and security contingencies. In accordance with the performance objectives of 10 CFR 73.37(a)(2), the physical protection system shall do the following: • Provide early detection and assessment of attempts to gain unauthorized access to, or control over, SNF shipments. • Delay and impede attempts at theft, diversion, or radiological sabotage of SNF shipments. • Provide notification to the appropriate response forces of any attempts at theft, diversion, or radiological sabotage of SNF shipments. Before granting an individual unescorted access to SNF in transit, the licensee shall determine if the individual is trustworthy and reliable by completing a background investigation of the individual in accordance with 10 CFR 73.38. The requirements of 10 CFR 73.38 apply to vehicle operators, escorts, train crews, and any other individuals accompanying the shipment during transport, as well as movement control center personnel. Fingerprinting and the other investigative elements in 10 CFR 73.38 do not apply to Federal, State, local, and Tribal 1 law enforcement personnel, nor do they apply to other persons identified in 10 CFR 73.59, “Relief from Fingerprinting, Identification and Criminal History Record Checks for Designated Categories of Individuals,” as well as other categories of persons, as specified in 10 CFR 73.38(c)(2). 1.2. Organization of NUREG-0561 The guidance contained in this document is organized to correspond to applicable sections of 10 CFR 73.37 and 10 CFR 73.38. Chapter 1 describes the regulatory basis and definitions applicable to shipments of SNF. Chapter 2 corresponds to the general requirements contained in 10 CFR 73.37(b) and 10 CFR 73.37(f). These requirements apply to all SNF shipments regardless of the mode of transportation used for a particular shipment. Chapters 3, 4, and 5 correspond to 10 CFR 73.37(c), 10 CFR 73.37(d), and 10 CFR 73.37(e), respectively, which contain additional requirements specific to each particular transport mode—road, rail, or U.S. waters. Chapter 6 corresponds to 10 CFR 73.38, which addresses requirements for background investigations of individuals with unescorted access to SNF in transit. In addition to the specific physical protection requirements in 10 CFR 73.37(b), 10 CFR 73.37(c), 10 CFR 73.37(d), 10 CFR 73.37(e), and 10 CFR 73.37(f), the regulation includes performance objectives in 10 CFR 73.37(a). These performance objectives are not intended to be implemented as specific requirements, but rather are general statements of the Commission’s intent. These objectives characterize and further define the general level of protection that physical protection systems designed to satisfy the requirements of the regulation are expected to provide. In this document, discussions about the requirements in 10 CFR 73.37(b) through (f) have been developed to be consistent with and to support the performance objectives in 10 CFR 73.37(a) to the extent that each objective applies to a specific element of the physical protection system.
1 After June 11, 2013, licensees must comply with the requirements in this document pertaining to participating Tribes, Tribal law enforcement personnel, Tribal officials, Tribal official’s designees and Tribal reservations (77 FR 34194; June 11, 2012).
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