an individuals need to know the security plan, or implementing 499 procedures, or the list of individuals that have been approved for 500 unescorted access; and 501

2.

If the individual has not been authorized for unescorted access to category 1 or 502 category 2 quantities of radioactive material, safeguards information, or 503 safeguards information-modified handling, the licensee must complete a 504 background investigation to determine the individuals trustworthiness and 505 reliability. A trustworthiness and reliability determination shall be conducted by 506 the reviewing official and shall include the background investigation elements 507 contained in 22.10.1.A.2. through 22.10.1.A.7.

508 D.

Licensees need not subject the following individuals to the background investigation 509 elements for protection of information:

510

1.

The categories of individuals listed in 22.12.1.A. through 22.12.1.M; or 511

2.

Security service provider employees, provided written verification that the 512 employee has been determined to be trustworthy and reliable, by the required 513 background investigation in 22.10.1.A.2 through 22.10.1.A.7, has been provided 514 by the security service provider.

515 E.

The licensee shall document the basis for concluding that an individual is trustworthy and 516 reliable and should be granted access to the security plan, or implementing procedures, 517 or the list of individuals that have been approved for unescorted access.

518 F.

Licensees shall maintain a list of persons currently approved for access to the security 519 plan or implementing procedures, or the list of individuals that have been approved 520 for unescorted access. When a licensee determines that a person no longer needs 521 access to the security plan, or implementing procedures, or the list of individuals that 522 have been approved for unescorted access, or no longer meets the access 523 authorization requirements for access to the information, the licensee shall remove the 524 person from the approved list as soon as possible, but no later than 7 working days, and 525 take prompt measures to ensure that the individual is unable to obtain the security plan, 526 or implementing procedures, or the list of individuals that have been approved for 527 unescorted access.

528 G.

When not in use, the licensee shall store its security plan, and implementing procedures, 529 and the list of individuals that have been approved for unescorted access in a 530 manner to prevent unauthorized access. Information stored in nonremovable electronic 531 form must be password protected.

532 H.

The licensee shall retain as a record for 3 years after the document is no longer needed:

533

1.

A copy of the information protection procedures; and 534

2.

The list of individuals approved for access to the security plan, or implementing 535 procedures, or the list of individuals that have been approved for 536 unescorted access.

537 22.17 LLEA Coordination.

538 22.17.1 A licensee subject to section C of this Part shall coordinate, to the extent practicable, 539 with an LLEA for responding to threats to the licensees facility, including any necessary 540 armed response. The information provided to the LLEA must include:

541 Commented [JSJ19]:

New language added for consistency with the 2018 amendments to 10 CFR Part 37.43(d)(5).

NRC Compatibility C NRC RATS 2018-3 Commented [JSJ20]:

This section is formatted for alignment of text and elimination of blank lines/space.

Commented [JSJ21]:

Clarifying language added to parallel the subpart reference found in 10 CFR Part 37.45.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 14 A.

A description of the facilities and the category 1 and category 2 quantities of radioactive 542 materials along with a description of the licensees security measures that have been 543 implemented to comply with section C of this Part; and 544 B.

A notification that the licensee will request a timely armed response by the LLEA to any 545 actual or attempted theft, sabotage, or diversion of category 1 or category 2 quantities of 546 material.

547 548 22.19 Monitoring, Detection, and Assessment.

549 22.19.1 Monitoring and detection.

550 551 C.

A licensee subject to section C of this Part shall also have a means to detect 552 unauthorized removal of the radioactive material from the security zone. This detection 553 capability must provide:

554 555 22.20 Maintenance and Testing.

556 22.20.1 Each licensee subject to section C of this Part shall implement a maintenance and 557 testing program to ensure that intrusion alarms, associated communication systems, and other 558 physical components of the systems used to secure or detect unauthorized access to radioactive 559 material are maintained in operable condition and are capable of performing their intended 560 function when needed. The equipment relied on to meet the security requirements of this Part 561 must be inspected and tested for operability and performance at the manufacturers suggested 562 frequency. If there is no suggested manufacturers suggested frequency, the testing must be 563 performed at least annually, not to exceed 12 months.

564 22.20.2 The licensee shall maintain records on the maintenance and testing activities for 3 years.

565 566 22.22 Security Program Review.

567 22.22.1 Each licensee shall be responsible for the continuing effectiveness of the security 568 program. Each licensee shall ensure that the security program is reviewed to confirm compliance 569 with the requirements of section C of this Part and that comprehensive actions are taken to 570 correct any noncompliance that is identified. The review must include the radioactive material 571 security program content and implementation. Each licensee shall periodically (at least annually) 572 review the security program content and implementation.

573 574 Physical Protection in TransitSection D - Physical protection in transit 575 22.24 Additional Requirements for Transfer of Category 1 and Category 2 Quantities of 576 Radioactive Material.

577 578

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 15 22.25 Applicability of Physical Protection of Category 1 and Category 2 Quantities of Radioactive 579 Material During Transit.

580 22.25.1 For shipments of category 1 quantities of radioactive material, each shipping licensee 581 shall comply with the requirements for physical protection contained in 22.26.1. and 22.26.5.;

582 22.27; 22.28.1.A., 22.28.2.A. and 22.28.3.; and 22.29.1., 22.29.3., 22.29.5., 22.29.7., and 583 22.29.8.

584 22.25.2 For shipments of category 2 quantities of radioactive material, each shipping licensee 585 shall comply with the requirements for physical protection contained in 22.26.2. through 22.26.5.;

586 22.28.1.B., 22.28.1.C., 22.28.2.B., and 22.28.3.; and 22.29.2., 22.29.4., 22.29.6., 22.29.7., and 587 22.29.8. For those shipments of category 2 quantities of radioactive material that meet the criteria 588 of Part 17, Section 17.11, the shipping licensee shall also comply with the advance notification 589 provisions of Part 17, Section 17.11.

590 22.25.3 The shipping licensee shall be responsible for meeting the requirements of section D of 591 this part22.24 through 22.29 unless the receiving licensee has agreed in writing to arrange for 592 the in-transit physical protection required under section D of this part22.24 through 22.29.

593 594 22.27 Advance Notification of Shipment of Category 1 Quantities of Radioactive Material.

595 22.27.1 As specified in 22.27.1.A. and 22.27.1.B., each licensee shall provide advance 596 notification to the NRC, Department and the governor of a State, or the governors designee, of 597 the shipment of licensed material in a category 1 quantity, through or across the boundary of the 598 State, before the transport, or delivery to a carrier for transport of the licensed material outside 599 the confines of the licensees facility or other place of use or storage.

600 A.

Procedures for submitting advance notification.

601

1.

The notification must be made to the Department, the NRC and to the office of 602 each appropriate governor or governors designee. The contact information, 603 including telephone and mailing addresses, of governors and governors 604 designees, is available on the NRCs Web site at 605 https://scp.nrc.gov/special/designee.pdf. A list of the contact information is also 606 available upon request from the Director, Division of Material Safety, State, 607 Tribal, and RulemakingMaterials Safety, Security, State, and Tribal Programs, 608 Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 609 Commission, Washington, DC 20555-0001. The notification to the Department 610 must be made by email to the address specified in 22.4. Notifications to the 611 NRC must be to the NRCs Director, Office of Nuclear Security and Incident 612 Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555-613 0001. The notification to the NRC may be made by email to 614 RAMQC_SHIPMENTS@nrc.gov or by fax to 301-816-5151.

615

2.

A notification delivered by mail must be postmarked at least 7 days before 616 transport of the shipment commences at the shipping facility.

617

3.

A notification delivered by any means other than mail must reach NRC and the 618 Department at least 4 days before the transport of the shipment commences and 619 must reach the office of the governor or the governor's designee at least 4 days 620 before transport of a shipment within or through the State.

621 Commented [JSJ22]:

Notification to NRC is added in this section, based on comments provided to Colorado in correspondence dated March 8, 2018 to address Part 22 comments regarding NRC RATS 2015-5.

NRC Compatibility B Commented [JSJ23]:

Due to a change in reorganization at NRC, the Division title is modified in 22.27.1.A, consistent with the 2018 changes to 10 CFR 37.77(a)(1) in NRC RATS 2018-3 and to address comments in NRC correspondence dated March 8, 2018 regarding NRC RATS 2015-5.

The amended language also incorporates clarifying information for electronic and paper submissions to the department and NRC.

NRC Compatibility B.

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 16 B.

Information to be furnished in advance notification of shipment. Each advance notification 622 of shipment of category 1 quantities of radioactive material must contain the following 623 information, if available at the time of notification:

624

1.

The name, address, and telephone number of the shipper, carrier, and receiver 625 of the category 1 radioactive material; 626

2.

The license numbers of the shipper and receiver; 627

3.

A description of the radioactive material contained in the shipment, including the 628 radionuclides and quantity; 629

4.

The point of origin of the shipment and the estimated time and date that shipment 630 will commence; 631

5.

The estimated time and date that the shipment is expected to enter each State 632 along the route; 633

6.

The estimated time and date of arrival of the shipment at the destination; and 634

7.

A point of contact, with a telephone number, for current shipment information.

635 C.

Revision notice.

636

1.

The licensee shall provide any information not previously available at the time of 637 the initial notification, as soon as the information becomes available but not later 638 than commencement of the shipment, to the governor of the State or the 639 governors designee, the NRC, and to the Department.

640

2.

A licensee shall promptly notify the NRC and the governor of the State or the 641 governors designee of any changes to the information provided in accordance 642 with 22.27.1.B and 22.27.1.C.1 of this section. The licensee shall also 643 immediately notify the Department of any such changes.

644 D.

Cancellation notice. Each licensee who cancels a shipment for which advance notification 645 has been sent shall send a cancellation notice to the NRC, the governor of each State or 646 to the governors designee previously notified and to the Department. The licensee shall 647 send the cancellation notice before the shipment would have commenced or as soon 648 thereafter as possible. The licensee shall state in the notice that it is a cancellation and 649 identify the advance notification that is being cancelled.

650 E.

Records. The licensee shall retain a copy of the advance notification and any revision 651 and cancellation notices as a record for 3 years.

652 F.

Protection of information. State officials, State employees, and other individuals, whether 653 or not licensees of NRC or an Agreement State, who receive schedule information of the 654 kind specified in 22.27.1.B shall protect that information against unauthorized disclosure 655 as specified in 22.16.4.

656 657 RecordsSection E - Records 658 22.30 Form of Records.

659

CODE OF COLORADO REGULATIONS 6 CCR 1007-1 Part 22 Hazardous Materials and Waste Management Division 17 22.30.1 Each record required by this Part must be legible throughout the retention period 660 specified by each Department regulation. The record may be the original or a reproduced copy or 661 a microform, provided that the copy or microform is authenticated by authorized personnel and 662 that the microform is capable of producing a clear copy throughout the required retention period.

663 The record may also be stored in electronic media with the capability for producing legible, 664 accurate, and complete records during the required retention period. Records such as letters, 665 drawings, and specifications, must include all pertinent information such as stamps, initials, and 666 signatures. The licensee shall maintain adequate safeguards against tampering with and loss of 667 records.

668 22.31 Record Retention.

669 22.31.1 Licensees shall maintain the records that are required by the regulations in this Part for 670 the period specified by the appropriate regulation. If a retention period is not otherwise specified, 671 these records must be retained until the Department terminates the facilitys license. All records 672 related to this Part may be destroyed upon Department termination of the facility license.

673 EnforcementSection F - Enforcement 674 22.32 Inspections.

675 676

[NO FURTHER CHANGES TO RULE AFTER THIS POINT]

677