ML112070095
| ML112070095 | |
| Person / Time | |
|---|---|
| Site: | Robinson  |
| Issue date: | 07/25/2011 |
| From: | Ernstes M NRC/RGN-II/DRS/PSB2 |
| To: | Duncan R Progress Energy Co |
| References | |
| RIS-03-008, RIS-05-026 | |
| Download: ML112070095 (17) | |
See also: RIS 2003-08
Text
UNITED STATES
NUCLEAR REGULATORY COMMISSION
REGION II
245 PEACHTREE CENTER AVENUE NE, SUITE 1200
ATLANTA, GEORGIA 30303-1257
July 25, 2011
Mr. Robert J. Duncan II.
Vice President
Progress Energy
H. B. Robinson Steam Electric Plant, Unit 2
3581 West Entrance Rd
Hartsville, SC 29550
SUBJECT: UPDATE OF NUCLEAR REGULATORY COMMISSION (NRC) DISTRIBUTION
LIST FOR DOCUMENTS CONTAINING SAFEGUARDS (SGI), OFFICIAL USE
ONLY (OUO), AND ROUTINE INFORMATION - (H. B. ROBINSON STEAM
ELECTRIC PLANT)
Dear Mr. Duncan:
I am writing to request current information on those individuals authorized to receive documents
containing Safeguards (SGI), Official Use Only (OUO), and Routine information on issues
relating to your facility. Safeguards information is a special category of sensitive unclassified
information authorized by Section 147 of the Atomic Energy Act of 1954, as amended (the Act),
to be protected. While SGI is considered sensitive unclassified information, it is handled and
protected more like classified confidential information than like other sensitive unclassified
information (e.g., privacy and proprietary information).
Access to SGI is controlled by a valid need-to-know basis. It is the responsibility of the NRC to
maintain the integrity of SGI distribution, therefore we are currently in the process of verifying
the identity, and contact information of individuals designated to receive documents with SGI,
OUO, and Routine information for your facility.
You are requested to provide an updated distribution list of those persons who should receive
documents containing SGI, OUO, and Routine information within 20 days of the date of this
letter to: ATTN: Document Control Desk, Washington, D.C. 20555-0001; with a copy to the
Regional Administrator Region II, so that we can verify and/or update our distribution
information.
Please ensure that each list clearly specifies the individuals who are authorized to receive
matter specific correspondence. To facilitate this request, I have enclosed a copy of the NRCs
official distribution list on file, which has been organized by category. Additionally, you will find
NRC Regulatory Issue Summary 2005-26 defining control of sensitive unclassified non-
safeguards information related to nuclear power reactors, and NRC Regulatory Issue Summary 2003-08, Summary of Safeguards Information Requirements.
Progress Energy 2
In accordance with 10 CFR 2.390 of the NRCs Rules of Practice, a copy of this letter and its
enclosures will be available electronically for public inspection in the NRC Public Document
Room or from the Publicly Available Records (PARS) component of NRCs document system
(ADAMS). ADAMS is accessible from the NRC Web site at http://ww.nrc.gov/reading-
rm/adams.html (the Public Electronic Room).
Should you have any questions concerning this letter, please contact us.
Sincerely,
/RA/
Michael E. Ernstes, Chief
Plant Support Branch 2
Division of Reactor Safety
Docket No.: 50-261
License No.: DPR-23
Enclosures:
1. Current Official Distribution List
2. NRC Regulatory Issue Summary 2005-26
3. NRC Regulatory Issue Summary 2003-08
_________________________ X SUNSI REVIEW COMPLETE X FORM 665 ATTACHED
OFFICE RII: DRS RII:DRS RII:DRP
NAME J. CALLOWAY M. ERNSTES R. MUSSER
DATE 07/21/2011 07/25/2011 07/22/2011
E-MAIL COPY? YES NO YES NO YES NO YES NO YES NO YES NO YES NO
OFFICIAL DISTRIBUTION LIST
H.B. ROBINSON STEAM ELECTRIC PLANT
ROUTINE DISTRIBUTION:
cc w/encl: Richard Haynes
Division of Radiological Health Director, Division of Waste Management
TN Dept. of Environment & Conservation Bureau of Land and Waste Management
401 Church Street S.C. Department of Health and
Nashville, TN 37243-1532 Environmental Control
Electronic Mail Distribution
Sandra Threatt, Manager
Nuclear Response and Emergency Kelvin Henderson
Environmental Surveillance General Manager
Bureau of Land and Waste Management Nuclear Fleet Operations
Department of Health and Environmental Progress Energy
Control Electronic Mail Distribution
Electronic Mail Distribution
Thomas Cosgrove
Robert J. Duncan II Plant General Manager
Vice President H.B. Robinson Steam Electric Plant, Unit 2
H.B. Robinson Steam Electric Plant, Unit 2 Progress Energy
Progress Energy Electronic Mail Distribution
Electronic Mail Distribution
Donna B. Alexander
Brian C. McCabe Manager, Nuclear Regulatory Affairs
Manager, Nuclear Oversight (interim)
Shearon Harris Nuclear Power Plant Progress Energy
Progress Energy Electronic Mail Distribution
Electronic Mail Distribution
Robert P. Gruber
Scott D. West Executive Director
Superintendent Security Public Staff - NCUC
H. B. Robinson Steam Electric Plant 4326 Mail Service Center
Progress Energy Raleigh, NC 27699-4326
Electronic Mail Distribution
W. Lee Cox, III
Joseph W. Donahue Section Chief
Vice President Radiation Protection Section
Nuclear Oversight N.C. Department of Environmental
Progress Energy Commerce & Natural Resources
Electronic Mail Distribution Electronic Mail Distribution
David T. Conley Greg Kilpatrick
Senior Counsel Operations Manager
Legal Department H.B. Robinson Steam Electric Plant, Unit 2
Progress Energy Progress Energy
Electronic Mail Distribution Electronic Mail Distribution
John H. O'Neill, Jr. Mark Yeager
Shaw, Pittman, Potts & Trowbridge Division of Radioactive Waste Mgmt.
2300 N. Street, NW S.C. Department of Health and
Washington, DC 20037-1128 Environmental Control
Electronic Mail Distribution
Enclosure 1
OFFICIAL DISTRIBUTION LIST
H.B. ROBINSON STEAM ELECTRIC PLANT
ROUTINE DISTRIBUTION:
cc w/encl (continued):
Public Service Commission
State of South Carolina
P.O. Box 11649
Columbia, SC 29211
Chairman
North Carolina Utilities Commission
Electronic Mail Distribution
Henry Curry
Training Manager
H.B. Robinson Steam Electric Plant, Unit 2
Progress Energy
Electronic Mail Distribution
Senior Resident Inspector
U.S. Nuclear Regulatory Commission
H. B. Robinson Steam Electric Plant
2112 Old Camden Rd
Hartsville, SC 29550
William R. Gideon
Director Site Operations
H. B. Robinson Steam Electric Plant, Unit 2
Progress Energy
Electronic Mail Distribution
Christos Kamilaris
Manager, Support Services
H.B. Robinson Steam Electric Plant, Unit 2
Progress Energy
Electronic Mail Distribution
Terry D. Hobbs
Plant General Manager
Brunswick Steam Electric Plant
Carolina Power & Light Company
Electronic Mail Distribution
Supervisor, Licensing/Regulatory Programs
(Vacant)
H. B. Robinson Steam Electric Plant
3581 West Entrance Rd.
Hartsville, SC 29550
John W. Flitter
Director of Electric & Gas Regulation
South Carolina Office of Regulatory Staff
Electronic Mail Distribution
Enclosure 1
OFFICIAL DISTRIBUTION LIST
H.B. ROBINSON STEAM ELECTRIC PLANT
OFFICIAL USE ONLY (OUO) DISTRIBUTION
cc w/encl
Thomas Cosgrove
Plant General Manager
H.B. Robinson Steam Electric Plant, Unit 2
Progress Energy
3581 West Entrance Rd.
Hartsville, SC 29550
Christos Kamilaris
Manager, Support Services
H.B. Robinson Steam Electric Plant, Unit 2
Progress Energy
3581 West Entrance Rd.
Hartsville, SC 29550
Joseph W. Donahue
Vice President
Nuclear Oversight
Progress Energy
TPP-15
100 E. Davie Street
Raleigh, NC 27601
Kelvin Henderson
General Manager
Nuclear Fleet Operations
Progress Energy
TPP-15
100 E. Davie Street
Raleigh, NC 27601
Edward T. O'Neil
Director
Nuclear Protective Service and Emergency Preparedness
Progress Energy
TPP-15
100 East Davie Street
Raleigh, NC 27601
Scott D. West
Superintendent Security
H. B. Robinson Steam Electric Plant
Progress Energy
3581 West Entrance Road
Hartsville, SC 29550
Enclosure 1
OFFICIAL DISTRIBUTION LIST
H.B. ROBINSON STEAM ELECTRIC PLANT
SAFEGUARDS (SGI) DISTRIBUTION:
cc w/encl
Edward T. O'Neil
Director
Nuclear Protective Service and Emergency Preparedness
Progress Energy
TPP-15
100 East Davie Street
Raleigh, NC 27601
Scott D. West
Superintendent Security
H. B. Robinson Steam Electric Plant
Progress Energy
3581 West Entrance Road
Hartsville, SC 29550
Enclosure 1
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555-0001
November 7, 2005
NRC REGULATORY ISSUE SUMMARY 2005-26
CONTROL OF SENSITIVE UNCLASSIFIED NONSAFEGUARDS
INFORMATION RELATED TO NUCLEAR POWER REACTORS
ADDRESSEES
All holders of operating licenses for nuclear power reactors and holders of and applicants for
certificates for reactor designs.
INTENT
The U.S. Nuclear Regulatory Commission (NRC) is issuing this regulatory issue summary (RIS)
to inform the addressees of the appropriate handling of information that warrants controls
because of continuing concerns about terrorist attacks against the critical infrastructure of the
United States. The NRC intends to balance its responsibility to preserve public access to
information and support meaningful participation in NRCs regulatory processes against its
responsibility to withhold information that might unnecessarily compromise the security of
nuclear facilities. Licensees for operating nuclear power plants and reactor facility designers
may need to assess their document control procedures to ensure they protect sensitive
information. Although no specific action or written response is required, the NRC encourages
the addressees for this RIS, vendors and contractors, and others who may possess sensitive
information to destroy, mark, or otherwise control the information to avoid inadvertently
providing assistance to those who might use the information for malevolent acts.
BACKGROUND INFORMATION
NRC traditionally has given the public access to a significant amount of information about the
facilities and materials the agency regulates. Openness has been and remains a cornerstone
of NRCs regulatory philosophy. The Atomic Energy Act, subsequent legislation, and various
NRC regulations have given the public the right to participate in the licensing and oversight
process for nuclear power reactors and other NRC licensees. To participate in a meaningful
way, the public must have access to information about the design and operation of regulated
facilities and use of nuclear materials. However, NRC and other Government agencies have
always withheld some information from public disclosure for reasons of security, personal
privacy, or commercial or trade secret protection. In light of increased terrorist activity
worldwide, NRC reexamined its document disclosure policies.
Enclosure 2
Page 2 of 5
Since the events of September 11, 2001, NRC has issued advisories and taken specific actions
regarding the security of its licensed facilities. NRC has also assessed and revised its policies
and practices for control of information so that information that could reasonably be expected to
be useful to terrorists in planning or executing an attack against nuclear power plants or other
NRC-licensed facilities will be withheld from public disclosure. The most recent and detailed
guidance on the control of information related to operating nuclear power plants is provided in
the Commission paper SECY-04-0191, Withholding Sensitive Unclassified Information
Concerning Nuclear Power Reactors From Public Disclosure, dated October 19, 2004, and the
associated staff requirements memorandum dated November 9, 2004. Also see
SECY-05-0091, Task Force Report on Public Disclosure of Security-Related Information,
dated May 18, 2005, and the associated staff requirements memorandum dated June 30, 2005.
The NRC staff is preparing similar guidance for materials licensees and expects to make it
available to the public in early 2006.
SUMMARY OF ISSUE
Considering the various reviews, legislation, and other changes since September 11, 2001, the
NRC staff believes that clarifying NRCs current procedures and policies regarding the control
of information will be beneficial to stakeholders. NRC will continue to make available to the
public most of the information that the agency receives from or sends to its licensees. In
addition, the public will have access to a large amount of information included in various reports
produced by the NRC staff. Much of NRCs information also will be readily available to the
public via the NRC Web site (www.nrc.gov) and the NRCs electronic document management
system (ADAMS) (www.nrc.gov/reading-rm/adams.html). In addition, other information may be
released to the public in response to formal or informal requests. The exceptions for certain
information to be withheld from public disclosure for reasons other than security (e.g., privacy,
proprietary, and pre-decisional information) have not changed as a result of recent events. The
appropriate handling of Safeguards Information (SGI) is discussed in RIS-2003-08, Protection
of Safeguards Information From Unauthorized Disclosure, dated April 30, 2003, and more
specific SGI designation guidance documents.
NRC withheld from public disclosure some information related to protecting operating nuclear
power plants although it does not meet the existing criteria for designation as SGI. This type of
information was recognized before September 11, 2001, and, when submitted to NRC by a
licensee, was withheld from public disclosure according to the provisions of 10 CFR 2.390(d)(1). This regulation states:
(d) The following information is considered commercial or financial information within the
meaning of §9.17(a)(4) of this chapter and is subject to disclosure only in accordance
with the provisions of §9.19 of this chapter.
(1) Correspondence and reports to or from the NRC which contain information or
records concerning a licensees or applicants physical protection, classified matter
protection, or material control and accounting program for special nuclear material not
otherwise designated as Safeguards Information or classified as National Security
Information or Restricted Data.
Enclosure 2
Page 3 of 5
NRC expects that licensees will continue to request NRC withhold some information citing
10 CFR 2.390(d)(1) and that the volume of material requested to be withheld from public
disclosure under this provision will increase as the NRC staff and licensees implement the
guidance in this RIS. NRC changed its procedures shortly after September 11, 2001, to
withhold from public disclosure various categories of documents likely to include individual
records that warrant withholding under 10 CFR 2.390. The NRC staff will assess the need to
withhold such document categories if licensees routinely identify specific documents containing
sensitive information. The NRC staff will interact with licensees on a case-by-case basis
regarding the use of the provisions of 10 CFR 2.390(d)(1) to assure that information is properly
controlled, under either Section 2.390(d)(1) or one of the other Freedom of Information Act
(FOIA) exemptions that might be applicable. Licensees that identify information to be withheld
from public disclosure in accordance with 10 CFR 2.390(d)(1) or other provision in the
regulation should use the same general practices as used for proprietary commercial or
financial information. As shown on the attached diagram, the cover letter should clearly state
that the document includes sensitive information and the affected pages should include the
marking Security-Related Information Withhold Under 10 CFR 2.390. Unlike the
requirements for withholding proprietary information, licensees are not required to provide an
affidavit for sensitive information withheld under 10 CFR 2.390(d) and related to (1) physical
protection or (2) material control and accounting.
Most information received and generated by NRC deals with design, operations, or other
matters not directly related to the physical security of nuclear facilities or radioactive materials.
This information, if not protected as proprietary or under another exception, is generally made
available to the public. After September 11, 2001, NRC and other Government agencies
responded to concerns that some information easily available on public Web sites or by other
means might be useful to terrorists. SECY-04-0191 provides the primary NRC guidance on
whether information related to operating nuclear power plants should be withheld from public
disclosure in light of the post-September 11 concerns. The NRC staff has posted the guidance
and related material within the public reading room (http://www.nrc.gov/reading-rm.html) on the
NRC Web site, and stakeholders can ask questions or make suggestions about the guidance
and the examples.
As discussed in SECY-04-0191, other Government agencies have issued regulations or
guidance for protecting information that could be reasonably expected to be useful to terrorists
in planning or executing an attack on critical infrastructure.
- Protected critical infrastructure information (PCII) is information related to the security of
critical infrastructure that is voluntarily provided to the Department of Homeland Security
(DHS).
- Critical energy infrastructure information (CEII) is defined in Federal Energy Regulatory
Commission (FERC) regulations as information related to energy-related infrastructure
(e.g., hydroelectric dams and electric transmission systems).
- Sensitive security information (SSI) is defined in Transportation Safety Administration
(TSA) and Department of Transportation (DOT) regulations as information about the
security of transportation assets, including pipelines.
Enclosure 2
Page 4 of 5
Licensees may need to assess and revise their procedures for handling sensitive unclassified
nonsafeguards information in their normal activities and interactions with parties other than
NRC. During discussions of existing practices with various licensees, the NRC staff discovered
that licensees vary in how they treat and protect information that was previously unprotected but
now is considered sensitive. Some licensees have instituted more restrictive controls. Some
have determined that their routine business practices provide an appropriate level of protection
for the sensitive information.
As described in 10 CFR 2.390, information deemed sensitive because it relates to physical
protection or material control and accounting is protected in much the same way as commercial
or financial information. As with proprietary information, licensees are expected to have
sufficient internal controls to keep the information confidential. Possible methods to prevent the
inadvertent release of sensitive unclassified nonsafeguards information include marking
documents as described in 10 CFR 2.390, restricting access to electronic recordkeeping
systems, and controlling the reproduction, distribution, and destruction of potentially sensitive
records. NRC uses the marking Security-Related Information Withhold Under
10 CFR 2.390 and encourages the use of this marking by licensees and others possessing
information deemed sensitive using the guidance in SECY-04-0191. Licensees should ensure
that similar controls are in place when sensitive information is provided to outside parties such
as contractors or other Government agencies. The NRC staff posted information on NRCs
Web site (http://www.nrc.gov/reading-rm.html) and included a feedback form for questions or
suggestions on how to effectively control sensitive information.
BACKFIT DISCUSSION
This RIS requires no action or written response. Any action on the part of addressees to
assess and revise their document control procedures in accordance with the guidance
contained in this RIS is strictly voluntary and, therefore, is not a backfit under 10 CFR 50.109.
Consequently, the NRC staff did not perform a backfit analysis.
FEDERAL REGISTER NOTIFICATION
A notice of opportunity for public comment on this RIS was not published in the Federal
Register because it is informational and pertains to a staff position that does not represent a
departure from current regulatory requirements and practice. NRC intends to work with the
Nuclear Energy Institute, industry representatives, members of the public, and other
stakeholders in modifying related guidance documents.
SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996
The NRC has determined that this action is not a rule and thus is not subject to the Small
Business Regulatory Enforcement Fairness Act of 1996.
Enclosure 2
Page 5 of 5
PAPERWORK REDUCTION ACT STATEMENT
This RIS does not contain information collections and, therefore, is not subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
CONTACT
Please direct any questions about this matter to the technical contacts listed below or to the
appropriate Office of Nuclear Reactor Regulation (NRR) project manager.
/RA/ By Patrick L. Hiland For/
Michael J. Case, Director
Division of Inspection and Regional Support
Office of Nuclear Reactor Regulation
Technical Contacts: William Reckley, NRR Margie Kotzalas, NRR
301-415-1323 301-415-2737
E-mail: wdr@nrc.gov E-mail: mxk5@nrc.gov
Attachment: Marking diagram for documents withheld under 10 CFR 2.390
Note: NRC generic communications may be found on the NRC public Web site,
http://www.nrc.gov, under Electronic Reading Room/Document Collections.
Enclosure 2
Attachment
Page 1 of 1
SUGGESTED MARKINGS
Withhold From Public Disclosure In Accordance With 10 CFR 2.390
Overall page marking on the top of all pages
Security-Related Information
Withhold Under 10 CFR 2.390
Ensure Subject Line is non-sensitive
Subject
XXXXXXXXXX
XXXXXXXXXX
XXXXXXXXXX
XXXXXXXXXX
Appropriate Controls
Access: Need-to-know in order to perform official licensee functions.
Storage: Openly within licensee facilities with electronic or other access
controls, for example, key cards, guards, alarms.
Mail: U.S. Postal Service first class mail, single opaque envelope with
no markings to indicate 10 CFR 2.390 contents.
Electronic Transmission: Over encrypted phone, facsimile, computer, if available;
otherwise over non-encrypted circuits where recipient will
be present to receive the transmission.
Enclosure 2
Page 1 of 4
SUMMARY OF SAFEGUARDS INFORMATION REQUIREMENTS
I. AUTHORITY
The Atomic Energy Act of 1954, as amended, 42 U.S.C. §§ 2011 et seq. (Act), grants the
Nuclear Regulatory Commission broad and unique authority to prohibit the unauthorized
disclosure of Safeguards Information upon a determination that the unauthorized disclosure of
such information could reasonably be expected to have a significant adverse effect on the
health and safety of the public or the common defense and security by significantly increasing
the likelihood of theft, diversion, or sabotage of materials or facilities subject to NRC jurisdiction.
Section 147 of the Act, 42 U.S.C. § 2167.
For licensees and any other person, whether or not a licensee (primarily 10 C.F.R. Part 50
reactor licensees, 10 C.F.R. Part 70 licensees for special nuclear material, and their employees
and contractors) subject to the requirements in 10 C.F.R. Part 73, Safeguards Information is
defined by NRC regulation as follows:
Safeguards Information means information not otherwise classified as National
Security Information or Restricted Data which specifically identifies a licensee's
or applicant's detailed, (1) security measures for the physical protection of
special nuclear material, or (2) security measures for the physical protection and
location of certain plant equipment vital to the safety of production or utilization
facilities.
10 C.F.R. § 73.2.
Specific requirements for the protection of Safeguards Information are contained in
10 C.F.R. § 73.21. Access to Safeguards Information is limited as follows:
(c) Access to Safeguards Information. (1) Except as the Commission may
otherwise authorize, no person may have access to Safeguards Information
unless the person has an established "need to know" for the information and is:
(i) An employee, agent, or contractor of an applicant, a licensee, the
Commission, or the United States Government. However, an individual to be
authorized access to Safeguards Information by a nuclear power reactor
applicant or licensee must undergo a Federal Bureau of Investigation criminal
history check to the extent required by 10 CFR 73.57;
(ii) A member of a duly authorized committee of the Congress;
(iii) The Governor of a State or designated representatives;
(iv) A representative of the International Atomic Energy Agency (IAEA) engaged
in activities associated with the U.S./IAEA Safeguards Agreement who has been
certified by the NRC;
Enclosure 3
Page 2 of 4
(v) A member of a state or local law enforcement authority that is responsible for
responding to requests for assistance during safeguards emergencies; or
(vi) An individual to whom disclosure is ordered pursuant to § 2.744(e) of this
chapter [10 CFR 2.744(e)].
(2) Except as the Commission may otherwise authorize, no person may disclose
Safeguards Information to any other person except as set forth in paragraph
(c)(1) of this section.
10 C.F.R. § 73.21(c).
The need to know requirement is specified by NRC regulation as follows:
Need to know means a determination by a person having responsibility for
protecting Safeguards Information that a proposed recipient's access to
Safeguards Information is necessary in the performance of official, contractual,
or licensee duties of employment.
10 C.F.R. § 73.2.
Thus, unless otherwise authorized by the Commission, NRC regulations limit access to
Safeguards Information to certain specified individuals who have been determined to have a
need to know, i.e., specified individuals whose access has been determined to be necessary
in the performance of official, contractual or licensee duties of employment.
Furthermore, except as otherwise authorized by the Commission, no person may disclose
Safeguards Information to any other person unless that other person is one of the specified
persons listed in 10 C.F.R. § 73.21(c)(1) and that person also has a need to know.
10 C.F.R. § 73.21(c)(2). These regulations and prohibitions on unauthorized disclosure of
Safeguards Information are applicable to all licensees and all individuals:
This part [10 C.F.R. Part 73] prescribes requirements for the protection of
Safeguards Information in the hands of any person, whether or not a licensee of
the Commission, who produces, receives, or acquires Safeguards Information.
10 C.F.R. § 73.1(b)(7).
The Commissions statutory authority to protect and prohibit the unauthorized disclosure of
Safeguards Information is even broader than is reflected in these regulations. Section 147 of
the Act grants the Commission explicit authority to issue such orders, as necessary to prohibit
the unauthorized disclosure of safeguards information . . . . This authority extends to
information concerning special nuclear material, source material, and byproduct material, as
well as production and utilization facilities.
Enclosure 3
Page 3 of 4
The Act explicitly provides: Any person, whether or not a licensee of the Commission, who
violates any regulations adopted under this section shall be subject to the civil monetary
penalties of Section 234 of this Act. Section 147a of the Act. Section 234a of the Act
provides for a civil monetary penalty not to exceed $120,000 for each violation. See
10 C.F.R. § 2.205(j) (2003). Furthermore, a willful violation of any regulation or order governing
Safeguards Information is a felony subject to criminal penalties in the form of fines or
imprisonment, or both. See Sections 147b and 223a of the Act.
The NRC Enforcement Policy outlines potential NRC actions against both licensees and
individuals for violations of the regulations and Orders using criteria that evaluate both the
details and severity of the violation.
II. DISCUSSION
All licensees and all other persons who now have, or in the future may have, access to
Safeguards Information must comply with all applicable requirements delineated in regulations
and Orders governing the handling and unauthorized disclosure of Safeguards Information. As
stipulated in 10 C.F.R. § 73.21(a), licensees and persons who produce, receive or acquire
Safeguards Information are required to ensure that Safeguards Information is protected against
unauthorized disclosure. To meet this requirement, licensees and persons subject to
10 C.F.R. § 73.21(a) shall establish and maintain an information protection system governing
the proper handling and unauthorized disclosure of Safeguards Information. All licensees
should be aware that since the requirements of 10 C.F.R. § 73.21(a) apply to all persons who
receive Safeguards Information, they apply to all contractors whose employees may have
access to Safeguards Information and they must either adhere to the licensees policies and
procedures on Safeguards Information or develop, maintain and implement their own
information protection system, but the licensees remain responsible for the conduct of their
contractors. The elements of the required information protection system are specified in
10 C.F.R. § 73.21(b) through (i). The information protection system must address, at a
minimum, the following: the general performance requirement that each person who produces,
receives, or acquires Safeguards Information shall ensure that Safeguards Information is
protected against unauthorized disclosure; protection of Safeguards Information at fixed sites,
in use and in storage, and while in transit; inspections, audits and evaluations; correspondence
containing Safeguards Information; access to Safeguards Information; preparation, marking,
reproduction and destruction of documents; external transmission of documents; use of
automatic data processing systems; and removal of the Safeguards Information category.
As noted above, in addition to the responsibility of each licensee to ensure that all of its
employees, contractors and subcontractors, and their employees comply with applicable
requirements, all contractors, subcontractors, and individual employees also are individually
responsible for complying with applicable requirements and all are subject to civil and criminal
sanctions for failures to comply. The NRC considers that violations of the requirements
applicable to the handling of Safeguards Information are a serious breach of adequate
protection of the public health and safety and the common defense and security of the United
States.
Enclosure 3
Page 4 of 4
As a result, the staff intends to use the NRC Enforcement Policy, including the discretion to
increase penalties for violations, to determine appropriate sanctions against licensees and
individuals who violate these requirements. In addition, the Commission may use its discretion,
based on the severity of the violation, to further increase the penalty for any violation up to the
statutory maximum. Willful violations of these requirements will also be referred to the
Department of Justice for a determination of whether criminal penalties will be pursued.
Enclosure 3