ML20154D816

Responds to CRGR Recommendations on Policy Statement Endorsing NUMARC Industry Guidelines on Nuclear Power Plant Access Authorization Program & Provides Commission Paper Forwarding Policy Statement & Guidelines to Commission

ML20154D816
Person / Time
Issue date:	03/30/1987
From:	Thompson H NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
To:	Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
Shared Package
ML20154D718	List: ML20154D713 ML20154D721 ML20154D816 ML20195G230 ML20245C260
References
NUDOCS 8809160124
Download: ML20154D816 (18)

Text

{{#Wiki_filter:- e MEMORANDUM FO'R: Victor Stello, Jr. DISTRIBUTION Executive Director for Operations HMSS r/f HThompson SGRT r/f & s/f FROM: Hugh L. Thompson, Jr., Director PDwyer Office of Nuclear Material Safety JYardumian and Safeguards R8urnett R8ernero

SUBJECT:

POLICY STATEMENT AND NUMARC GUIDELINES ON NUCLEAR POWER PLANT ACCESS AUTHORIZATION PROGRAMS This responds to the Comittee to Review Generic Requirements (CRGR) recomenda-tions on the policy statement which endorses the Nuclear Utility Management and Resource Comittee (NUMARC) "Industry Guidelines on Nuclear Power Plant Access Authorization Program" (hereafter referred to as the Guidelines) and provides a Comission paper for your signature which fomards the policy statement and Guidelines to the Comission. The principal CRGR concern centers around the granting of unescorted access to temporary workers. The CRGR believes that unescorted access authorization should not be granted these individuals until the results of criminal history checks are received and considered. The Guidelines negotiated between NUMARC and the NRC staff, however, call for only the submission of fingerprints in the perfomance of a criminal history check pri:r to granting unescorted access to these workers. The Guidelines furthur call for the completion of credit checks, psychological assessments, and inttrviews with one developed reference as additional conditions precedent to granting unescorted access j authorization. Although there is considerable merit to the CRGR position, the staff believes that the Guidelines constitute a step fomard in the handling of temporary workers. For example, there are no present screening requirements in contrast to those stipulated in the Guidelines as described 2 above. Further, the actual taking of fingerprints is believed to constitute a deterrent effect. During the development of the Guidelines, NUMARC constantly stressed the impracticality and needless costs associated with placing temporary workers on the payroll to assure their availability while not being able to utilize them for an estirated 20-25 days pending the completion of the criminal history check. It was for this specific reason that other scensures were included in the ' Guidelines. In an effort to fully assess the scope of this problem, NUMARC was requested by i letter of January 30,1987 (Enclosure 1) to provide further details supporting industry views. The NUMARC response of Marci 11,1987, (Enclosure 2) provided the following data. 1 ' an average of 600 temporary workers are employed annually per operating unit (representing 40-45% of all individuals requiring unescorted access authorization) f 0809160124 070007 PDR REVCP NRCCRCR l MEETINQ116 PNU \\

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• 80% o'f the utilities polled do not know the identity of a temporary worker until 1-3 days before site access is required (for the remaining 20%, the pertoo 7eges from 1014* days)

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• the majority of temporary (workers are employed typically from one to three months criminal history data would be received in n.st cases before employment was terstnated) 4 i
• only 65 of individuals fingerpr,inted will have a record (according to the FBI)
• an estimated 47% of temporary workers held unescorted access at power reactors within the last year and, hence, their access authorization could be transferable under the Guidelines
• the estimated unproductive cost to industry resulting from a 25 day processing period prior to granting unescorted access is

$367 million annually. The staff continues to believe that the provisions of the Guidelines provide a practical approach to industry's handling of the tesporary worker issue and at the same time contributing to the public health and safety. I One further etnsideration involves the FBI's projection that within a year revised internal procedures will reduce estimated processi':g time from approximately 25 days to one day. At that time, it is b..seved that licensees 4 will be able to access criminal history data prior to granting unescorted access authorization to temporary workers. Based upo'n the considerations presented above, it is recomended that you approve the enclosed Comission Paper forw ding the Access Authorization Policy Statement and Industry Guidelino in the Cosmission. 4 t Hugh L. Thompson, Jr., Director Office of Nuclear Material Safety and Safeguards

Enclosures:

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The Commissioners From: Victor Stallo, Jr. Executive Director for Operations l Sub.fect: NUCt. EAR POWER PLANT ACCESS AUTHORIZATION PROGRAM - POLICY STATEMENT

Purpose:

To provide for Comission approval a proposed Policy Statement for an access authorization program at nuclear power reactors. l Dircussion: SECY AS-381, tb Insider Safeguards Rules, dated November 29, 1985, provided a package of three final rulemakings for Commission approval. These rules were (1) the Access Author 1 ration Rule to establish screening requirements for nuclear power plant personnel to include background investigations, psychological evaluations and a continual behavioral observation program; (2) the Search Requirements Rule to modify personnel entry search require-j ments at power reactors; and (3) the Miscellaneous Amend-ments Rule to clarify and refine requirements for the protection of vital locations containing safety-related equipment at nuclear power plants. By SECY meno of June 25, 1986 (Enclosure 1), the staff was directed to publish the Search Requirements and Miscellaneous Amendments Rules in final form. This action was completed with the publication of these two final rules in the Federal Register on August 4, 1986 (il FR 27817, 51 FR 27822). With regard to the Access f.uthorfration Rule, the staff was directed to prepare a policy statement replacing the proposed rule with an industry proposed initiative for an access authorfration program at power reactors. Several industry groups cospenting on the proposed rule, including the Nuclear Utility Management'and Resource Cosnittee (NUMARC), requested that the proposed rule be withd. awn and replaced CONTACT: P. Dwyer, HMSS 42-74773

r i The Comissioners 2 h by an industry initiative for an access authorization program based on NUMARC guidelines. NtMARC representa-j tives have interacted with the staff in the dueloment of a policy statement endorsing these guidelines wtich are entitled "Industry Guidelines for Nuclear Power Plant Access Authoriration Program (hereafter referred to as theGuidelines). The Comission endorsed this approach as an alternative to a rule with the understanding that (1) a review procedure would be recognized as an important element of the program for use in.the event employment of a permanent employee was to be terminated as a direct result of a dental or revocation of access authorization, and (2) all power reactor licensees would amend their physical security plans to comit to the Guidelines and to follow Cmnission policy on access authorization which would provide for NRC oversight, i.e., inspection and enforcement of the program. NUMARC, acting as the representative for all licensees in this respect, has agreed with these conditions which have been incorporated in the policy statement. E The impact to the NRC resulting from implementation of this program is anticipated to be $360.0K for existing sites and $160.8K for new sites (based upon an additional 15 sites being licensed within the next 5 years). These figures are based upon 5 staff-days / plan for Itcensing review and approval of amended security plans. 0.5 staff-year to revise inspection procedures and an addi-tional 1 staff-year / year for inspection. Accordingly, enclosed are a Federal Register Notice (FRN) to withdraw the proposed rulemaking for an access authorization program (Enclosure 2), a policy statement package that includes a FRN which issues a Comission l Policy Statement documenting agreements between NRC and industry on an access authorization program (Enclosure 3), the Guidelines (Enclosure 4),, and a draf t Congres-l sional letter (Enclosure 5). \\ I Coerdination: The Offices of Administration, Nuclear Reactor Regulation, and Inspection and Enforcement concur on the contents of this package. The Office of the r,eneral Counsel has reviewed the package and concurs. The Advisory Comittee on Reactor Safeguird has been provided this proposal for information purpnses. The Comittee to Review Generic Requirements has eviewed this Comission Paper; their recomendations have been incorporated a as appropriate. Recomendation: That the Comission: 1. Appr /e publication of the two enclosed FRN's = -

.' a !i ' ~ The Commissioners 3 I': h E 2. Note: (a) The Office of Public Affairs plans to issue the Policy Statement attached to a "Note to Editors" at the same time it is published in the Federal Register. (b) The NRC staff will inform the Subcommittee on Energy and Power of the House Cormittee on Energy and Comerce, the Subcosmittee on Nuclear Regulation of the Senate Committee on Environment and Public Works and the Subcosmittae on Energy and the Environment of the House Comittee on Interior and Insular Affairs of this action by letter such as found in Enclosure 5. (c) The Federal Register Notice of the policy statement will be distributed by ADH to power reactor Itcensees/ permit holders, applicint's for a construction permit for a power reactor, pubite interest groups, and affected nuclear utility contractors. Scheduling: .The staff requests scheduling at an early policy session. Victor Stello, Jr. Executive Director for Operations

Enclosures:

1. SRM, June 25, 1986 2. FRN - Withdrawal Access Auth Rule Policy Statement NUMARC Guidelines t. Draf t Congressional Ltr. s. l T l l

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(b) The NRC staff will infonn the Subcosmittee on Energy and Power of the House Cosmittee on Energy and Commerce, the Subcosmittee on Nuclear Regulation of the Senate Committee on Environment and Pubite Works and the Subcosmittee on Energy and the Environment of the House Committee on Interior and Insular Affairs of this action by letter such as found in Enclosure 5. (c) The Federal Register Notice of the policy statement will be distributed by ADM to power reactor licensees /pennit holders, applicants for a construction pennit for a power reactor, public intorest groups, and affected nuclear utility contractors. Scheduling: The staff requests scheduling at an early policy session. Victor Stello, Jr. ' Executive Ofrector for Operations

Enclosures:

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i g, 4 { J.4 u j ,'i.;'. < For: The Commissioners From: Victor Stello, Jr. Executive Director for Operations Sub.fect: NUCLEAR POWER PLANT ACCESS AUTHORIZATION PROGRAM - POLICY STATEMENT

Purpose:

To provide for Commission approval a proposed Policy Statement for an access authorization program at nuclear power reactors. Discussion: SECY 85-381, the Insider Safeguards Rules, dated November 29, 1985, provided a package of three final rulemakings for Commission approval. These rules were (1) the Access Authorization Rule to establish screening ~ requirements for nuclear power plant personnel to include background investigations, psychological evaluations and a continual behavioral observation program; (2) the Search Requirements Rule to modify personnel entry search reqtitre-ments at power reactors; and (3) the Miscellaneous Amend-ments Rule to clarify and refine requirements for the protection of vital locations containing safety-related equipment at nuclear power plants. By SECY memo of June 25, 1986 (Enclosure 1), the staff was directed to publish the Search Requirements and Miscellaneous Amendments Rules in final form. This action was completed with the publication of these two final rules in the Federal Register on August 4,1986 (51 FR 27817, 51 FR 27822). With regard to the Access Authorization Rule, the staff was directed to prepare a policy statement replacing.the proposed rule with an industry proposed initiative for an access authorization program at power reactors. Several industry groups the Nuclear comenting on the proposed rule, including (NUMARO), Utility Management and Resource Committee recuested that the proposed rule be withdrawn and replaced CONTACT: P. Dwyer, NMSS 42-74773

.lh, ',. 4: ' The Comissioners 2l w: l4.n ~. /". by an industry initiative for an access authorization 'c - program based on NUMARC guidelines. NLMARC representa-tives have interacted with the staff in the develo ment of a policy statement' endorsing these guidelines wtich are entitled "Industry Guidelines for Nuclear Power Plant Access Authorization Program (hereafter referred to as the Guidelines). The Comission endorsed this approach as an alternative to a rule with the understanding that (1) a review procedure would be recognized as an important element of the program for use in the event employment of a permanent emp oyee was to be terminated as a direct result of a denial or revocation of access authorization, and (2) all power reactor licensees would amend their physical security plans to cosmiit to the Guidelines and to follow Comission policy on access authorization which would' provide for NRC oversight, i.e., inspection and enforcement of the program. NUMARC, acting as the representative for all licensees in this respect, has agreed with these conditions which have been incorporated in the policy statement. The impact to the NRC resulting from implementation of this program is anticipated to be $360.0K for existing tites and $160.8K for new sites (based upon an additional 15 sites being licensed within the next 5 years). These j figures are based upon 5 staff-days / plan for licensing review and approval of amended security plans. 0.5 staff-year to revise inspection procedures and an addf-tional 1 staff-year / year for inspection. Accordingly, enclosed are a Federal Register Notice (FRN) to withdraw the proposed rulemaking for an access l authorization program (Enclosure 2), a policy statement package that includes a FRN which issues a Comission l Policy Statement documenting agreements between NRC and industry on an access authorization program (Enclosure 3), the Guidelines (Enclosure 4), and a draft Congres-i sional letter (Enclosure 5). Coordination: The Offices of Administration, Nuclear Reactor Regulation, i and Inspection and Enforcement concur on the contents of this package. The Office of the General Counsel has reviewed the package and concurs. The Advisory Comittee j on Reactor Safeguard has been provided this proposal for 4 infonnation purposes. The Comittee to Review Go'neric Requirements has reviewed this Comission Paper; their recomendations have been incorporated as appropriate. Recomenda tion: That the Comission: 1. Approve publication of the two enclosed FRN's P y---

i '+ The Cosmissioners 3- I ,,' d ' '. $ [T'l' ~~ T. 2. Note: (a) The Office of Public kffalkplans to issue the Policy Statement' attached to'a "Note to Editors' at the same time it is published in the Federal Register. (b) The NRC staff will inform the Subcosmittee on Energy and Power of the House Committee on Energy and Cosmarce, the Subcosuittee on Nuclear Regulatlon of the Senate Cosmittee on Environsunt and Public Works and the Subcosmittee on Energy and the Environment of the House Cosmittee on Interior and Insular Affairs of this action by letter such as found in Enclosure 5. (c) The Feder", Register Notice of the policy statement will be distributed by ADM to power c' ctor licensees / permit holders, applicants' a construction pemit for a power reactor, puolic interest groups, and affected nuclear utility contractors. Scheduling: The staff requests scheduling at an ear y policy session. l Victor Stello, Jr. Executive Director for Operations l

Enclosures:

1. SRM, June 25, 1986 2. FRN - Withdrawal Access Auth. Rule 3. Policy Statement 4 NUMARC Guidelines l Oraft Congressional Ltr.

[7590-01) NUCLEAR REGULATORY COMMISSION 10 CFR PARTS 50 and 73 Access Authorization Program AGENCY: Nuclear Regulatory Comission. ACTION: Proposed rule: Withdrawal. SumARY: The Nuclear Pegulatory Comission is withdrawing a proposed rule published in the Federal Register on August 1,1984 in which the NRC solicited cocinents on proposed ar,endiants of its regulations. These amendments would have established an access authorization program for individuals seeking unescorted access to protected areas and vital areas at nuclear power plants. In response to nuclear industry public coerents.- the Comission has accepted an industry initiative to voluntarily comit to industry-developed guidelines on access authorization. The NRC has developed a policy statement to document this agreement. that is being published elsewhere in this issue. Comitments to adhere to these guide-lines are to be formalized through ar.endments to licensees' NPC-approved physical security plans. As an amendment to the security plan, the comitrent is inspectable and enforceable by the NRC. The withdrawal of the proposed rule does not add, amend, or rescind any NRC regulation. F0P FURTHER INFO MATION CONTACT: Priscilla A. Dwyer, Division of Safeguards. Office of Nuclear Material Safety and Safeguards, I ENCLOSURE 2

[7590-01) U.S. Nuclear Regulatory Comission, k'ashington, DC 20555, telephone (301)427-4773. SUPPLENNTARYINFORMATION On August 1,1984, the NRC published in the Federal Pegister (49 FR 30727) proposed amendments to 10 CFR Parts 50 and 73 of its regulations which would establish an employee screening prngram for individuals requiring unescorted access to nuclear power plant protected and vital areas. A total of 143 letters of coment on this proposed regulation were 4 received from licensees, licensee groups, licensee contractors, psychologists / psychiatrists, universities, research and development centers / laboratories, lawyers, medical doctors, unions, private citizens, and a State government. Copies of these letters are available for public _ inspection and copying for a fee at the NRC Public Document Room at 1717 H Street NW., Vashington, DC. The coment letters addressed a wide range a of issues on many elements of the proposed program including its three 4 main elements: background investigation, psychological evaluation and a continual behavioral observation program. Industry grcups, including the Nuclear Utility Management and ResoJrce Comittee (NUMARC), the Edison Electric Institute, and later the Atomic Industrial Forum and KMC, Inc., recomended the rule be withdrawn and replaced with an industry proposed initiative to voluntarily comit to industry guidelines for an access authorization program, Considerable analysis was afforded this recom-mendation and the Comission believes there is rerit to withdrawing the l proposed rule ir, consideration of this approach. First, it has the advantage of not imposing an addition.1 regulation on power reactor 4 2

f7590 01) licensees. Second, with regard to an access authorization program, cnal-ysis of public coment has indicated a majority of utilities presently conduct some fem of screening of their employees and hence, to varying degrees *are experienced in the irplementation of such programs.

Third, precedent for the replacement of a proposed rule by an industry program exists, e.g., "Fitness for Duty" and "Training and Qualification for Power Plant Personnel." "Lessons learned" in the implementation of such industry programs may benefit other initiatives of this type.

Finally, it was recognized that withdrawal of this proposed rule is conditional in nature, and the option of rule issuance remains available if needed.

At part of public comment, NUMARC submitted guidelines for use if the Commission approved the industry proposal as an alternative to the pro- \\ posed Access Authorization Rule. The guidelines developed by industry i resulted in a proposed program which closely parallels that contained in the proposed rule and which includes its basic three components. Also included is a review procedure for use in the event employment of a permanent employee is or will be terminated as a direct result of a denial or revocation of access authorization. The assurance given by NLHARC (acting as representative for all power reactor licensees) to the Comission that all licensees would voluntarily comit to following the guidelines through NRC approved amendments to security plans, which are a part of the facility operat-ing license, weighed heavily in favor of acceptance of this proposal, l The key consideration in this regard stems from the fact that through appcopriate license comitments all elvents of the guidelines weuld be 'inspectable and enforceable through nomal NRC inspection activities. j l r i

f7590-01) In view of these considerations, the proposed rule and its associated guidance are withdrawn. Minor conforming amendments to Part 50 which were previously published as part of the proposed Access Authorization Program were published in final form as part of the Miscellaneous Amendments, August 4,1986,(51FR27817). The withdrawal of this proposed rule does not preclude the Commission from taking any future course of action with regard to access authoritation requirements for individuals with unescorted facility access at nuclear power plants. Dated at Washington, DC, this day of , 1987. For the Nuclear Regulatory Commission. Samuel J. Chilk. Secretary of the Commission. 4 t

[7590-01) NUCLEAR REGULATORY COMISSION 10 CFR Parts 50 and 73 Nuclear Power Plant Access Authorizstion Program; Policy Statement AGENCY: Nuclear Regulatory Commission. ACTION: Policy statement. SUM 4ARY: This policy statement defines the policy of ;he Nuclear Regula-tory Commission (NRC) regarding unescorted access to protected areas and vital areas at nuclear power plants. The Commission endorses an industr'y l program with procedural safeguards that includes background investigation. I psychological evaluation, and a behavioral observation program. The program was developed by representatives of an industry group, the Nuclear _ Utility Management and Resource Committee (NUMARC). NUMARC has committed its member utilities to incorporate the provisions of the program in NRC approved security plans. The Commission plans to monitor this program through its normal inspection and enforcement activities. EFFECTIVE DATE: (Date published in the Federal Register) FOR FURTHER INFORMATION CONTACT: Priscilla A. Dwyer, Division of Safe-guards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301)427-4773; or for information of a legal nature, Robert L. Fonner, Office of the General Counsel, U.S. Nuclear Regulatory Comission Washington, DC 20555, telephone (301)492-8692. 1

(7590-01) SUPPLEM[NTARY INFORMATION: STATEMENT OF POLICY The Commission has concluded that it is appropriate that each licensee who operates a nuclear power plant should establish an access authorization program for individuals who require unescorted access to protected areas or vital areas of their facilities. This conclusion is based upon the NRC design basis threat which includes the internal threat of an "insider," ref. 5 73.1(a)(1),10 CFR Part 73. To implement its conclusion, the NRC published a proposed rule-making on August 1, 1984, which would require an access authorization program at nuclear power plants (49 FR 30726). The Commission has now. decided to accept a proposal made by NUMARC as public comment on this proposed rulemaking. The proposal substitutes for the proposed rulemak-ing an industry initiative to commit voluntarily to implement industry ~ guidelines on access authorization at power plants. The Commission sup-ports the program developed by NUMARC and described in a document entitled, "Industry Guidelines for Nuclear Power Plant Access Authorization Program, Rev. 8" dated October 3, 1986 (hereafter referred to as the Guidelines). Major provisions of this program include background investigation, psycho-logical evaluation, and behavioral observation. Copies of this document will be distributed to affected licensees and are available for inspection and copying for a fee at ths NRC Public Document Room, 1717 H Street NW., Washington, OC. This policy is intended to complement existing Commission policy on "Fitness for Outy" of nuclear power plant employees. The Commission recognizes that the availability of a review proce-dure for use in the event employment of a permanent utility employee is or will be terminated as a direct result of a denial or revocation of unescorted 2

(7590-01) access authorization is an important element of this program. The Guidelines contain provision for such a procedure. Consistent with the requirements of 10 CFR 50.70(b)(3), the'Commis-sien expects that individuals who have been certified by the NRC to have met a program essentially equivalent to the Guidelines will be granted unescorted access to protected areas and vital areas without further investigation or screening. Further, under emergency conditions, the provisions of 10 CFR 50.54(x) and (y) may be applied as needed by the licensee. The Commission understands that all licensees who operate nuclear power plants will incorporate the provisions of the Guidelines and of this policy in their NRC approved physical security plans as an inspec-table and enforceable prop.am according to present procedures in 10 CFR Part 50. This expectation does not preclude the licensee from committing to or conducting more stringent screening of individuals if so desired. ~ NUMARC has committed its member power reactor utilities to submit by (120 days from the effective date of this notice), to the Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555, amend-ments to their physical security plans, including an implementation i schedule, which commit to implement the Guidelines consistent with this policy within 180 days of security plan amendment approval. The NRC will evaluate compliance with this program through its normal inspection and enforcement activities. Regarding the criminal history check provision for temporary access authorization (paragraph 6.4(d) of the Guidelines), the Commission plans to readdress with NUMARC that portion of the Guidelines one year after implementation. 3 l

(7590-01) The policy is based upon a Commission understanding that nuclear power plant licensees are ready, willing, and able to volunteer their commitment to an inspectable and enforceable program to implemen't the Guidelines and the policy in this statement. Because this policy statement replaces a proposal for rulemaking which had previously received backfit approval and because the staff considers the Guidelines to be equivalent in substance to the requirements, benefits, and costs of the proposed rulemaking, no additional backfit analysis for the policy ctatement has been prepared. (Single copies of the backfit analysis may be obtained from Priscilla A. Dwyer, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555,, telephone (301)427-4773). It is further understood that the provisions of the industry Guidelines do not supersede any requirements imposed by NRC regulations. 4 Dated at Washington, DC, this day of , 1987. For the Nuclear Regulatory Commission. Samuel J. Chilk, Secretary of the Commission. 4

U o < .g DRAFT CONGRES$10NAL LETTER t

Dear Mr. Chairman:

The NRC has sent to'the Office of the Federal Register for pubitcation the enclosed policy statement on access authorfration at nuclear power plants. Coincident with this action, the NRC is withdrawing a proposed rule on this subject previously pubitshed in the Federal Register on August 1, 1984 (49 FR 30727). In response to nuclear industry pubite cossent on the proposed rule, the Cossaission has accepted an industry initiative to vr.luntarily cosmit to industry-developed guidelines (also enclosed) on access Authorization. The guidelines. and policy statement contain provisions for blekground investiga-tion, psychological evaluation, behavioral observation, and a review process in the event empicyinent of a perinanent employee is or will be terminated as a direct result of denial or revocation of access authorization. Comitments to adhere to the guidelines and policy statement are to be formalized through amendments to licensees' NRC-approved physical security plans. Adherence to the comitments will thus be inspectable and enforceable by the NRC. Sincerely. Hugh L. Thompson, Jr., Director Office of Nuclear Haterial Safety and Safeguards

Enclosures:

1. Policy ' Statement 2. Industry Guidelines ENCLOSURE 5 ~

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