ML20207D326

Fr Notices 51FR27872,51FR27921,51FR40438 & Draft Policy Statement, Nuclear Power Plant Access Authorization Program & Draft Industry Guidelines for Nuclear Power Plant Access Authorization Programs

ML20207D326
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Issue date:	12/24/1986
From:	NRC
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FOIA-84-827 NUDOCS 8612300375
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e, ,J 27872 Federal Register / V:,l. St. Ns,149 / M:ndry, August 4.1986 / Proposed Rul;s required by the regulations.The major officials. (See 7 CFR Part 3015, Subpart not under the influence of alcohol or cause of these losses was stress V). other drugs or otherwise unfit for duty.

resulting from handling and The Commission proposed this rule transportation. Under the current 72 ILt of Subjects in 9 CFR Pati 92 because of a concern that certam i hour identification requirement, birds Animal diseases, Canada, imports. persons could become unfit for duty due  ;

are often not fully recovered from Livestock and Livestock Products, to the effects of substances such as j shipment-related stress before Mexico Poultry and Poultry Products, alcohol or other drugs and, thereby, l undergoing identification-a procedure Quarantine, Transportation. Wildlife. adversely impact the health and safety l involving the physical seizure and of the public. Instead of this rule, the immobilization of the birds. PART 92-lMPORTATION OF CERTAIN Commission is issuing a Policy This document proposes to extend the ANIMALS AND POULTRY AND Statement concurrent with this action to mandatory time period for CERTAIN ANIMAL AND POULTRY withdraw the proposed rule.The accomplishment ofindividual bird PRODUCTS: INSPECTION AND OTHER Commission has decided to defer identifications by United States R " rulemaking on fitness for duty of nuclear i

Department of Agriculture and approved MEANS f "CER A AN power plant personnel for a minimum of privately operated quarantine facilities. SHIPPING CONTAINERS THEREON 18 months from the effective date of the from the current 72. hours to 7-days. The Accordingly, it is proposed to amend 9 Policy Statement. The Commission's Department believes that this additional CFR Part 92 as follows: decision is intended to recognize and time would significantly reduce facility 1. The authority citation for Part 92 further encourage the initiatives overtime costs and bird stress, without would continue to read as follows: concerning fitness for duty being taken reducing the effectiveness of the Authority:7 U.S.C.1622:19 U.S.C.1300,21 by the nuclear power industry, the identification procedure. U.S.C.102-105.111.134a.134b.134c.134d. Nuclear Utility Management and lluman 134f, and 135; 7 CFR 2.17,2.51, and 371.2(dj. sources o t ce NUhtAFC), and Executive Order 12291 and Regulatory Flexibility Act 5 92.2 [Amendedi Operations (INPO). The Commissien This action has been reviewed in 2. In i 92.2, footnote number 2a of will exercise this deference as long as conformance with Executive Order paragraphs (c)(1), (c)(2)(i), and (c)(3) and the industry programs produce the 12291 and has been determined to be not the references thereto would be desired results.The Commission will a " major rule." The Department has removed. reassess the possible need for further determined that this action would not action based on the success of those have a significant effect on the 5 92.11 iAmended) programs during the 18 month period.

economy: would not cause a major 3. Paragraph (e) of i 92.11 would be DATE:This withdrawalis effective increase in costs or prices for amende,d by changing 72 hours8.333333e-4 days <br />0.02 hours <br />1.190476e-4 weeks <br />2.7396e-5 months <br /> to read August 4.1986.

consumers, individual industries, 7 days Federal. State, or local government 4. Paragraph (f)(3)(ii)(E) of $ 92.11 FOR FURTHER INFORMATION CONTACT:

agencies, or geographic regions; and would be amended by changing "72 Loren Bush Office ofInspection and should have no significant adverse hours" to read "7 days". Enforcement, U.S. Nuclear Regulatory Done at Washington. DC., this 29th day of Commission. Washington. DC 20555, effects investment,on productivity, competition, employment,'

innova tion. or1986.

July ,

telephone (301) 492-8080.

on the ability of United States. based I.K. Atwell, SUPPLEMcNTARY INFORM ATION:

enterprises to compet'e with foregin. Deputy Administrator. Veterinary Services.

Animaland Plant Ilealth inspection service.

BackEround based enterprises in domestic or export markets. .

[FR Doc. 86-17442 Filed 8-1-86; 8:45 am) The Nuclear Regulatory Commission Removal of the footnoted reference swuo coot mo-wu recognizes drug and alcohol abuse to be would have no impact on the _ _ . _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ . _ _ a social, medical, and safety problem importation of birds into the United affecting every segment of our society.

States since the referenced importation NUCLEAR REGULATORY Given the pervasiveness of the problem limitation no longer exists. Exter dmg COMMISSION in our society, it seems reasonable to the individual bird identification period assume that drug and alcohol abuse, as from 72. hours to 7. days would relieve 10 CFR Part 50 well as other emotional and existing restrictions and should result in psychological factors, also exist in the reduced costs for quarantine facilities Personnel With Unescorted Access to nuclaar industry, Prudence. therefore.

and more healthful conditions for Protected Areas: Fitness for Duty requires that the Commission take imported birds. AGENCY: Nuclear Regulatory appropriate precautionary measures to Under the circumstances explained Commission. reduce the probability that a person, above, the Administrator of the Animal who is under the influence of alcohol.

ACTION: Proposed rule: withdrawal,  :

and Plant llealth inspection Service has other drugs, or who is otherwise unfit for i determined that this action would not suuMARY:The Commission is some task involving a nuclear power have a significant economic impact on a withdrawing a proposed rule published unit. may cause an accident or react i substantial number of small entities. In the Federal Register on August 5, inadequately to an accident.  ;

1982. In this rule, the Commissicn The job performance of alcohol and Executive Order 12372 proposed amending its regulations to drug at usets can be expected to be This program / activity is listed in the require that certain licensees establish, hindered by the presence of chemicals Catalog of Federal Domestic Assistance document, and implement adequate in their blood stream. For example, the i under No.10.025 and is subject to the written procedures designed to ensure NationalInstitute on Alcohol Abuse and i provisions of Executive Order 12372.

that while on duty personnel with Alcoholism (NI AAA), in its 1981 Report which requires intergovernmental unescorted access to protected areas in to Congress, reports that 46 percent of consultation with State and local commercial nuclear power plants are all nonfatal and 40 percent of all fatal i

8612300375 861224 PDR FOIA HEATH 84-827 PDR G,j,

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Federal Register / Vol. 51. No.149 / Monday, August 4,1986 / Proposed Rules 27873 s

, II.S. industrial accidents involve comments (a more complete discussion an alternative to the NRC promulgating

alcohol, at an annual cost of $12 to $15 of the comments received is available the rule, Industry representatives stated billion. More specifically,4 ounces of for inspection or copying for a fee in the they believed that any rulemaking or alcoholin the blood steam of a 163- Commission's Public Document Room at other form of mandatory requirements t pound male requires approximately 12 171711 Street, NW., Washington. DC).

would undermine the voluntary efforts hours to metabolize. This is one reason Approximately two-thirds of the of the industry toward selfimprovement I

~

that other regulatory agencies (e g., U.S.

respondents disagreed with the need for in this area. NUMARC suggested the 4 Department of Transportation) mandate a rule, stating in essence. that (1) NRC specific periods of abstinence (e.g.,4 or NRC issue a Policy Statement or genetic 3

has not establis?.ed a sufficient need for letter on fitness for duty, which would 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br />) for interstate truck drivers, the rule. (2) the rule should be part of the not establish additional NRC commercial airline pilots etc., before proposed rule on the " Access requirements, these persons come on duty. Drugs other Authorization Program" published in the 2 than alcohol, such as cocaine and Federal Register on August 1,19M (49 Response to Comments y hashish, require as much as 24 to 72 FR 30726), and that (3) the utilities are s hours to metabolize. The Commission met on October 12.

j The Tennessee Valley Authority's aware of the fitness for duty issue and are taking appropriate remedial action. 1984 to discuss the question of the extent to which it wished to seek (TVA)1979 report on its Alcohol and g Several respondents commented that g Drug Dependency Program states that the development industry commitments for self y the program served 350 employees " fitness for duty',and implementation procedures would of improvements versus promulgating the j during that year (one out of every 143). cause a licensee legal and union-related Fitness for Duty Rule. Previously the Commission had proposed a general rule p TVA estimates its annual cost due to liabilities, significant monetary costs.

1 alcohol abuse alone is approximately and would have a deleterious impact on whose detailed implementation would

S18.5 million., As recently as mid.1991, employee morale. be left to the industry because it 4 approximateiy one-third of the Edison Comments about implementation believed that a problem existed which c Electric Institute's (EEI) member must be solved, and that not all of its issues involving the rule, such as .

( companies operating nuclear stations definition of terms, use of diagnostic licensees were taking appropriate

, had no programs to deal with this tools such as breath testers, or remedial action. The decision before the 3 problem. More recently, NRC In,spection- establishment offitness for duty Commission as a result of public y and Enforcement (IE)Information Notice standards, were received from 58 of 73 comments and industry initiatives was

No. 02-05, " Increasing Frequency of- respondents. Most of these expressed a whether (1) to issue a regulation which

? Drug.Related Incidents, reports a need for definitions and standards and gg each licensee to develop written steadily increasing number of drug. objected to the use of breath tests. procedures that taken into consideration g related arrests and terminations being Six specific recommendations for not only fairness to, and due process for, 4 reported by the nuclear mdustry since changes in the proposed rule were its employees, but also any condition or i 1978. The reported incidents are received from 56 of the 73 respondents. circumstances unique to its facility, or widespread geographically and involve These involved (1) changing the word (2) to make sure that the industry I

power reactor sites in each of the five " ensure" to the term " provide develops and implements such NRC regions. The Commission reasonable assurance";(2) extending the procedures without the Commission determined, therefore, that a regulation rule to all persons with unescorted promulgating a rule.

may be needed to deal with this access, thereby including NRC pioblem. After careful consideration of the personnel as well as personnel of the industry initiatives and all the public Proposed Rule Department of Energy, and othe Federal, comments, the Commission has decided State and local government agencies; (3) to withdraw the proposed rule. Instead

, On August 5,1982 NRC published in limiting the rule to " vital" areas, rather i the Federal Register (47 FR 33980) its of this rule, the Commission is than having it apply to the more general publishing a Policy Statement g proposed " Fitness for Duty" Rule, " protected" areas of the plant;(4) amending to CFR 50.54. The proposed eliminating the requirement for concurrent with this notice withdrawing rule was a broad, non-prescriptive rule the proposed rule. h that statement, it is maintaining records of writt n that would have required licensees to presenting its polig on fitness for duty procedures for the life of the plant;(5) of nuclear power plant personnel.

establish. document. and implement providing an appropriate ti.ne for J adequate written procedures to ensure incorporating many of the elements g that while on duty their personnel and implementation; and (6) working the rule discussed in the comments, and broadly and not making it prescriptive, j their contractors' personnel with Initial Response and Additional describing the activities it will undertake to execute its responf.bilities unescorted access to protected areas.

while in those protected areas, are not Comments to ensure the health and safety of the under the influence of alcohol,other On july 5,1984 the Commission public' drugs, or otherwise unfit for duty. approved publication of the rule, as in the policy Statement the

. Various questions were posed in the revised by the staffin response to public Commission recognizes that the proposed rule to which the Commission comments 'and per direction provided by industry, through the initiatives of the wanted responses in order to decide on the Commission. Ilowes er, the Edison Electric Institute (EEI).

Its next course of action. Commission asked, that prior L, NUMARC, and INPO. has made Comments publishing the final rule, the staff progress in developing and explore with INp0 and NUMARC their implementing nuclear utility employee A total of 73 responses containir.g 310 williagness to undertake the fitness for duty programs. While some of comments were received, all of which development of detailed program these efforts has e only recently been were evaluated in the decision to elements and acceptance criteria for a initiated, the Com:nission realizes tne proceed with the Policy Statement and fitness for duty program. NUMARC importance of industry's initiative and

are reflected in it. The following responded that they would be wiliing to wishes to further encourage such self-

, highlights the maior issues raised in the develop guidance on fitness for duty as improvement. Subject to the continued b

27874 Federal Register / Vol. 51. No.149 / Monday August 4.1980 / Proposed Rules success of industry's programs and NRC's ability to monitor their DEPARTMENT OF TRANSPORTATION written data, views, or arguments as they may desire. Communications h

effectiveness, the Commission will Federal Aviation Administration g should identify the regulatory docket refrain from new rulemaking on fitness number and be subcaitted in duplicate to 4 for duty of nuclear power plant 14 CFR Part 39 g personnel for a minimum of18 months

[ Docket No. 88-NNI-156-ADI the "Idress specified above. All comn'unications received on or before a

from the effective date of the Policy the closing date for comments specified Statement. While the Commision is Airworthiness Directives; Boe'ng above will be considered by the {

deferring rulemaking in this area in Model 747 Series A!rpfanes j Administrator before taking action on, p recognition of the industry}s efforts to AGENCY: Federal Aviation ' " pr '

date, and the intent of the mdustry to tice ay ec ed {n g! of utilize the " eel Guide to Effective Drug Administration (FAA). DOT.

comments received. All comments  !

and Alcohol / Fitness for Duty Pohcy ACTION: Notice of Proposed RulemakinS submitted wil be available, both before (NpRM).  !

Development 8, it will exercise this ,

and after the closing date for comments, j deference only as long as the industry's suuuany: Th.is notice proposes t In the Rules Docket for examination by -

programs produce the desired results. amend an existing airworthiness interested persons. A report I NRC continues to have the directive (AD) that requires inspection summarizing each FAA.public contact responsibility for independently concerned with the substance of this *'

of trailing edge flap t, icks for crackmg evaluating applicants' and licensees- on certam Boeing Model 747 airplancs. proposal will be filed in the Rules efforts in the fitness for duty area to This amendment would incorporate a Docket.

ensure that the desired results are decrease in the inspection intervals from Availability of NPR51 ,

ichieved and for evaluating the possible 1,000 landings to 300 landings for the need for further NRC action based on f urth fastener from the forward end of Any person may obtain a copy of this~

i the success of the industry's programs the flap track. This action is prompted Notice of Proposed Rulemaking (NPRM) i during this to-month period. Withdrawal 8h ' " P by submitting a request to the FAA. I of the proposed fitness for duty rule, cent to 6 > fourth fast prior Northwest Mountain Region Office of therefore, does not preclude the to the current 1,000 landing inspection 6e Regi nalCounsel(Aum AW-M, )

Commission from initiating similar interval. This recent service experience Menh h Wnen Rub NM has shown that the present 1,000 !anding No. 86-NM-156-AD,17900 Pacific rulemaking actions in the future or from j.

inspection interval is inadequate. Ilighway South, C-68906, Seattle, taking any other course of action Cracking could lead to failure of the flap Wash 4 8ton 98168.

deemed necessary with regard to fitness for duty. track, and separation of the flap which Discussion would result in partialloss of The NRC will evaluate the controllability of the airplane. Amendment 3%4917 (49 FR 36819; effectiveness of utility Intness for duty DATE: Comments must be received on or September 20,1984), as amended by programs by its normal review of Amendment 3F5314 (51 FR 18308: May before September 25,1986, industry ectivities. through reviews of . 19,1980), AD 84-19-02, requires INPO program status and evaluation Anonassts: Send comments on the repetitrveinspection of trailing edge flap reports, periodic NRC observation of the proposalin duplicate to the Federal tracks for cracking at intervals not to conduct of INPO evaluations, and direct Aviation Administration, Northwest exceed 1,000 landings.The track web inspections conducted by NRC's Mountain Region Office of the Regional cracks are attributed to fatigue, stress Perform un e Appraisal Team, Regional ~ Counsel (Attn: ANM-103). Attention: corrosion pitting, and possible work Offices. and Resident inspectors. NRC Airworthiness Rules Docket No. BG-NM- hardening at the fail-safe bar fastener 156-AD,17900 Pacific lii ithway South. holes. Extensive cracking could result in wih also monitor the progress of individual license fitness for duty C-68066. Seattle, Washington 98108. The separation of the flap This failure could programs. service bulletin specified in this AD may lead to partial loss of controllability of be obtained from the Boeing the airplane.

Thecommission hereby withdraws Commercial Airplane Company, P.O.

the notice of proposed rulemaking Since the issuance of AD M-19-02, Box 3707, Scattle, Washington 98124. It published on August 5,1982 (47 FR may be examined at the FAA. eight operators have reported 8 I 339M). Northwest Mountain Region.17900 additional track web hole cracks '

adjacent to the fourth fail-safe bar Dated at Washington. DC. this sth day of Pacific flighway South. Seattle, Washington, or the Seattle Aircraft fastener hole. The flap track is I"I Y N fabricated from high strength steel and For the Nuclear Regulatory Commision. Certification Office,9010 East Marginal testing has shown that the rate of crack Way South, Seattle, Washington. growth is very fast once a crack is Samuel l. Chilk, i Sc< retary of the Commission. FOR FURTHER INFORMATION CONTACT: established. The recent finding of a Mr. Owen E. Schrader, Airframe Branch, number of cracks is an indication that

[FR Doc.86-174'8 Filed S-t-86. H 45 am] ANM-120S, telephone (200) 431-2923. the present 1.000 landing inspection suma coes ne&on-u Malling address: FAA. Northwest interval is too long.

Mountain Region,17900 Pacific liighway The FAA has reviewed and spproved  !

South. C-68%6. Seattle, Washington Hoeing Service Bulletin 747-57A2229, i A wp> of the n i e cwent sa.'ehnen is 98168. e sml.eble for inspettmn or copymg for a fee m the Revision 2, dated June 6,1986, which i Commmasim's Pubbc Document Rooni,1717 H SUPPLEMENTARY INFORM ATION: reduces the inspection interval from Mreet. NW., Washmvon DC. Copws of the M1 {

Comments Invited 1.000 landings to 300 landings and

• c "',I clarifies the Specific inspection s N. IN rNent. I n Interested persons are invited to procedures to be used to check for }

tww. u n-isih sreet. hw.. wahmgion. uc participate in the making of the ,

ama cracks in the trailing edge flap tracks on I proposed rule by submit'ing such certain Model 747 series airplanes. }

s Federal Register / Vol. 51, No.149 / Monday, August 4,1986 / Notices 27921 Commission Policy Statement on abuse problems to be a social, medical, the Commission has decided to defer '

Fitness for Duty of Nuclear Power and safety problem affecting every implementation of the rule subject to Plant Personnel segment of our society. Given the successfulimplementation of fitness for pervasiveness of the problem it must be duty programs by the industry as AGENCY: Nuclear Regulatory recognized that it exists to some extent Commission. described in this Policy Statement NRC In the nuclear industry. Prudence, is publishing a separate notice in the ACTRON: Policy statement. therefore, requires that the Commission Federal Register withdrawing the e nsideradditionalappropriate proposed rule, analyzing the comments sussuAny:This statement Presents the measures to provide reasonable policy of the Nuclear Regulatory on the rule, and explaning its intent to assurance that a person who is under reasscss the possible need for Commission (NRC) with respect to the influence of alcohol or any rulemaking after an 18-month period,if fitness for duty of nuclear power plant substance legal or illegal which affects personnel and desenbes the activities circumstances warrant.The following that perscTs ability to perform duties statement sets forth the Commission's that the NRC will use to execute its safely,is not allowed access to a vital responsibilities to ensure the health and policy on fitness for duty and describes area at a nuclear power plant. how it will execute its responsibilities in safety of the public.To provide The nuclear powerindustry, with

reasonable assurance that all nuclear this area to ensure the health and safety assistance from programs developed of the public.

power plant personnel with access to and coordinated by EEI and the Institute vital areas at operating plants are fit for of Nuclear Power Operations (INPO), Policy Statement duty, licensees and applicants are has made and is continuing to make developing and implementing fitness for The Commission recognizes that the substantial progress in this area. Industry, through the initiatives of the duty programs using guidance of the Backgmu d Nuclear Utility Management and Edison Electric Institute's (EEI's) "EEI Guide to Effective Drug and Alcohol / Resources Committee (NUMARC). EEI, A Task Force on Drug Abuse Fitness for Duty Policy Development."It Problems, Policies, and Programs and INPO, has made progress in remains the continuing responsibility of developing and implementing nuclear established in 1982 by eel s Industrial the NRC to independently evaluate Relations Division Executive Advisory utility employee fitness for duty l programs.The Commission stresses the cpplicant development and licensee Committee, published guidelines in 1983 implementation of, fitness for duty . to help the industry address the istue of importance of industry's initiative and

- programs to ensare that desired res,.ults how to establish comprehensive fitness , wishes - to furthe.r encourage such self-rre achieved. Nothing in this Policy . for duty programs. They were .g,P#** *"I" .~

Statement limits NRC's authority or subsequently revised in 1985 as the "EE! Subject to the contm.ued success of s responsibility to follow up on industry's initiatives in implementing Guide to Effective Drug and Alcohol /. s or p a sa RCs a operational events or its enforcement Fitness for Duty Policy Development cuthority when regulatory requirements and were provided to all nuclear g { ,d

, cre not met, flowever, while evaluating utilities. those pro 8 rams, the Commission will the effectiveness of this guidance, the A series of EEI sponsored regional refrain from new rulemaking on fitness NRC intends to exercise discretion in conferences in the fitness for duty area f r duty of nuclear power plant cnforcement matters related to fitness in 1982 and 1983 provided a forum for personnel for a minimum of 18 months for duty programs for nuclear power discussion of industry concerns related from the effective date of this Pohey

. plant personnel and refrain from new to development and implementation of Statement. The Commission's decision rulemaking in this area for a period of at fitness for duty programs. Topics to defer implementation of rulemaking in

- least 18 months from the effective date addressed at the conferences included this area is in recognition of industry cf this Policy Statement.The union participation, legal aspects, efforts to date and the intent of the Commission invites interested members training, and methods for handling industry to utilize the eel Guidelines in cf the public to provide comments on controlled substances. An industrywide developing fitness for duty programs.

this policy statement. conference sponsored by eel in October The Commission will exercise this DATES: Effective Date: Au8ust 4,1988- 1985 provided the basis for additional deference as long as the industry Submit comments by November 3,1986. discussions on fitness for duty based on programs produce the desired results. ,

the current EEI guidelines which had flowever, the Commission continues to AooREssEs: Comments should be sent been expanded to include information be responsible for evaluating licensee's )

to: Secretary of the Commission, U.S. efforts in the fitness for duty area to i

Nuclear Regulatory Commission, on chemical testing. As a result of .

increased awareness in this area, the verify effectiveness of the industry l Washington, DC 2057 ' TIN: programs. The Commission will reassess Docketing and Servi nuclear industry has worked to develop l nch. Iland and implement improved fitness for duty the possible need for further NRC action deliver comments to. . ~m 1121,171711 programs. These programs concentrate based on the success of those programs Street NW., Washington, DC between on the training of managers, supervisors, during the 18-month period.

8:15 a.m. and 5:00 p.m.

and others in methods for identifying At the Commission's request, the FOR FURTHER INFORMATION CONTACT: and dealing with personnel potentially industry agreed to undertake a review of 1.oren flush. Operating Reactor Programs unfit for duty. the program elements and acceptance Dranch, Office of Inspection and On August 5,1982, the Commission criteria for a fitness for duty program.

Enforcement U.S. Nuclear Regulatory published in the Federal Register a EEI modified and issued the revised Commission. Washington, DC 20555, proposed rule on fitness for duty (47 FR "EE! Guideline to Effective Drug and telephone (301) 492-8080. 33980). The proposed rule would have Alcohol / Fitness for Duty Policy SUPPL.EMENTARY INFORMAftON: required licensees to establish and Development." Further, INPO enhanced  !

~

I"I"d"C'I"" Implement written procedures for its performance objectives and criteria ensuring that personnelin a nuclear for its periodic evaluations to include The Nuclear Reg *datory Commission power plant are fit for duty. Due to the appropriate criteria for fitness for duty.

(NRC) rec"hnizes drug and alcohol initiatives taken by the nuclear industry, Copies of the documents describing the i

C,0.

C

• 1C 27!!22 Federal Register / Vol. 51. No.149 / Monday, August 4,1966 / Notices 'h r y,

program elements and criteria for fitness Enfomament are several reasons why I believe that '3i for duty programs developed by the this would be a better approach.  ;

Violations of any applicable reporting andustry are provided to NRC for review requirement or instances of a person The most important reason for my ;l and cornment. being unfit for duty such that plant preference for a rule and specific ,

%e NRC will evahmte the safety is potentially affected will be guidelines is that a rule is enforceable $h effectiveness of utihty fitness for duty subject to the enforcem'nt process. Any w hile a policy statement is not. With a t programs by its normal review of NRC staff enforcement action pertaining rule the Commission would have a clear 1 mdustry activities, through reviews of to fitness for duty of nuclear power basis for enforcement action in all cases )

INPO program status and evaluation plant personnel during the 18-month in which a utility fails to establish and j reports, periodic fJRC observation of the grace period will be undertaken only maintain an effective finess for duty C conduct ofINi'O evaluations. and direct program. The NRC has broad authority 2 with Commission concurrence.

in:pections conducted by the NRC's in addition to required reports and under the Atomic Energy Act to take 1 Performance AppratsalTeams, Regional inspections, inforrnation requests under enforcement action by Issuing an order <

Office, and Resadent inspectors. NRC to CFR 501A[f] may be made and should there be an immediate threat to will also monitor the progress of enforcement meetings held to ensure public health and safety. The individuallicensee prograros. understanding of corrective acti< ns. Commission would also be able to take fly way of further guidance to Orders may be issued where necessary enforcement action ifit could tie a .

licensees. Commission expectations of to achieve corrective actions on matters specific safety problem to a lapse in the hcensee programs for fitness for duty of affecting plant safety. licensee's fitness for duty program.

nuclear power plant personnel may be in brief, the NRC's decision to use However, the Commission is unlikely to summarized as follows: discretion in enforcement to recognize be able to do so.For example. if a e it is Commission policy that the sale. Industry initiatives in no way changes maintenance worker makes a mistake in use, or possession of alcoholic the NRC's ability to issue orders, call assemblin8 safety equipment because he beverages orillegal drugs within enforcement meetings, or suspend is under the influence of drugs or alcohol protected areas at nuclear plant sites licenses should a significant safety and equipment later malfunctions, it is-is unacceptable. problem be found. unlikely that the true cause of the :i Nothing in this Policy Statement shall mistake would be discovered. In fact,

• 11 is Commission policy that persons within protected areas at nuclear limit the authority of the NRC to conduct the problem would most likely be power plant sites shall not be under inspections as deemed necessary or to , attribyted to some defect in the worker's the influence of any substance. legal take appropriate enforament action - training. Further. waiting until a specific when regulatory requirements are not safety problem surfaces or an immediate or illegal, which adversely affects met. threat occurs and then trying to correct their ability to perform their duties in The separate views of Commissioner the fitness for duty program after the r ny way related to safety.'

Asselstine follow: fact is not the best way to ensure that

• An neceptable fitness for duty licensees have effective fitness for duty program should at a minimum include This Policy statement is a step in the right direction. Iluman error is a programs. %us, our general the following essential elements: .

dominant factor in the risk associated ' enforcement authority does not provide (1) A provision that the sale..tise. or !

possession ofillegal drugs within the

• with the operation of nuclear power ' us with enough flexibility to, deal with plants /An adequate fitnese for duty- all potential' fitness for duty problems in protected area will result in a timely manner. Absent a spedfic immediate revocation of access to pmgram is essential to reduce the chance that human error will be caused event,it would not allow us to do much

' vital area's and discharge from nuclear of anything if a hcensee simply has not power plant activities. De use of . by utility personnel performing safety.

related work in a drug or alcohol developed or implemented an adequate alcohol or abuse of legal drugs withln program.This policy statement the protected area will result in impaired state *ltis policy statements Puts the Commission on record as represents a continuation of the reactive ,

immediate revocation of access to approach to regulation which has so i endorsing the concept of a drug and vital areas and possible discharge often failed in the past.

alc hol free workplace at plant sites, from nuclear power plant activities. A second reason for my preference for and that is useful. ne statement also (2) A provision that any other sale. gives a me gnidance on what the a rule with minimum guidelines is that possession, or use of illegal drugs will Commission expects of licensee fitness the policy statement is too amorphous, result in immediate revocation of f r duty pmgrams. llowever,I believe Even the specific guidance the access to vital areas, snandatory mat mmW na u have gone Conunksbn Qs pm& daw ,

rehabilitation prior to reinstatement of further. vague.The pohey statement provides tccess, and possible discharge fmm Instead of merely issuing a policy little insight into what the Commission ruclear power plant activines statement, the Commission should have considers to be an adequate fitness for (3) Effective monitoring and test:nA i

promulgated a rule.The rule should be a duty program or what standard the staff 1 procedures to provide reasonab!" relatively simple, nonprescriptive rule is supposed to use as it monitors the <

aseurance that nuclear power plant which would do two things. First, it progress of the industry over the next personnel with access to vital areas would prohibit anyone who is unfit for eigh:ecn months. .

am fit for duty. duty from being permitted access to The Commission should work together {

The industry, by periodic trriefings or vital areas of plants.Second. It would with the In'dustry to identify the

• 1 other appropriate methods, is exp cted require licensees to have a program and essential elements of an adequate to keep the Commission informed on procedures to ensure that no one who is fitness for duty program. While the program status.*lhe NRC may also fmm unfit for duty gains access to vital areas. policy statement comments favorably time to time ask individual licenscen to The Commission should then work with upon the EE! guidelines developed by '

provkle such information as the the industry to develop gtddance on the industry. those guidelines are .

Commission may nerd to assess what are the essential elements of an optional, not mandatory.%e utilities program adequacy. edequate fitness for duty pmgram.There can therefore, pick and choose among 6

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] ,

Federal Register / W1. 51, Nr.149 / Monday, August 4,1986 / Notices 27923

[ the various elements and decide For the Nuclear Regulatory Commission. Description of Respondents: These i whether to include them in their Lando W. zw.h, lr., forms describe the rights and

, programs. Aforeover, the EEI guidelines Chairman. responsibilities of the S13A, a lender,

} themselves are quite general in nature, and the investor when the guaranteed

[FR Doc. 86-17497 Filed 8-1-efk 8.45 am]

and are subject to varying seweso coot rse-u portion of a loan is sold.

interpretations. Absent further guidance Annual Responses:3.200 on what is an acceptable fitness fpr duty -

Annual Burden Hours: 12,000 program, the utilities can and probably Type of Request: Extension will adopt widely differing approaches SMAll.8USINESS ADMINISTRATION

Title:

Profile of Score / ACE Volunteer on such elements as chemical testing Agency information Collection with international trade experience and offsite drug use. Not all approaches Activities Form no. SDA 1202 are likely to be acceptable.The Frequency: On occasion Commission should not wait until18 Action: Notice of reporting requirements submitted for review. Description of Respondents:Information months from now, when all the utilities is collected by SCORE / ACE chapters are supposed to have their programs in sumuAny:Under the provisions of the when new members join the place, to let the industry know whether Paperwork Reduction Act (44 U.S.C. organization,if they have

, the Commission agrees with what they Chapter 35), agencies are required to international trade experience, have done.The Commission and the submit proposed reporting and Annual Responses: 500 Industry ought to decide now which recordkeeping requirements to Oh!B for Annual Burden flours:34 elements are absolutely essential to an review and approval, and to publish a Type of Request: Extension adequate program, and then everyone notice in the Federal Register notifying

Title:

Financial assistance request to t

will be working from a common base of the public that the agency has made participate in International Trade i understanding. such a submission. Exhibition or mission The Commission and the industry DATE: Comments should be submitted - Form no. SDA 1369

. should also establish the specific criteria within 21 days of this publication in the Frequency: On occasion p against which individuallicensee Federal Register. If you intend to Description of Respondents: The s programs will be evaluated so that the comment but cannot prepare comments information requested is necessary for 7 ground rules for evaluating programs - promptly, please advise the Oh!B - - SDA to evaluate a firm's eligibility to I and for monitoring progress will be in Reviewer and the Agency Clearance receive a grant or financial assistance i a place before the la month monitoring- Officer before the deadline, to participate in an international trado f period begins. Absent such guidelines,it Copies: Coples of forms, request for exhibition or mission.

e is difficult to see how INPO and NRC clearance (S.F. 83s), supporting Annual Responses: 100 i staff reviews of these programs will statements, instructions, and other Annual Burden flours: 175 f provide any meaningful insights as to documents submitted to Oh1D for review Type of Request: Extension their adequacy. may be obtained from the Agency

Title:

Client Export File Thus, to ensure enforceability, to set Clearance Officer. Submit comments to Form no. SDA 1174 the Agency Clearance Officer and the

, the ground rules in advance and to Fre uencI: On occasion

• Oh!B Reviewer- Descripdon of Respondents: This

' Ensure that all utilities meet at least a minimum set of standards,I believe the mn NR m NmmuA M N M NTA m int nnau n is necessary in order to l Commission should issued a rule and Agency Clearance Officer: Richard identify the firm's needs and is used should estab!!sh guidance,in Vizachero, Small Dusiness to create a program of export cooperation with the industry, on just Administration,1441 L Street, NW.. development for the small business b $4actly what are the essential elements Room 200, Washington, DC 20416. requesting counseling in international of a fitness for duty program. Telephone:(202) 653-8538 trade.

OhtB Reviewer: Patricia Aronsson Annual Responses: 5.000 The additional views of the Commission follow: Office of information and Regulatory Annual Durden Ilours: 850 Affairs. Office of hinnagement and Type of Request: Extension The Commission does not share Dudget. New Executive Office Commissioner Asselstine's great

Title:

Personal Financial Statement Dullding. Washington, DC 20503 Form no. SUA 413 roncern about the legally non binding Telephone:(202) 357231 character of the policy staternent per se. Frequency: On occasion Titic: Executive Qualifications DescHption of Respondents: This

't he Commission a hands are not tied if it finds inadequate compliance with Questionnaire information is used to assist the Frequency: On occasion Agency in determining the financial straight forward and explicit policy strength of an individual for a loan or Description of Respondents: This guide!ines.The Atomic Energy Act information is requested from loan guaranteed by SUA.

ronfers broad authority for the applicants for SES positions to assist Annual Responses:76.500 Commission to take prompt enfon:ement in evalua, ting qualifications for a Annual Hurden flours: 70.500 action should any licensee facihty, in vacancy. Type of Request: Revision the Commission's judgment, not b" Annual Responses: 400 operated in a manner that protects the Tit!c: Inquiry Record Annual Hurden flours: 400 Form no. SHA 149 public health and safety. A policy Type of Request: Extension statement. : this luncture, offers the Frequency: On occasion qmckest means to achieve the end w"

Title:

Secondary Participation Guaranty Description of Respondents: This and Certification Agreement and information is required at the time of 80 d"8II"-

Request for Certification interview so that the applicant ran Dated at Washmston DC, this 30th day of Form nos. SUA 1085, load communicate the loan needs to July loan. Frequency: On occasion agency, and to determine the size and

I , .

o 4tt138 Federal Regisl r / Vol. St. No. 216 / Friday. November 7,1986 / Proposed Rules

{ 335.108 Appeals and grievances.

time to establish an insurance contract ApoREssEs: Send comments to:

(a) Appeals.There is no right to at the time of planting CillAA also Secretary of the Commission. U.S.

appeal an action under this part. expressed opposition to the change that Nuclear Regulatory Commission.

(b) Grievances. Employees may not would gise insureds more time to qualify Washington. DC 20555. Attention:

grics e nonselection under this part from for a higher amount ofinsurance Docketing and Service Branch. Deliver a roup of properly ranked and certified contending that such a change would comments to: Room 1121,171711 Street candidates or failure to receise a allow adverse selection agamst the NW.. Washington. DC. between 8:15 noncompetitae promotion. insurance company, a.m. and 5:00 p.m.

J FClC has determined that gising Examine comments received and the 1 IFR Doc. an-:s:% Fded n +eb. a 43 arn)

, , , , , insureds more time to quahfy for a regulatory analysis at: the NRC Public higher amount of insurance would result Document Room.1717 H Street. NW.,

in adserse selection against the Washington. DC 20555.

DEPARTMENT OF AGRICULTURE bsurance c mpany and that the change is unne::essary and contrary to the basic FOR FURTHER INFORMATION CONTACT:

Federal Crop Insurance Corporation concept underlying the insurance Kristina Jamgochian. Off;'ce of Nuclear Afaterial Safety and Safeguards. U.S.

pr pam. Nuclear Regulatory Commission.

7 CFR Part 425 . or the reasons stated abose, the Washington. DC 20555 telephone (301)

I Amendment No.1: Doc. No. 0105 Al putIsh d [ed es h.

gu'st 27 Peanut Crop Insurance Regulations; 1986 (51 FR 30497) is hereby withdrawn- SUPPLEMENTARY INFORMATION:Section Withdrania W Proposed Rutemaking Donc in Washington. DC on October 23. 600 of Pub. L 9h399. "The Omnibus Diplomatic Security and Anti Terrorism AGENCY: Federal Crop Insurance Act of 1986." requires nuclear power Corporation. USDA. reactor licensees and applicants to d Hews' ger .NeralCmpinwa" ACTION: Withdrawal of Notice of rp c)r [- conduct criminal history checks through I'roposed tuIemaking-the use of FBI criminal history data on lFR Doc. Bn4530 Fded 11-6-86. 8.45 amj individuals with unescorted access to

SUMMARY

The Federal Crop insurance sittmo coot es.m nuclear power facilities or access to Corporation (FCIC) hereby publishes __ __ Safeguards Information. The Act, signed this notice for the purpose of by the President on August 27.1986 withdrawing a Notice of Proposed NUCLEAR REGULATORY requires the NRC to issue regulations to Rulemakmg (NPRNt) amending the COMMISSION establish conditions for the use and l'eanut Crop Insurance Regulations (7 control of the criminal history data Cl R Part 425) effectne for the 1987 and 10 CFR Part 73 received from the FBI no later than six succeeding crop Sears FCIC has months after the date of the enactment determined that gising insureds more Requirements for Criminal History of the Act. These conditions include time to quahiy for a higher amount of Checks procedures for the taking of fingerprints, insurance would result in adserse AGENCv: Nuclear Regulatory limits on use and redissemination of selection against the insurance company Commission. criminal history data, assurance that the and that the c hange is tinnecessary and information is used solely for its contrary to the basic concept underlying AC"" If P 5'd'UI'- intended purpose, and provisions that d e msurance program. The authority for

SUMMARY

The Nuclear Regulatory indhiduals subject to fingerprinting are tW promulgation of this notice is provided the right to complete, correct, Commission (NRC) proposes to add a wntained in the Federal Crop Insurance new regulation to implement a program and explain information in their enmmal Act, as amended.

for the control and ae of criminal history records prior to any final roR ruRTHER sNroRMarsoN CONTACT: history data received from the Federal ads erse action.

Peter F. Cole. Secretary. Federal Crop Dureau of Investigation (FBI) as part of The Conference Report on ll.R. 4151 Insurance Corporation. U.S. Department criminal history checks of individuals (published in the Congressional Record of Agriculture. Washington DC. 20250. granted unescorted access to nuclear en August 12.1986 p.11-5965) contains telephone (::02) 447-3325. power facilities or access to Safeguards tSe following legislative history:

c:UPPLEMENTARv fMFORM AT10N:On inbrmation by nuclear power reactor Wednesday. August 27.1966. FCIC licensees. Conductins criminal history Criminal flistory Record Checks published a Notice of Proposed checks of such individuals will help The Senate an<endment (Section 7031 Rulemaking in the Federal Register at 51 assure that individuals with criminal containe a provision requiring fingerprinting FR 30197. proposing to amend the histories impacting upon their reliability and criminal history record checks for certain Peanut Crop Insurance Regulations (7 and trustworthiness are not permitted '*' 8t 't p nt unescorted access to a nuclear power Th s  ! n no CFR Part 425). effecthe for the 1987 and prog, ion, succeeding crop ) ears. The public was factif ty or access to Safeguards ghen 30 da)s in which to submit written Information. !ssuance of this regulation The conference substitute (Section eoel ls similar to the Senate amendment with some comments on the proposed rule, is required under the provisions of Pub. modifications. The substitute, which One comment was receiwd by the L W-3W. " Omnibus Diplomatic Security incorporates the substance of S. 274. passed Crop ifailInsurance Actuarial and Anti. Terrorism Act of 1986." by the Senate on October 3.1985, adds a new Association (Cll!AA) espressing i

opposition to the proposed change of DAfts: Submit comments by December " hi' "te' 'h'je' te et I hau f m 8.1986. Comments received after this allowing a producer until the acreage procedure for criminal history checks.

date will be considered if it is practical applicable to all commercial licensees.

reportmg date to sign sales contracts. to do so but assurance of consideration reusedless of ownership.

CillAA contends that the current cannot be ghen unless comments are The Cummittee of Conference agrees that conthflons allow a producer sufficient recehed on or before this date. the Nuclear Regulatory Comrmssion (NRC) c3

t e o .

Fedzral Reg! ster / Vol. 51 No. 216 / Friday. November 7.1986 / Proposed Rules 40439 would serve as a chanc.eling agenty. in order the search. Only those re rds to collect fingteprmt e.a:Js from ht er. sees and cards. Edison E!ectric Institute (eel] and necessary for administering the program FBI training tapes are asailable for use hu Iu of ns ig io uri ent Icati n and w 11 be kept.The routine turnaround in establishing procedures for the proper a criminal history reard i.her k end time for a criminal history check. from method of taking fingerprints.

distnbute the results of the search to the the time the licensee mails the Fmprprint cards shall be filed by the hcensees and arphcants.The NPC will not fingerprmi card to the NRC to the time licensce on behalf of the contractor, scrun the results it wdt however. be the licensee receives the returned responsible for checkmg int.oming cards to fmgerprint card with the results of the manufacturer, and supplier employees '

ensure that the) are cornplete and legibfe and criminal history check. In espected to who are espected to haved unescorted have been subrrdtted by a hcensee or access to a nuclear power facility or to aserage 25 working days, appl! cant enutted to recelse onminal historF information under this taw The NHC may The legislation requires nuclear power Safegaards Inf rmation with the reactor licensees and applicants to appropriate fee attached. NRC refuse to accept requests from. or return conduct criminal history checks on pers nnel seguinng unescorted access to C . on f n s ha d or misusing individuals with unescorted access to the facility do not need to be information obtained under this prousion. nuclear power facilities or access to fingerprinted by the scensee. The The conference substitute specif.es that the Safeguards Information. Ilowever. Commission conducts an equivalent regulations the Commission is to promulgate current regu!ations do not requite program for fingerprmting of NRC under this section must include prosisicns to protection meveres against radiological employees for FD! criminal history ensure that no fmal adserse action may be checks, taken against an employee or job applicant sabotage unt.lissuance of an operating solely on the basis of mformatien obtained j; cense. Accordmaly, the Commission in accordance with the protisions of

"" ' ' " " does not deem it necessary to require 145l*(e) and (I), the licensee will Ih n 1 er o or w c er so finEerprinting of applicant errployees for establish procedures for implementing information of the disposition or an arrest unescotted access to the facility- the individual's right to correct, that resulted in du, missal of the chargeor an Applicants who anticipate receiving acqomal A bcensee or applicant reteising a their operating license in the near future complete, and esplain Information prior uiminal re< ord showmg an arrest not to any adverse action. The licensee will and wish to submit fingerprints of those acc mparned Ly a d:spositmn mm) seek to indisiduals who will remain on staff Mso establish procedures for limiting determine it.c d.spositmn of the charge, but if after the license is issued may do so in redissemination of an individual's no dispoemon mf arrn. tion can be obtained, criminal history record to only those tbc arrent s.annot be used as the bas:s for accordance with the provisions of the adverse actmn.

N; w ha hase a need to have access to the The conference subsutute also sg.ecifies i plementation of this rule will take information in performing assigned place immediately upon its effcctive duties in the process of granting or et sbat ii to r crpn tmg date.The Commission will send to the denying unescosted access to a nuclear from misuse of crim.nal history terords licensee an initial stor.k of the necessary power facihty or access to Safeguards prouded un,ler the sectan Misuse would fingerprmt cards prior to the date of the Information as well as against endade, for examp le, use of the records to effectise ru!c, as well as a sample discriminata against m.nonties or to penahme unauthorized disclosure. Submittal of an uruun .nembus or whistlet, lowers or to forwarding letter to be used by hcensees arnended security plan is not necessary.

for transmitting the finrerprint caids During the internal staff review of the

$e r te i te[in t !r rt o 5 2? ansi fees t the NRC. The forwarding proposed rule, a question arose as to tbc statutory requirements for lhe letter will c ntain the following whether or not fingerprinting should be Commission's regulatwns are ma mum information: facility docket number- required only for unescorted access to requirements and are not meant to Icut the number of lingerprint cards being sital areas rather than to the nuclear discretion of the Corrm:ssion to irarlernent a submitted, amount of the proper fee power facility whic h also includes practical program for carr) ins out *e being subrnitted. and the cor; tact person purpoars of the sect.un and protecung the protected areas. To be consistent with at the facility along with his/her phone due pror. css and pnvan mterms of the legislatis e intent and specific prmfectae employees, number.jThe fingerprint cards and the results of the enminal history checks. Ian8"a8e of Pub. L fn-3w' the staff has The Committee of unference also added written the proposed rule to require

'" "#"' " " *"d 'i" 'b ' C"** * "'" '* when completed, will be sent to the licensee to the attention of the contact firgerprinting of individuals granted collect and retain fees for its servin a as channehns agency. ne FUt alreads h.es person.)In accordance with the Act, the unescorted access to the nuclear power estabhst ed an.f is authertred to collect fees fee will be utilized to offset NRC and facility. Additionally, during the public for its pro 'essma non crinunallust n e FUI costs for processing of fingerprin,. comment period on the proposed Access fingerpni t checks. It is the mient of the and criminal history records. Authorization Rule. licensee and Comrmttee of C<mference that this tanguAge WlthlM j$Q days of the effectl%e date Industry groups commented that It was ensuren that the FBI wdl be able to cultect its of this rule, each licensee will retum to normal fee for the work it wdl do in more cost effective to run a single processing record checks under this the Commission, as they are completed, access authorization program, especially EN"' " the fingerprint cards of allindividuals since the majority of employees needing (licensee, contractors, manufacturers, access to the protected area also Licensees cannot have acs ess to the and suppliers) who are deemed to required access authorization to one or criminal history data prosided by the require unescorted access at the nuclear more vital areas. In the interest of legislation until the NRC has estabhshed power facihty or access to safeguards determining whether this view still regulations data,in for thewah accordance control and the Act. theuse ofbe the information.The fingerprint cards are to pres ads. speufic response is reques fdled out crimpletely and the facihty during the pubhc comment period to the NRC will only collect fingerprint cards, docket number shall be included o" forward them to the Fi 1, and distribute following question: should fingerprintine em h indisIdual card in addition to the be required of individuals for unescorted the results of the search. The NRC will information required in the space riot rnalntain any new files of marked ' Reason Fingerprinted . T access to vital areas only or to the information ur s) stem of fdes to contain assist the licensee in ensuring a low nuclear power facility?

either fingerprint cards or the results of rejection rate of submitted fingerprint

,40110 Fed:r:I R:xist:r / Vol. St. No. 21G / Friday. November 7,1986 / Proposed Rules EnvironmentalImpact: Categorical Exclusion recordkeeping requirements. Security access to the nuclear power facility or measures.

access to Safeguards Information.

The NRC has determined that this proposed rule is the type of action Fcr the reasons set out in the Individuals who have unescorted access described in categorical exclusion 10 preamble and under the authority of the authorization on 8 will retam a Atomic Energy Act of 1954. as amended. such access pending licensee receipt of CFR St.22(cl(3). Therefore neither an the Energy Reorganization Act of1974.

eAronmental impact staterr.ent nor an the results of the criminal history check as amended. and 5 U.S C. 553, the NRC f the individuals fingerpnntes, so long environmental assessment has been prepared for this proposed rule. is proposing to adopt the following as the cards were submitted by 8 amenden. to lo CFR Part 73. The licensee wdl then review and use Paperwork Reduction Act Statement the information received from the I DI.

This proposed rule amends PART 73-PHYSICAL PROTECTION OF and based on the provisions contained informatinn collection requirememts that PLANTS AND MATERIALS in this rule determine either to continue are subject to the Paperwork Reduction 1. The authority citation for CFR Part to grant or to den further unescorted Act of 1980 (44 U.S C 1501 et seg 1. This 73 is revised to read as follows: access to the faci ity or Safeguards rule has been submitted to the Office of Information for that individual.

Man 1gement and Budget for reglew and Authority Sees 53.161. 68 Stat. 930. 948. as Individuals who do not have unescorted amended. sec.147. 94 Stac 78n(42 U S C. access after -

approsal of the paperwork 20712167. 2201): sec. 201. a s amended. 204. 8 shall be rrquirements. 88 Stat.1242. as amended.1245 (42 U S C. fingerprinted by the licensee and the results of the criminal history records Regulatory Analysis se c s aH e us n 73.37(fl is also issue under sec. 301. n ma ng a The Commis00n has repared a Pub. L 96-295. 94 Stat. 789 (42 U S C. 5841 determination for granting unescorted regulatory anal) sis on,t is proposed no,e) Seolon 7 357 is usued under sec. roe. access to the nuclear power faci!ity.

regulation. The analysis eumines the Pub. L oS-399.

(2) The licensee shall notify each costs and benefits of the alternatWes For the purposes of sec. 223. 68 Stat. 958, as affected individual that the fingerprints considered by the Commission. The amended (42 U S C 2273); 1173 21. 73 37tsl.

dn AIysis is aVailab}e Ior inspection in n as are issued under sec. telb. as Stat. 94a. will be used to scure a review of his/her criminal history record.

as d':1 ended (42 U S C. 22m(b)).1173 20' the NRC Public Do. ument Room. 171711 3 24 U 25 M 28. M 27. M 37. M 40. M 45 (3) Fingerprints need not be taken. in S

S' treet NW.' Washington' DC 20555' mgle copies of the analysis may be

[3

46. n sa n.5s. n e?. are issued the discretion

. under'sec.

of the licensee,if an 1Hi. 68 S'at. 949 as amended (42 U S C. individual who is a permanent emp oyee obtained from Kristina Jamgochnn. 22ni!0). and il n 20(cH1). n 24t b)(1), of a licensee, contractor. manufacturer Safeguards Iteactor Regulaiory n 26t Min (hne). and (kl(4) n 27(4) and (b). or supplier has been granted unescorted Requirernents Section, Division of n 37 f). M.40lb) and 73 4Ng)(e) and thW21 access to a nuclear power facility or to Safeguards. Office of Nuclear Material n VM2). DillollDI. and th). M 55(h!21. and Safeg'iards information by another Safety and Safeguards. U S. Nuclear (4)(uilluj. nfo. n 71. n n are insaed under ge teto. ea Stat. 950 as amended (42 U S C. licensee, based in part on crim:nal Regulatory Corrmission % ashington. -01tol). history records check under this section.

DC 20555. telephone (301) 427-4751 In the case of temporary employees.

2. A new I 73.57 is added to read as Regulatory flesibility Certification follows: fingerprints need not be taken so long as the individual has been fm' gerprinted ILised on the information avullable at i 73.57 Requirements for criminal history within the last 180 days, this stage of Ihe rulemaking p oceedmg checl6s of Individuals granted unescorted (4) All fmgerprints obtained by the and in accordance with the Ragulatory acce;s to a nuclear power facility or access licensee under this seciton must be Fletilulity Act of 1980. 5 U.S C. 005{b), to Setaguards Information by power the Commission herchy certifies that if " Uc ense es. submitted to the Attorney General of the pomofoted. this rule wdl not have a United States through the Com:nission.

(4) Cenerol. (1) Each licensee who is (5) The licensee shall review the Qmficant economic impact upon a authurized to operate a nuclear power substantial number of small entitles. The reac%r under Part 50 shall comply with information received from the Attorney preposed rule affects licensees who the requirements of this section. General and ennsider it in making a opera'e nuclear power plants under to determination for grantin (2) Each apphcant for a license to access to the Individual. g unescorted CI'R Parts 50 and 73 The comparnes that cperate a nuclear power reactor own these plants do not fall within the 6) A licensee shall use the pt.rsuant to Part 50 of this chapter shall scope of the defnution of "small submit fingerprint cards for those in ormation obtained as part of a entitles" set forth in I 605(h) of th, crl nir $1 history records check solely for inthvidusts who have access to the purpose of determining an i

Hegulator) Flesibihty Act of1980.or Safeguards Information.

within the definition of SmallIlusiness (3) Each applicant for a license to Individual's suit ability for unescorted Sise Standards set out in reguhstions operate a nuclear power reactor aceces to the nuclear power facility or Issued by the Smallilusiness access to Safeguards Information.

purusant to Part 50 of this chapter may (c)huhibit/ons. (1) A licensee may

Administration in 13 CFR Part 121. submit fingerprint cards prior to receiving its operating license for those not base a final determination to deny Backfit Anal)sie an individual unescorted secess to the individuals who will require unescorted As this rulemaking is based upon a nuclear power facility or access to j access to the nuc! car power facility.

leMslathe mandate. the need to rnake a (b) Cencro/ performance objective Safeguards information solely upon:

backfit derbion is unneresury. ond requirements. (1) Each heensee (1) An arrest rnore than 1 year old for lht of Subjnts in to Crit Patt 73 P M whcth there is no information of the shall fmgerprint each individual, except Q M M d b casm a llatardous materials-transportation. NRC employees and individuals Incorporation b) reference. Nuclear respondmg to a site emergency fn , het de. of tin.1 rule pubia.non in reder.1

, materials. Nuclear powar plants and g ,g.,,,,

accordance with the provisions of

! rentors. Penalty, Reporting and a tn.,,, Jo. ino d i I 73 SS(a). who is permitted unescorted in red.r.s e.co r. ys .ner rin.t n,le ruua non s

red:rel Register / Vol. 51. No. 21f) / Friday. November 7.1986 / Proposed Rules 4GM1 101 An arrest that resulted in d:sminal to the indisidual the contents of records have accesr. to the information may of the <.harxc or an acquittal. obtained from the Federal Dureau of (2) A bcensee may not use* redisseminate the information to any Insestigation for the purpose of assuring other individual who does not have a information reten ed from a criminal correct and complete information. need to know.

history check obtained under this Confirmation of receipt by the (3) The personal information obta,ced n

ser. tion in a manner that would infringe individual of this notification must be on an individual from a criminal history upon the rights of any indnidual under ma;ntained by the licensee for a period record check may be transferred to the hrst Amendment to the constitution of 3 years from the date of the another hcensee:

of the United States. nor shall the notific ation.

heensee use the information in any way (i) Upon the individuafs request to (2) If after resiewing the record, an redisseminate the infor. nation contained which would durininate among indaldual belieses that it is incorrect or in his/her fde. and indisiduals on the basis of race. religiott incomplete in any respect and wishes (iillf the gaining bcensee verifies national ungm. se s. or nge. changes, corrertions, or updating of the (di Prev edures forpro< es3mg of mformation such as name date of birth.

alleged deficiency, or to esplain any sodal security number, ses and other ficgerprmt cbecAs (t) For the purpose of matter in the record the licensee shall complying wilh this settion. licensees applicable physical characteristics for inform the individual of proper identification. and, shall submit 1 comple red. legible procedures for revising the record or standard f.ngerprmt card (Form I D-258) including explanation in the record. (iii)If the indisidual was terminated supphed by the NRC for each individual within the previous 365 days the These procedures include direct requiring unenorted access to the termination was under favorable apphcation to the agency that conditions.

nur lear power faahty or auess to contributed the questioned information Safeguants Information to the Director. (4) The licenne shall make criminal or direct cha!!enge as to the accuracy or ),istory records obtained under this Unision of Secur.ty U S Nuclear .. completeness of any entry on the Regulatory Comminion. Washington. criminal history record to the Assistant section availabic for examina4on onsite DC an555 Attention. Criminal t hstory Director. Federal Bureau of Ins estigation by an authorized representathe of the Chee k Stction Copies of these forms identification Dn ision. Washington, DC NRC to determine compliance with the may be obtained by wribng to: regulations and laws. .

205r-roo as set forth in :s CFR 10.30 p) The licensee shall retain all Information and R4 tords Management through to 34. In the latter case, the Hrane h (pMSS). U.S Nuclear Regu!. fingerprint cards and criminal history Comminion Washirgton. DC 20$$^jtory Federal Bureau of Investigation then reiords received frcm the FBI on an forwards the challenge to the agency

'Ihe htensee shall establish procedures that submitted the data requesting that indniJual (includmg data indicating no to ensure that the quahly of the agency to senfy or correct the record) for 3 S ears after te rmination or imgerprmts taken a sults in minimizing challenged entry. Upon receipt of an deni.d of unescorted access to the the rejection rate of im, gerprint cards official communicatmn directly from the naricar power facihty or access to due to diemble or incomplete cards. agency that contnbuted the origmal Safeguards Information.

la The Commission wdi reniew information the FBIidentirication Dated at Washingtun. DC this 5th day of appbcations for c riminal history chec ks Nd' "h" 1""8 Division makes any changes necessary for completeness. Any Form FD-258 For the Nu! ear Rep!.tery Commission.

tontaining ominions or evident errors in 1ccordance with the information supplied by that agency.The licensee samuel l. Chdk.

w dl he returned to the ht ensee for may not take final adverse action with (orrettmnt No additional fee wdl be Seurtary of the Comssion.

t harged for fingerprint cards needed to tespect to an individual based solely on information in the record that has been lFR Doc. 8&25393 Filed 11646 a 45 am]

re plare returned incomplete or illegible challenged by the individual as incorrect

,w, coo, m, ,_,

hngriprint car.h if the original or incomplete until the individual has fingerprmt rard is attuhed to the re=ubmittal. been afforded a reasonable amount of time to correct. complete, or explain the DEPARTMENT OF ENERGY (3) Fees for the processing of record or has declined to do so.

imperprint decks are due upon Office of Conservation and apphention lacennees shall submit (f) hotectwn ofinformation. (1) Each licensee who obtams a criminal history Renewable Energy pa> ment with the apphcation for the record on en indnidual under this processing of fingerprints through ecuen shall estabbsh and maintain a to CFR Part 430 cor ornte therk. tertified check, sy stem of Ides and procedures for cas ier's check, or money order made protection of the record and the (Docket No. CAS-RM49 102) 7 papble to "U S NRC", at the rate nf personal information from unauthorized

$13 00 for each card. Combined payment disclosure. Energy Conservation Program for for multiple apphcetions is acc eptable. Consumer Products; Proposed (2) The licensee may not disclose the Rulemaking Regarding Test (4) The Commluion will forward to record or personal information collected .

the submittinit hcensee all data rerched and maintained to persons other then Procedures for Central Air from the Federal Dureau of Investigation the subject individual. his/her Conditioners, including Heat Pumpe; as a result of the licensee's representative, or to those who have a Estension of Comment Period appbrationts) for criminal history need to have access to the information ActNcy: Office of Conservation and thecks. includmg the Individual's in performing assigned duties in the Renewable Energy, DOE.

fingerprint card. process of granting or denying (c) /fi#t to correct ond romp /ete Actiost: Extension of comment period.

unescorted access to the nuclear power mformation. (t) Prior to any adverse facihty or access et Safeguards 8UMuany:The Department of Energy action. the licensee shall make available information. No indaldual authorized to (DOE) hereby extends the comment

(7590-01]

NUCLEAR REGULATORY COMMISSION -

10 CFR Parts 50 and 73 Nuclear Power Plant Access Authorization Program; Policy Statement AGENCY: Nuclear Regulatory Commission.

ACTION: Policy statement.

SUMMARY

This policy statement defines the policy of the Nuclear Regula-tory Commission (NRC) regarding unescorted access to protected areas and vital areas at nuclear power plants. The Commission endorses an industry program with procedural safeguards that includes background investigation, 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, Of fice 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. N0 clear Regulatory Commission, Washington, DC 20555, telephone (301)492-8692.

1 ENCLOSURE 3 C.Y

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[7590-01]

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SUPPLEMENTARY INFORMATION:

STATEMENT OF POLICY

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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,"Yef. S 73.1(a)(1),10 CFR Part 73. To implement its conclusion, the NRC published a proposed rule-

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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 pubile comment on this proposed rulemaking. The proposal substitutes for the proposed rulemak-ing an industry initiative to commit voluntarily to implemant 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. Major provisions of this program include background investigation, psychological evaluation, and behavioral obser-vation. Copies of this document will be distributed to affected licensees and are available for inspection and copying for a fee at the NRC Public Document Room, 1717 H Street NW., Washington, DC. This policy is intended to complement existing Commission policy on " Fitness for Duty" of nuclear power plant employees.

The Commission recognizes that the availability of a review proco-dure for use in the event employment of a permanent employqe is or will 2

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[7590-01]

be terminated as a direct result of a denial or revocation of access ',

authorization is an important element of this program.

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The Guidelines contain provision for such a proceduro.

Consistent with the requirements of 10 CFR 50.70(b)(3), the Commis-sion expects that employees of the Commission who have been certified by *-

the NRC to have met the intent of the Guidelines will be granted unescorted access to protected areas and vital areas without further investigation or screening.

The Commission expects 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 inspectable and enforceable program according to present procedures in 10 CFR Part 50.

This expectation does not preclude the licensee from committing to or con-ducting more stringent screening of individuals if so desired. By (120 days from the effective date of this notice), nuclear power reactor licen-sees shall submit to the Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, amendments to their physical security plans, including an implementation 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.

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 implement the Guidelines and the policy in this statement. Because this commitment is

. voluntary, implementation of this policy is not considered a backfit and,

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(7590 accordingly, a backfit analysis has not'been prepared. It is further understood that the provisions of the industry Guidel,ines do not supersede any requirements imposed by NRC regulations.' -

Dated at Washington, DC, this day of , 1986.

For the Nuclear Regulatory Commission.

Samuel J. Chilk,

, Secretary of the Commission.

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October 3, 1986 Rev. 8 INDUSTP.Y GUIDELINES FOR NUCLEAR POWER PLANT ACCESS AUTHORIZATION PROGRAMS a>

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ke 1

ENCLOSURE 4 9

TA8LE OF CONTENTS

.' P_ak*. .

1 Purpose ........................................................... 1 2 Scope ........................... ................................. 1 3 Responsibility .................................................... 1 4 App 1tcability ..................................................... 2

. 5 General Requirements for Unescorted Access ........................ 2 6 Screening Program ................................................. 2 6.1 Initiation of a Screening Program ............................ 2

. 6.2 Background Investigation Elements ............................ 3 6.2.1 Employment History .................................... 3 6.2.2 Education History ..................................... 4 6.2.3 Criminal History ...................................... 4 ,

6.2.4 Military Service ...................................... 4 6.2.5 Character and Reputation .............................. 5 6.2.6 Verification of Identity .............................. 5 6.2.7 Credit Check ........................... *............. 6 ,

6.3 Psychological Evaluation ..................................... 6 6.4 Temporary Unescorted Access Authorization .................... 6 7 Evaluation Criteria for Access Authorization ...................... 7 i

i 7.1 Criteria...................................................... 7

7. 2 Review Process................................................ 8 i.

8 Transfer and Reinstatement of Unescorted Access Authorization ..... 8 8.1 Transfer......................................................

8 8.2 Reinstatement................................................. 9 8.3 Update Requirements........................................... 9 '

9 Continual Behavioral Observation Program .......................... 9 10 ' Screening During Cold Shutdown .................................... 10 10.1 Devitalization of Vital Areas ............................... 10 -

11._ Grandfathering .................................................... 11 -

T 12 Contractor and Vendor Requirements ................................ 11 13 ~

Evaluations and' Audits .............................................

11 .

11 GUIDELINES ACCESS AUTH PROGRAM

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TABLE OF CONTENTS (Continued)

P_agq 13.1 Utility Programs ............................................ 11 13.2 Contractor and Vendor' Programs .............................. 11 14 Records ........................................................... 12 Attachment A, Minimum Audit Criteria O

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ill GUIDELINES A'CCESS AUni PROGRAM

1 PURPOSE To support the safe operations of licensed nuclear power plants, utilities will implement an access authorization program in accordance with the following guidelines. These guidelines have been designed with the objective of achieving high assurance that personnel granted unescorted access authorization to the protected and vital areas of utility nuclear power plants are trustworthy and reliable and do not pose a threat to commit radiological sabotage. Individual utilities may have additional requirements.

2 SCOPE These guidelines define the acceptable levels for conducting and evaluating the elements of the screening program. Major elements include background investi-gation, psychological evaluation, and behavioral observation. Additionally the guidelines (1) provide evaluation criteria for the determination of access authorization, (2) establish provisions for accepting unescorted access authori-zation from other utilities, (3) include a grandfathering of personnel who were previously screened and (4) discuss records maintenance, and evaluation and audits of the access authorization. program to assure the utility's unescorted access authorization program is being met.

3 RESPONSIBILITY The final granting and controllin0 of unescorted access authorization is the responsibility of the utility. Each nuclear utility will inform contractors and vendors of the existence of these guidelines and of the necessity to follow these guidelines. The utilities are responsible to audit non utilities who conduct their own screening and/or implement cnntinual behavioral observation programs (COOP) to assure these guidelines are followed. Each utility is responsible for having an independent evaluation conducted of its program in accordance with Section 13.1 of these guidelines.

10/03/86 1 Gul0ELINES ACCESS AUTil PROGRAM

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, 4 .APPLICA8ILITY .

Theseguidelinesapplytoallnuclearutilik.ies,andnuclearutilItfesshall require those contractors and vendors who provide services at the utility's nuclear power plants to also follow them.

One level of permanent unescorted access authorization will be granted to personnel who have been processed in accordance with these guidelines. Such unescorted access authorization will allow access to both protected and vital areas as needed.

5. GENERAL REQUIREMENTS FOR UNESCORTED ACCESS A utility may grant unescorted access authorization to an individual following the satisfactory completion of a screening program (6.0) which consists of a

, background investigation (6.2) and a psychological evaluation (6.3). All of the foregoing may be waived if the individual satisfies any of the following:

(1) satisfies requirements for grandfathering (11.0); (2) has a transferable access authorization from another utility (8.1); (3) has a previously granted reinstateable access authorization from the utility (8.2); or (4) will,be restricted to protected or devitalized areas during cold shutdown or refueling (10.1). Also, a utility may grant a temporary nontransferable unescorted access authorization valid for no more than 180 days based on a psychological evaluation and a limi'ed background check (6.4).

6 SCREENING PROGRAM 6.1 Initiation of a Screening Program No element of the screening program may be initiated without the knowledge and written consent of the person who is subject to such screening. The applicant for unescorted access authorization shall be informed of the types of records

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that may be produced and retained, where such records are normally maintained, the duration such records are usually retained, the applicant's rights concern- -

Ing access to the information, and to whom and under what circumstances the information will be released. '

10/03/86 2 GUIDELINESACCESSAUNiPROGRAM .

Initial screening requirements are applicable to those individuals who have never been screened or granted unescorted access authorization except as defined in Section 11.0. The initial screening program has two components: a background investigation (Section 6.2) and a psychological evaluation (Section 6.3).

An applicant may withdraw consent to a psychological evaluation or background investigation at any time. When withdr1wal of consent is made, all processing of work in connection with either the psychological evaluation or background investigation must cease as soon as practical. Withdrawal of consent must be deemed as withdrawal of the application for unescorted access authorization.

Information collected under these guidelines may be released only on a need-to-know basis.

6.2 Backaround Investigation Elements The background investigation covers the time period specif fed in each element below or since the eighteenth birthday, whichever is shorter. The applicant's employment history, education history, credit history, criminal history, mili-tary service, and the applicant's character and reputation must be addressed in the following manner.

6.2.1 Employment History

, Except as noted below, employment history must be obtained for the past five l years through contacts with previous employers, by obtaining the following l information:

i

a. Verification of claimed periods of employment of 30 days or more;

b. . Olsciplinary history;

c. Reasons for termination and eligibility for rehire; I O

10/03/86 3 Gul0ELINES ACCESS AUTH PROGRAM 4

d. Any other information that would adversely reflect upon the reliability and trustworthiness of the individual as it relates to the individual being permitted' unescorted access; and -

e. Activities during interruptions of employment in excess of 30 days must be verified.

NOTE: Because of the multitude of employments many employees experience during a five year period, especially craft and trade workers, verification of all such employments may not be possible. Consequently, utilities may consider these applicants for unescorted access based upon an inclusive three year retro-s,pective employment check if the entire five year period cannot be covered.

Under no circumstances may unescorted access be granted based on an employment check of less than three years, and attempts should be made to include the entire five year period.

6.2.2 Education History Verify any claimed enrollment at an educational institution during the previous five years. In addition, verify the highest claimed post high school attendance or degree regardless of time.

6.2.3 Criminal History As required by Federal law (Pub. L.99-399, " Omnibus Diplomatic Security and

' nti-Torrorism Act of 1986"), the utility shall perform a criminal history record check through the Federal Bu,lau of Investigation in accordance with NRC regulations.

6.2.4 Military Service If within the last five years, military period of service (claimed or developed) must he verified by receipt of a form 00214 or other National Personnel Records Center (NPRC) records. This information must be obtained from the NPRC through

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acquisition and submittal of an applicant's authorization for release,of mill- -

tary history information. The utility may Grant unescorted access for 180 days 10/03/86 4 Gul0ELINES ACCESS AUTH PROGRAM l

or less to individuals prior to receipt of. military records if all other appli-cable elements of the guidelines are met and a record is maintained which docu-ments that the request for military history was submitted within 10 working days of granting unescorted access. If it becomes known that an individual's discharge is other than honorable based solely on receipt of a 00214, further investigation must be made.

6.2.5 Character and Reputation The applicant's reputation for emotional stability, reliability and trustworthi-ness must be examined through contact with two references supplied by the applicant and at least two additional references (not related to the applicant) developed during the investigation. (It is not necessary that reference's (individually or collectively] association with or knowledge of the applicant for unescorted access cover the entire five year retrospective period.)

Emphasis must be placed on:

a. Identified psychological problems;

b. Criminal history;

c. Illegal use or possession of a controlled substance;

d. Abuse of alcohol;

c. Susceptibility to coercion; and"

f. Any other conduct relating to an applicant's trustworthiness of reliability to discharge job duties within the environment of a nuclear power plant.

6.2.6 Verification of Identity Identity must be verified through,means such as photograph, social security

' number, date of birth, or comparison of applicant's physical characteristics '

, with employment, educationi military and other records and/or employer and character references who have a personal acquaintance with the applicant.

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10/03/86 5 GUIDELINES ACCESS AUni PROGRAM k__-__m____-_______

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6.2.7 Credit Check A check of the applicant's credit history must be performed through checks with credit bureaus and/or credit references.

6.3 Psychological Evaluation Reliability and stability must be determined by the result of a reliable written personality test or by any other professionally accepted clinical assessment procedure. The results of such test or procedures, must be evaluated by a qualified and, if applicable, licensed psychologist or psychiatrist. If the r,esults of the written test or other procedure identify any psychological abnormalities which may indicate emotional instability, unreliability, or untrustwortniness, or the results need further clarification, a clinical interview must be conducted by a qualified and, if applicable, licensed psychologist or psychiatrist.

6.4 Temporary Unescorted Access Authorization A utility may grant unescorted access authorization not exceeding a period of 180 continuous days based on a temporary authorization. This temporary authori-Zation cannot be transferred from one licensee to another in accordance with Section 8.1 with the exception of'the FBI criminal history check which may be transferred. The 180-day temporary authorization may be granted based upon satisfaction of the following conditions:

a. Passing a psychological evaluation within the past year;

b. Conduct of a credit check;

c. Recommendation of one developed character reference who has had frequent and direct association with the applicant; and

d. Evidence that a request for a criminal history check of the individual by the FBI has been submitted to the NRC.-

10/03/86 6 GUIDELINES ACCESS AUTH PROGRAM

7 EVALUATION CRITERIA FOR ONESCORTED ACCESS AUTHORIZATION 7.1 Criteria -

In its decision to grant an individual authorization for unescarted access, the utility shall consider information obtained during the background investigation and psychological evaluation. This information must be reviewed using the guidelines specified in this section. Each utility shall define the appropriate level of management to adjudicate matters covered by these criteria. In making a determination of trustworthiness or reliability, the following must be considered:

a. Willful omission or falsification of material information submitted in support of employment or request for unescorted access authoriza-tion to protected or vital areas;

b. Illegal use or possession of a controlled substance or abuse of alcohol without adequate evidence of rehabilitation;

c. A criminal history without adequate evidence of rehabilitation which establishes untrustworthiness or unreliability;

d. History of mental illness or emotional instability that may cause a significant defect in the individual's judgment or reliability;

e. Any evidence of coercion, influence or pressure that may be applied by outside sources to compel an individual to commit any act of sabotage or other act which would adversely reflect upon the indivi-dual's trustworthiness or reliability;

f. Evidence that the individual has committed or attempted to commit, or aided or abetted another who committed or attempted to commit, any act of sabotage or other act that would pose a threat or refl(ct adversely upon that individual's trustworthiness or reliability;

g. A psychological evaluation which indicates that the individual is-ariskintermsoftrustworthinessorreliability;ang

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10/03/86 7 GUIDELINESACCESSAUTHPROGRdM

h. Any other information that would adversely reflect upon the reli- /

ability and trustworthiness of the individual as it relates to the ,

individual's being permitted unescorted access.

7.2 Review Process Each permanent employee 1 of a utility whose employment is or will be termi-nated as a direct result of a denial or revocation of access authorization will (1) be informed of the basis for denial or revocation of unescorted access; (2) have the opportunity to provide any additional information; and (3) have the decision, together with any additional information, reviewed.by another designated manager of the utility who is equivalent or senior to and independent of the individual who made the initial decision to deny or revoke unescorted access. The determination from this review is final. An alterna-tive review process which is independent and impartial is acceptable.

Each utility will include a description of its review proc.ess in its program which meets this guideline.

8 TRANSFER AND REINSTATEMENT OF UNESCORTED ACCESS AUTHORIZATION Transfer or reinstatement of unescorted access authorization requires verifica-tion of the individual's identity by the utility.

8.1 Transfer An individual's unescorted access authorization granted by one utility in accordance with these guidelines may be transferred to another utility via correspondence, computer data transfer, or telecopy if.the gaining utility (1) verifies or receives confirmation that the individual currently holds a

' valid unescorted access authorization or has a valid unescorted access authori-zation which was terminated under favorable conditions within the previous

. 1The term " permanent employee" refers to a person who3s employed by a utility.

for an. undefined term. It does not include employees _who were temporarily hired for a specific project or other temporary work or who were hired under

_ art employment contract with a defined term. ,

10/03/86 2 8 GUIDELINES ACCESS AUTH PROGRAM ou

365 days, and (2) cross-checks information such'as name, date of birth, social security number, sex, and other applicable physical characteristics for identi-fication. -

8.2 Reinstatement The utility may reinstate the unescorted access authorization grarited an individual if the individual returns to the same utility and unescorted access authorization has not been interrupted for a continuous period of more than 365 days and if the previous unescorted access authorization was terminated under favorable conditions.

8.3 Update Requirements A utility shall not authorize unescorted access where the individual's unes-corted access authorization has been interrupted for more than 365 calendar days unless the psychological evaluation and the background investigation is updated to cover the individual's activities from the date of the previous background investigation, not to exceed retrospective periods in 6.2, or to the period when unescorted access was last held, whichever is less. A temporary unescorted access authorization (6.4) may be issued while the background investigation update is occurring.

9 CONTINUAL BEHAVIORAL OBSERVATION PROGRAM (C80P) 1 lach individual granted unescorted access shall be subject to a CB0P. This C80P applies to all personnel who are granted unescorted access. The following must be included in the overall program:

a. A program with the objective for. assuring the detection of alcohol l and drug abuse and other behavior that may evidence a threat to com-mit radiological sabotage; -

b. A continual behavioral observation program that provides for manage--

1 .

ment / supervisory personnel responsibility for observing-personnel for l . ...

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10/03/86 9 GUIDELINES ACCESS AUTH PROGRAM

,e.

behavioral traits and patterns that may reflect adversely on their trustworthiness or reliability and reporting those observations to appropriate utility management; and

c. A training program which reasonably assures that management /

supervisory personnel have the awareness and sensitivity to detect and report changes in behavior, to include suspected alcohol and drug abuse, which adversely reflect upon the individual's trust-worthiness or reliability, and to refer these persons to the util-ity's management for appropriate evaluation and action.

Individuals with unescorted access authorization must be' notified of his/her responsibility to report any arrest that may impact upon his/her trustworthiness.

10 SCREENING DURING COLO SHUTDOWN 10.1 Devitalization of Vital Areas .

During refueling or maintenance outage in which all or a part of a nuclear power plant is in a cold shutdown, refueling, or devitalized status, the utility may grant unescorted access authorization to the protected and devitalized areas for personnel who have not been screened in accordance with Section 6.0 provid-ing that --

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a. The unescorted and unscreened person is restricted to the protected or devitalized areas;

b. Other requirements of the approved security plan remain in force, and the requirements of 10 CFR 73.55 are followed for unscreened personriel granted unescorted access;

c. Prior to start-up, a thorough visual inspection of the devitalized l

area is made by knowledgeable plant personnel to identify signs _ of tampering or attempted sabotage; and } _

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10 GUIDELINES ACCESS AUTH PROGRAM

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d. Appropriate safety. start-up procedures are followed.to assure that all operating and safety systems are functioning normally. ,

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11 GRAN0 FATHERING The utility may grant unescorted access authorization to individuals if they hold a valid unescorted access authorization on the date security plan amendments in response to these guidelines are approved o: have been granted unescorted access authorization within the 365 days prior to the date of amended security plan approval.

12 CONTRACTOR AND VENDOR REQUIREMENTS The utility may accept the results of the entire screening program or any part thereof conducted by a contractor or vendor, provided that the contractor or

, vendo~r meets the requirements of these guidelines and that it makes its records available for auditing by the licensee or its designated re,presentative in accordance with Sections 13 and 14. The utility retains the ultimate responsi-bility for assuring that individuals granted unescorted access to the facility ,

have been subjected to the screening elements of this program.

13 EVALUATIONS AND AUDITS 13.1 Utility Programs An independent evaluation of the access authorization program and its conform-ance to these guidelines must be made within 12 months of the effective date of implementation of the amended security plan which commits to these guidelines.

Thereafter, an independent evaluation must be conducted at least once every 24 months. The utility shall retain all reports of evaluation for a period of

.three years. -

13.2 Contractor and Vendor Programs-

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-The itility or its designated representative shall conduct annual audi,ts of -

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contractor and vendor ac~ cess authorization programs to ensure ~ compliance with

- 10/03/86 ll GUIDELINES ACCESS AUTH PROGRAM

, , , , , .-- y- p---- - -v- wc -- - - w- w

these guidelines. Other utilities may accept the originating utility's audit and need not reaudit the same contractor or vendor for the same period of time providing the scope of the audit meets the minimum auditing criteria contained in Attachment A. A copy of the audit report, to include findings, recommenda-tions and corrective action must be provided to the sharing utility.

14 RECORDS Utilities and contractors and vendors of utilities who conducted screening programs in accordance with these guidelines shall maintain actual data that establish that --

a. A background investigation and psychological evaluation were conducted for each person who is screened under Section 6 of these guidelines;

. b. Other persons were granted unescorted access authorization in accordance with Section 11; and .

c. Satisfaction with the conditions of Section 6.4 which resulted in the granting of temporary unescorted access authorization.

The utility, contractor, or vendor shall retain records for each person who is granted unescorted access for a three year period following termination of access authorization.

Each utility or utility's contractor or vendor who collects personal informa-tion for the purpose of processing access authorizations shall establish and maintain a system of files and procedures for the protection of the personal information. This information must not be disclosed to persons other than the subject or his/her representative, utility counsel and officers, auditors whose purpose for review would be to inspect program conformance, other utilities if j an individual's access authorization is transferred, and those individuals who_

have a need to have access to the information in performing assigned duties in

. the process of granting _or denying access authorization.

e 10/03/86 12 GUIDELINES ACCESS AUTH PROGRAM 4

MINIMUM AUDIT CRITERIA The following information must be reviewed during the conduct of an audit of a contractor / vendor screening program to meet the objective that the intent of these guidelines have been met.

A. Background Investigation The auditor shall review screening activities by examining records and conducting interviews with appropriate personnel to provide confidence to determine that screening activities were accomplished in a correct and accurate manner.

In conducting an audit of the background information to reasonably assure con-tractor conformance with these guidelines, the auditor shall randomly verify the following:

1. Employment History Date the verification was made, complete dates of employment, posi-tion, disciplinary history, reason for termination, eligibility for rehire, and any other information which would adversely reflect upon the reliability and trustworthiness of the individual. The retro-

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spective period for employment history must be reasonably attempted for five years; however, due to the nature of employment histories of some transient craft workers, a minimum period of three years is required.

2. Education -

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.. 1 Copies of transcripts, diplomas, etc. , documentation which verifies

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all-claimed attendance within the previous five years. In addition, l

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the highest post-high school attendance or degree must be verified

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10[03/86 1 Attachment A e.

regardless of time. Records must include, as a minimum, dates of check, dates of attendance, highest level of attendance, and reason for leaving, i.e., graduation, transfer, expulsion, etc.

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3. Criminal History Date of check and results of FBI criminal history records check. If temporary unescorted access authorization was granted, evidence of submittal of request for FBI criminal history records prior to granting unescorted access.

4. Military History Date of receipt and copy of Form DD214 or other military records from the National Personnel Records Center if military service was within previous five years. If unescorted access was granted prior to receipt of NPRC records, evidence of submission of request for military history within ten working days of granting unescorted access shall be contained in the access authorization file.

5. Character References Dates of contact, names of references, association with applicant, period of association and any information related to identified psychological probJems, criminal history, illegal use or possession ofacontrolledst{5 stance,abuseofalcohol,susceptibilityto coercion and any other conduct relating to applicant's trustworthiness and reliab,ility. Each file must contain two listed references and two developed references (not related to applicant) as a minimum.

6. Verification of Identity

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How verification of identity was accomplished through such means as photograph, social security number, date of-birth, and comparison of

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applicant'_s physical'charactsristics with records and/or references.

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10/03/86 2 Attachment'A ,

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7. Credit History Date of the credit check (s), name and location of credit bureau or other source, and results of initial check (s).

B. Psychological Evaluation To reasonably assure cantractor conformance concerning psychological evalua-tion, the auditor mus'. be concerned wTth the date of the testing and that a psychologist / psychiatrist reviewed the evaluation. Contractor records must include a copy of the report signed by a licensed psychologist / psychiatrist.

C. Continual Behavioral Observation Program (C80P)

To reasonably assure contractor conformance concerning a CB0P, the auditor must review contractor's program to determine compliance with these guidelines, specifically to address that supervisors are sensitized to, alcohol and drug abuse and other behavioral traits / patterns which may cause a threat to commit radiological sabotage, and to report / refer persons displaying such behavior to the utility's management for appropriate evaluation and action.

D. Temporary Unescorted Access Authorization To reasonably assure contractor conformance concerning temporary unescorted

, access authorization, the auditor must be concerned with completion dates for credit check, reference check, psychological evaluation (within previous year from date unescorted access was granted) and date of submission to the NRC of FBI criminal history check. The auditor shall follow criteria set forth in Section A for credit history and character references and Section B for psycho-logical eval >ation. Evidence of submission of FBI criminal history request or receipt of results transferred from another utility -or rec 6ived directly from

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tha NRC must be contained in access authorization file.

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l 10/03/86 3 Attachment A

E. Update Requirements To reasonably assure contractor conformance concerning ' updating access authori-zations when access authorizations hav'e been interrupted for more than 365 days, the auditor must be concerned with the dates of psychological evaluation and s

background investigation, and the retrospective period of the background inves-tigation must cover activities from the date of the previous background investi-gation not to exceed the retrospective period of Section 6.2 or the period when unescorted access was last held, whichever is less. The criteria listed in Sections A and 8 must be met in updating unescorted access authorization.

E. Grandfathering To reasonably assure contractor conformance concerning grandfathering, the auditor must be concerned with the date of the previous unescorted access authorization to determine that the individual held unescorted access authoriza-tion on the date security plan amendments in response to these guidelines were approved or was granted' access authorization within the 365 days prior to the dateofar.endedsecurityflanapproval. The auditor must be concerned that no individuals were grandfathered earlier than the 365 days prior to the date of amended security plan approval or subsequent to the date of amended security plan approval.

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10/03/86 4 Attachment A

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