ML20207T007
| ML20207T007 | |
| Person / Time | |
|---|---|
| Issue date: | 09/11/1986 |
| From: | Jennifer Davis NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | Sniezek J Committee To Review Generic Requirements |
| Shared Package | |
| ML19310E127 | List:
|
| References | |
| FRN-51FR40438, RULE-PR-73 AC27-2-12, NUDOCS 8703230049 | |
| Download: ML20207T007 (37) | |
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A - c 2 7 P f " ""N4 UNITED STATES 8" ' t, NUCLEAR REGULATORY COMMISSION y j WASHINGTON, D. C. 20555 0, e
\ [,, . . #g SEP 111996 MEMORANDUM FOR: James H. Sniezek, Chairman Comittee to Review Generic Requirements FROM: John G. Davis, Director :
Office of Nuclear Material Safety and Safeguards ,
SUBJECT:
REVIEW OF PROPOSED RULE, " REQUIREMENTS FOR CRIMINAL HISTORY CHECKS" This memorandum transmits the subject proposed rulemaking for Comittee to Review Generic Requirements (CRGR) review. For your convenience an cverview of the anticipated sequence of activities for processing of information and of the impact and implications of implementing the rule is provided as Enclosure 1.
The rule package is provided as Enclosure 2. -
The proposed rule requires implementation of procedures for tne control and use of criminal history data received from the Federal Bureau of Investigation (FBI) as part of Federally-mandated criminal history checks of individuals granted unescorted access to nuclear power plants or access to Safeguards
, Information by power reactor licensees. The Public Law, signed by the President on August 27, 1986, requires the NRC to issue this recu!ation in order to:
o implement procedures for the taking of fingerprints, o establish conditions for the use of the criminal history data to include limits on redissemination and assurance that the infonnation is used solely for its intended purpose, '
o provide individuals subject to firigerprinting the right to complete and correct infonnation contained in their criminal history records prior to any final adverse action.
Licensees cannot have access to the FBI criminal history data provided for by the Act until NRC has established regulations for the control and use of the data. The Act also stipulates that the NRC shall promulgate these regulations no later than six months after the date of the enactment of this Act.
0703230049 070310 PDR 3 51 40438
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_ p-The Offices of Inspection and Enforcement Nuclear Reactnr Regulation, and Public Affairs have concurred in this rulemaking. The Office of the General Counsel has no legal objection.
I would appreciate scheduling of a CRGR meeting at an early date The NMSS contact is Kristina Z. Jamgochian, 42-74754.
ht J; / Acca / V f3hhnG. Davis, Director Office of Nuclear Material Safety and Safeguards
Enclosures:
- 1. Overview -
- 2. Proposed 10 CFR 73.57 Pkg.
cc: W. Schwfhk, DEDR0GR staff w/15 copies O
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ENCLOSURE 1 l
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b September 2, 1986 ANTICIPATED SEQUENCE OF ACTIVITIES FOR PROCESSING FBI FINGERPRINT CHECK 0F LICENSEE EMPLO7EES
- 1. Licensee rolls fingerprints of existing and prospective employees that ,
will have unescorted access to nuclear power plant and completes information (preferably typed) on fingerprint card. Docket # will be entered on each card for tracking purposes.
- 2. Fingerprint card (s) are mailed to NPC Division of Security by standard forwarding letter along with a check to NRC for the first time submittal of fingerprint cards.
- 3. Fingerprint card (s) and check are received by NRC and preliminary reviews are made for reoufred data and to ensure that the proper dollar amount was included for first time reouests for an FBI check. Checks over
$1,000 must be deposited in the appropriate account within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of receipt. Checks for lesser amounts may be deposited weekly (per Treasury reoufrements).
- 4. Record is created in an NRC tracking system to track the status (audit trail) of the card. (Additional analysis is necessary to determine whether this can best be accomplished by microcomputer or minicomputer technology.)
- 5. Fingerprint card (s) are sent to FBI daily via special messenger.
- 6. Fingerprint card (s) are returned from FBI on a daily basis via special messenger with one of the following dispositions:
No record Record indicated with RAP sheet attached Illegible prints, re-roll prints and return card Turnaround time at FBI is in the order of 13 to 21 days.
- 7. Update NRC Tracking System with date received from FBI and disposition.
Srptember 2, 1986
- 8. NRC sends the fingerprint cards and RAP sheets (if applicable) received from the FBI back to the licensee.
- 9. Delete the name of the individual frem the NRC tracking system after the licensee has received the final disposition from the FBI and the NRC.
This would avoid the long term possibility of FOIA and other queries into the NRC tracking system. ,
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Form letter used as a 'means for the licensee to transmit the fingerprint cards to NRC. The form would indicate the number of first time cards submitted and the dolfar amount enclosed as well as the name and number of the person to contact in case of questions.
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September 2,1986 i
Proposed Approach For Handling FBI Fingerprint Cards-Initial Submission and Subsequent Annual " Steady State" Condition l Initial Submission
- 1. Shortly before Rule is published, licensees will be sent a package contain-ing fingerprint cards, a sample forwarding letter, and infonnation on-availability of an FBI Video Training Tape describing the correct way to take fingerprints. --
- 2. The Rule will allow licensees up to 180 days to submit cards on their current employees with unescorted access and/or access to SG Information.
- 3. EEI estimates an industry volume of approximately 200,000 cards.
4 The NRC processing load would amount to 200,000 incoming cards, 200,000 responses from the FBI, and reprocessing of rejected cards. Based on the FBI estimated rejection rate of 20% for illegible fingerprint cards, an additional 80,000 cards would be processed (40,000 incoming cards and a 40,000 card response from the FBI). Thus the total processing volume would be 480,000 cards.
- 5. Based on National Association of Security Dealers (NASD) experience, each experienced data entry person can process between 75 and 100 cards per hour.
It would be unreasonable to assume this level of efficiency in a new operation. Accordingly, a rate of 50 cards / hour per person is assumed for NRC.
- 6. At a rate of 50 cards / hour / person, the 480,000 cards could be processed in 9 months with 7 data entry personnel (including reprocessing of rejected cards). On average, 2800 cards would be processed each working day and at the end of each day all PC entries would be merged onto a dedicated PC/AT or the f1V 8000, if appropriate.
- 7. As the volume of cards after the " bow wave" would drop dramatically to a low level of 20,000/ year, it would be unrealistic for NRC to hire 7 data entry persons for this purpose.
- 8. Alternatively, it is recommended that an existing RM data entry support contract be expanded for this purpose. The contract should provide for such matters as data entry, preparing packages for the FBI, return packages to each licensee, handling checks, and supervision. If appropriate, the contract should also provide a daily courier service once a day to deliver cards to the FBI and return completed ones.
- 9. Estimated cost for this operation would be:
1 sys tem devel opment ef fort 2 mon th s*. . . . . . . . . . . . . . . . . . . . . . . . . . .$ 20,000 7 da ta en try pe rson nel fo r 9 mon th s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 157,500 1 Administrative individual for 9 months. . . . . . . . . . . . . . . . . . . . . . . . .$ 18,000 1 s u pe rv i s o r fo r 9 mo n th s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 30,000 1 PC/AT purchased with associated hardware and software *........$ 5,000 7 l ea s ed PC s fo r 9 mon th s* . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 12,600 Cou ri e r Se rv ice fo r 9 mon ths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .$ 6 000 Total $ 25 ,
- 10. The NRC would receive $2/ card for reimbursement = $400,000 **
" Steady State Ooeration i
- 1. Card receipts are estimated at 20,000/ year. Processing 20,000 cards from licensees and 20,000 returns from the FBI results in handling 40,000 cards / yea r. (Rejects will result in handling an additional 3,000 cards.)
At a handling rate of 50/ hour, 960 hours0.0111 days <br />0.267 hours <br />0.00159 weeks <br />3.6528e-4 months <br /> would be required to process the cards. Allowing for opening boxes, sorting checks, and supervision /
overhead, approximately 1 staff years would be expended annually on this -
effort.
- 2. To tal cos t would amoun t to ( 1S s ta ff) . . . . . . . . . . . . . . . .*. . . . . . . . . $45,600 Courier cost for daily runs to FBI ($30/ day x 250 days)....... 7,500 PC/AT for data entry / tracking (previously purchased).......... NC Total $53,100/yr.
- 3. Annual receipts, 20,000 cards, $2/ card = $40,000/yr. **
Combined Cost During the.'first nine nonths of operation, the Initial Submission and the Steady State submission would overlap. Therefore, costs (and income) for the two submissions would be additive. After 9 months cost shoula stabilize at approximately $53,000/yr. The feasibility of using the RM contract for steady state operation should be pursued.
Note: The approach described above is based on infomation available at enis time which is preliminary in rtature and subject to change as better or more complete infomation become,s available. In particular, further analysis may indicate that microcomputer technology would be inadequate and processing nay need to be. accomplished on a minicomputer mainframe such as the NRC MV 8000.
- $ Note: An amendment is needed to the Aopropriation's Act to enable NRC to retain a portion of the fees collected and to pay the FBI. 0GC, RM and OCA are pursuing this matter.
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S;ptember 2,1986 1
ASSUMPTIONS / CONSTRAINTS
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'~ 1. No fingerp int cards or arrest records would be retained,by NRC. ~A'11 ' -
_ such.ihformation would be returned to the licensee'for handling and retentfcn,
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- 2. - Depading on the volume of cards 'to be. processed in thq initial su't-itssion, either a PC/AT with a 30 M5 hard disk and a. printer or the MV. 8000,, as appropriate, appear necessary for the NRC tracking of the status of the ! fingerprint check srequests from the licensees.
- 3. To handle :the initibl surge. of licensee fingerprint checks a data entry.
contract within RH srould be utilized to provide the data entry personn'el -
and terminal resources for processing the initial surge.of data.
4 The Division.of Secdity shocid ,be allecated 0.5 /TE for supervision /
control 'of this project to ensure' that handling"the processing of the ,
fingerprint c1rds~ from the If' ersee, c creating and updating tbh NRC tracking system and returtiir.g.the fingerprint cards and results to the
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licensee are properly controlied.
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- 5. Licensee would submit a chick' for the proper dollar amount for the first time submission of fingerpr' int cards. NRC would have an account with the 3 - FBI for monthly billing and cost reimbursement. NRC would prefer not having accounts set up with the licensees to avoid a ccmplicated procedure l for cost accounting.
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' SGRT,r/f & s/f KJamgochian JYardumian RFburnett WBrown RErickson MEMORANDUM FOR: Victor Stello, Jr.
Executive Director for Operations THRU: ' John G. Davis, Director Office cf Nuclear Material Safety and Safeguards FROM: Robert F. Burnett, Director Civision of Safeguards, NMSS
SUBJECT:
PROPOSED AMENDMENT TO 10 CFR PART 73, "REqulPEMENTS
'. FOR CRIMINAL HISTORY CHECKS" Attached for your signature is a Federal Recister notice (Attachment 1) ,
acending 10 CFR Part 73, "Phyeical Protection of Plants and Paterials," to add a new amendment. This amridment will implereat procecures for the control and use of crinical history data received from the Feoeral Bureau of Investigation (FBI) as part of Federally-mandated criminal history checks of individuals granted unescorted access to' nuclear power plants or access to Safeguards Information by power reactor licensees.
Public Law 99-399, "The Omnibus Dip?omatic Security and Anti-Terrorism Act of 1986" recuires the NPC to issue this regulation in order to (1) implement precedur es "cr the taking of fingerprints, (2) establish corditions fer the use of the criminal history data to incluoe limits on redissemination and assurance that the information is used solely for its intended purpose, and (3) provide indivicuals subject to fingerpr nting the right to ccmplete and ccrrect infor- i matien contained in their criminal history records prior to any final adverse action. Licensees cannot Save access to the FBI criminal history data provided by the Act until NPC has 6.tablished reculations for the control and use of the data.
For the 'mC to use the fees collected to reimburse the FBI and to cover NRC's costs, an amendment is necessary to the Appropriatiens Act or the continuira resolution, if applicable. This matter is being pursued by the Offices o' Pesource Panagement, General Counsel, and Cengressional Affairs.
Notices: The Regulatory Analysis and Backfit Analysis (Attactnents 2 and 31 will be placed in the Public Document Roon. A public announcerent will he issued (Attachment 4). The appropriate Congressional Cortnittees will be advised c# these actions (Attachment 5). A note regarding the issuance of the rule will be included in the next Weekly Peport to the Commissinn (Attachment 6).
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Coordination: The Office of Administration, the Office of Inspection anc Enforcement, the Cffice of Nuclear Reactor Regulatier, and the Office of Public
' legal Affairs concur in this matter. The Office of the General. Counsel has no objection.
Robert F. Burnett, Director Divisien of Safeguards, NMSS Attachments:
- 1. FP Notice of Proposed Pulemaking
- 2. Regulatory Analysis
- 3. Backfit Analysis 4 Oraft Public Announcement
- 5. Craft Congressional Letter
- 6. Drrft Weekly Report to the Commission e
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Approved for Publication The Commission has delegated to the EDO (10 CFR 1.40(c) and (d)) the authority to develop and promulgate rules as defined in the APA (5 U.S.C. 551 (4)) subject to the limitations of the NRC Manual Chapter 0103, Organization and Functions, Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 03.10.
d The enclosed proposed rule entitled, " Requirements for Criminal History Checks", amends 10 CFR Part 73 by adding a new requirement, 10 CFR 73.57.
This amendment provides requirements for the control and use of criminal history data received from the Federal Bureau of Investigation as part of Federally mandated criminal history checks of individuals granted unescorted access to nuclear power plants or sensitive information regarding the safe-guards of these plants by power reactor licensees.
This proposed rule does not constitute a significant ouestion of policy, nor does it amend regulations contained in 10 CFR Part 7, 8, 9 Subpart C con-cerning matters of policy. I therefore find this rule within the scope of my rulemaking authority pursuant to 10 CFR 1.40(d)(2) and am proceeding to issue it.
Date- Victor Stello, Jr.
Executive Director for Operations
[7590-01]
NUCLEAR REGULATORY COMMISSION 10 CFR Part 73 Requirements for Criminal History Checks ,
C-AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) proposes to add a new regulation to its regulations for the control and use of criminal history data received from the Federal Bureau of Iraestigation (FBI) as part of criminal history checks of indivicuals granted unescorted access to' nuclear power plants or access to Safeguards Information by power reactor licensees.
Conducting criminal history checks of such individuals will help assure that '.ndividuals with criminal histories impacting upon their reliability and trustworthiness are not permitted unescorted access to protected and vital areas of the plant or access to Safeguards Information. Issuance of this regulation is required.under the provisions of Public Law 99-399,
" Omnibus Diplomatic Security and Anti-Terrorism Act of 1986."
0ATES: Submit comments by .
Comments received after this date will be considered if it is practical to do so, but assurance of consideration cannot be given unless comments are received on or before this da'te.
" Insert 30 days after date of publication in Federal Register.
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ADDRESSES: Send comments to: Secretary of. the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: Docketing and Service Branch. Deliver comments to: Room 1121, 1717 H Street, NW, Washington, DC, between 8:15 am and 5:00 pm.
Examine comments received and the regulatory analysis at: The NRC Public Document Room,.1717 H Street, NW, Washington, DC 20555.
FOR FURTHER INFORMATION CONTACT: Kristina Jamgochian, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301)427-4754.
SUPPLEMENTARY INFORMATION: Section 606 of Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," requires nuclear power reactor licensees and applicants to conduct criminal history checks through the use of FBI criminal history data on individuals with unescorted facility access or access to .Safeguarcs Information. The Act, signed by the President on August 27, 1986., requires the NRC to issue regulations to establish conditions for the use and control of the criminal history data received from the FBI no later than 6 months after the date of the enact-ment of the Act. These conditions include procedures for the taking of fingerprints, limits on use and redissemination of criminal history data, assurance that the information is. used solely for its intended purpose, and provisions that individuals subject to fingerprinting are provided the right to complete, correct, and explain information in their criminal history records prior to any final adverse action.
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A draft House Senate. Committee Report on the Act contained the following information on the intent of th Act:
CRIMINAL HISTORY RECORD CHECKS The Senate included a provision incorporating the substance of S. 274, which passed the Senate on October 3, 1985, requiring fingerprinting and criminal history record cnecks for certain employees of nuclear power plants. The House bill contained no similar provision. The managers agreed to the Senate pro-posal with changes. The provision adds a new section to the Atomic Energy Act of 1954 It is intended to establish a uni-form procedure for criminal history checks, applicable to all commercial licensees, regardless of ownership.
The managers agreed that the Nuclear Regulatory Commission (NRC) would serve as a channeling agency, in order to collect finger-print cards from licensees and applicants, forward them to the Federal Bureau of Investigation for identif. cation and a crim-inal history record check, and distribute tne results of the search to the licensees and apolicants. The NRC wil not screen the results. It will, however, be responsible for checking incoming cards to ensure that they are complete and legible and l
have been submitted by a licensee or applicant entitled to receive criminal history information under this law. The NRC i
may refuse to accept requests from, or return results to, a i
licensee or applicant the Commission finds is mishandling or misusing information obtained under this section.
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The managers agreed to specify that the regulations the Com- _
mission is to promulgate under this section must include pro-visions to ensure that no final adverse action may be taken ,
against an employee or job applicant solely on-the basis of information obtained under this section involving an arrest more than one year old for which there is no information of the disposition or an arrest that resulted in dismissal of the charge or'an acquittal. A licensee or applicant receiving a criminal record showing an arrest not accompanied by a disposi-tion may seek to determine the disposition of the charge, but if no disposition information can be obtained, the arrest can-not be used as the basis for adverse action.
The managers also specified that the Commission's regulations must protect individuals subject to fingerprinting from misuse of criminal history records provided under the section. Misuse would include, for example, use of the records to discriminate against minorities or to penalize union members or whistle-blowers or to accomplish any other unlawful purpose. As the Senate indicated in its report on S. 274, the statutory require-ments for the Commission's regulations are minimum requirements l
and are not meant to limit the discretion of the Commission to implement a practical program for carrying out the purposes of the section and protecting.the due process and privacy interests of prospective employees.
The managers added language authorizing the Commission to col-lect and retain fees for its services as channeling agency. The FBI already has established and is authorized to collect fees 09/05/86 4 10 CFR 73 CRIM HIST FRN
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for its processing non-criminal justice fingerprint checks. The language ensures that the FBI will be able to collect its normal fee for the work it will do in processing record checks under this section.
Licensees cannot have access to the FBI driminal history data provided by the legislation until the NRC has established regulations for the control and use of the data. In accordance with the Act, the NRC will only col-lect fingerprint cards, forward them to the FBI, and distribute the re-suits of the search. The NRC will not maintain any new files of informa-tion or system of files to contain either fingerprint cards or the results of the search. Only those records necessary for administering the program will be kept.
Implementation of this rule will take place immediately upon its effec-tive date. The Commission will send to the licensee an initial stock of the necessary fingerprint cards prior to the date of the effective rule, as well as a sample forwarding letter to be used by licensees for trans-mitting the fingerprint cards and fees to the NRC. The forwarding letter would contain the following information: facility docket numoer, number of fingerprint cards being submitted, amount of the proper fee being sub-mitted, and the contact person at the facility along with his/her phone number. (The fingerprint cards and the results of the criminal history checks', when completed, will be sent back to the licensee to the attention of the contact person). In accordance with the Act, the fee will be uti-lized to offset NRC and FBI costs for processing of fingerprints and criminal history records.
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Within 180 days of the effective date of this rule, each licensee will return to the Commission, the fingerprint cards as they are completed, of all individuals (licensee, contractors, manufacturers, and suppliers) who are deemed to require unescorted access at the nuclear power plant or access to Safeguards Information. The fingerprint cards are to be completely filled out and the facility docket number shall be included on each individual card in the space marked " Reason Fingerprinted".
Fingerprint cards shall be filed by the licensee on behalf of the con-tractor, manufacturer, and supplier emoloyees who are expected to have unescorted access to a nuclear power plant or to Safeguards Information with the appropriate fee attached. The routine turnaround time for a criminal history check, from the time the licensee mails the fingerprint card to the NRC to the time the licensee receives the returned fingerprint card with the results of the criminal history check, is expected to aver-age 20 working days.
In accordance with the provisions of 5 73.57(d) and (e), the licensee will establish procedures for implementing the individual's right to correct, complete, and explain information prior to any adverse action. The licensee will also establish procedures for limiting redissemination of an individual's criminal history record to only those who have a need to have access to the information in performing assigned duties in the pro-cess of granting or denying unescorted access to a facility's protected and vital areas or access to Safeguards Information. Submittal of an amended security plan is not necessary.
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Individuals who have unescorted access authorization on the effective date of this. rule will retain such access pending licensee receipt of the results of the criminal history check on the individuals' fingerprints, so long as cards were submitted within 180 days of the effective date of this rule. The licensee will then, based on the provisions contained in this rule, determine either to continue to grant or to deny further unescorted access to the facility or Safeguards Information for that individual.
ENVIRONMENTAL IMPACT: CATEGORICAL EXCLUSION The NRC has determined that tnis proposed rule is the type of action described in categorical exclusion 10 CFR 51.22(c)(3). Therefore neither an environmental impact statement nor an environmental assessment has been prepared for this proposed rule.
PAPERWORK REDUCTION STATEMENT This proposed rule amends information collection requirements tnat are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). This rule has been submitted to the Office of Management and Budget for review and approval of the paperwork requirements.
REGULATORY ANALYSIS The Commission has prepared a regulatory analysis on this proposed regulation. The analysis examines the costs and benefits of the alternatives considered by the Commission. The analysis is available i
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for inspection in the NRC Public Document Room,1717 H Street, NW, Washington, DC 20555. Single copies of the analysis may be obtained from Kristina Jamgochian, Safeguards Reactor Regulatory Requirements Section, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory' Commission, Washington, DC 20555, telephone (301)427-4754.
REGULATORY FLEXIBILITY CERTIFICATION Based on the information available at this stage of the rulemaking proceeding and in accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 6^05(b), the Commission hereby certifies that if promulgated, this rule will not have a significant economic impact upon a substantial number of small entities. The proposed rule affects licensees who oper-ate nuclear power plants under 10 CFR Parts 50 and 73. The companies that own these plantsido not fall within the scope of the definition of "small entities" set forth in S 605(b) of the Regulatory Flexibility Act of 1980, or within the definition of Small Business Size Standards set out in regulations issued by the Small Business Administration in 13 CFR Part 121.
BACXFIT ANALYSIS The staff has prepared a backfit analysis on this proposed regulation. The findings of this analysis indicate that the proposed rule will result in a substantial increase in the overall protection of the public health and safety, and direct and indirect costs are justified 09/05/86 8 10 CFR 73 CRIM HIST FRN
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in view of the increase in protection. The analysis is available for
' inspection in the NRC Public Document Room, 1717 H Street, NW, Washington, DC. Single copies of the analysis may be obtained from Kristina Jamgochian, Safeguards Reactor Regulatory Requirements Section, Division of Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301)427-4754 LIST OF SUBJECTS IN 10 CFR PART 73 1
Part 73 - Hazardous materials - transportation, Incorporation by !
reference, Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting and recordkeeping requirements, Security measures.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954. as amended, the Energy Reorganization Act i
of 1974, as amended, and 5 U.S.C. 553, the NRC is proposing to adopt the following amendment to 10 CFR Part 73.
PART 73 - PHYSICAL PROTECTION OF PLANTS AND MATERIALS
- 1. The authority citation for CFR Part 73 is revised to read as follows:
AUTHORITY: Secs. 53, 161, 66 Stat. 930, 948, as amended, sec. 147,
! 94 Stat. 780 (42 U.S.C. 2073, 2167, 2201); sec. 201 as amended, 204, 88 Stat. 1242, as amended, 1245 (42 U.S.C. 5841, 5844).
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Section 73.37(f) is also issued under sec. 301, Pub. L.96-295, 94 Stat. 789 (42 U.S.C. 5841 note). Section 73.57 is issuea under sec. 606, Pub. L.99-399.
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For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C.
2273); SS 73.21, 73.37(g), 73.55 are issued under sec. 161b, 68 Stat. 948, j as amended (42 U.S.C. 2201(b)); SS 73.20, 73.24, 73.25, 73.26, 73.27, 73.37, 73.40, 73.45, 73.46, 73.50, 73.55, 73.67 are issued under sec. 1611, 68 Stat. 949, as amended (42 U.S.C. 2201(i)); and SS 73.20(c)(1),
73.24(b)(1), 73.26(b)(3), (h)(6), and (k)(4), 73.27(a) and (b), 73.37(f),
73.4G(b) and (d), 73.46(g)(6) and (h)(2), 73.50(g)(2), (3)(111)(8) and (h), 73.55(h)(2), and (4)(iii)(B), 73.70, 73,71, 73.72 are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
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- 2. A new S 73.57 is added to read as follows:
S 73.57 Requirements for criminal history checks of individuals granted unescorted access to nuclear power plants or access to Safeguards Infor-mation by power reactor licrrtees.
(a) General.
(1) Each licensee who is authorized to operate a nuclear power reactor under Part 50 shall comply with the requirements of this section.
(2) Each applicant for a license to operate a nuclear power reac-tor pursuant to Part 50 of this chapter may submit fingerprint cards prior to receiving its operating license.
(b) General performance objective and requirements.
(1) Each licensee subject to the provisions of this section shall fingerprint each individual who' is permitted unescorted access to the protected or vital areas of a nuclear power plant or access to Safeguards Information. The licensee shall notify each affected individual that the 09/09/86 10 10 CFR 73 CRIM HIST FRN
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fingerprints will be used to secure a review of the criminal history records of the Federal Bureau of Investigation.
(2) All fingerprints obtained by the licensee under this section must be submitted to the Attorney General of the United States through the Commission.
(3) A licensee shall use the information obtained as part of a criminal history records check solely for the purpose of determining an individual's suitability for unescorted access to a protected area or vital area or access to Safeguards Information.
(4) A licensee may not base a final determination to deny an individual unescorted access to a protected area or vital area or access to Safeguards Information solely upon:
(i) An arrest more than 1 year. old for which there is no information of the disposition of the case; or (ii) An arrest that resulted in dismissal of the charge or an acquittal.
(5) A licensee may not use information received as part of a criminal history check as required by this section for purposes other than described in this section.
(6) A licensee may not use information received from a criminal history check obtained under this section in a manner that would infringe upon the rights of any individual under the First Amendment to the Con-stitution of the United States,"nor shall the licensee engage in any activity that would discriminate among individuals on the basis of race, religion, national origin, sex, or age.
(c) Procedures for processing of fingerprint checks.
09/09/86 11 10 CFR 73 CRIM HIST FRN
[7590-01]
(1) For the purpose of complying with this section, licensees shall submit 1 completed standard fingerprint card (Form FO-258) for each individual requiring unescorted access to protected or vital areas or access to Safeguards Information to the Director, Division of Security, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Copies of these forms may be obtained by writing to: Information and Records Management Branch (PMSS), U.S. Nuclear Regulatory Commission, Washington, OC 20555.
(2) The Commission will review aoplications for FBI criminal his-tory checks for comoleteness. Any Form FO-258 containing omissions or evicent errors will be returned to the licensee for corrections at no additional charge. No additional fee will be levied for fingerprint re-taxes sent back to the NRC from the licensee if the original finger-print card is attached to the resubmittal.
(3) Fees for the processing of FBI fingerprint checks are due upon application.
Licensees shall submit payment for the processing of finger-prints through corocrate check, certified check, cashier's check, or money order made payable to "U.S. NRC", at the rate of 515.00/ fingerprint check. Comoined payment for multiple applications is acceptacle.
(4) The Commission will forward to the appropriate licensee all data received from the Federal Bureau of Investigation as a result of the licensee's application (s) for criminal history checks, including the in-dividual's fingerprint card. -
(d) Right to correct and complete information.
(1) Prior to any adverse action, the licensee shall make available to the individual the contents of records obtained from the Federal Bureau of Investigation for the purpose of assuring correct and complete information.
09/05/86 12 10 CFR 73 CRIM HIST FRN
g s.
[7590-01]
Confirmation of receipt by the individual of this notification must be-
' maintained by the licensee for a period of 3 years from the date of the notification.
(2) If after reviewin'g the record, an individual believes that it is incorrect or incomplete in any respect and wishes changes, corrections, or updating of.the alleged deficiency, the licensee shall inform the ,
individual of proper procedures for revising the record. These proce-dures include direct application to the agency that contributed the questioned information or direct challenge as to'the accuracy or completeness of any entry on the criminal history record to the Assistant Director for the Federal Bureau of Investigation Identification Division, Washington, DC 20537 as set forth in 28 CFR f6.30 through 16.34 .
In the latter case, the Federal Bureau of Investigation then forwards the challenge to the agency that submitted the data requesting that agency to verify or correct the challenged entry. Upon receipt of an offic'ial communication directly from the agency that contributed the original information, the FBI Identification Division makes any changes necessary
.in accordance with the information sup'pliec by that agency. The licensee cannot deny employment of the individual based solely on information in the record which has been challenged by the individual as incorrect or incomplete until the individual has been afforded a reasonable time to correct or complete the record or has declined to do so.
(e) Protection of information.
('1) Each licensee who obtains a criminal history record on an individual under this section shall establish and maintain a system of 09/08/86 13 10 CFR 73 CRIM HIST FRN
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-[7590-01]
files and procedures for protection of the record and the personal information.
(2) The licensee may not disclose the record or personal information collected and maintained to persons other than the subject individual, his/her representative, or to those who have a need to have access to the information in performing assigned duties in the process of granting or denying unescorted access to a facility's protected and vital areas or access to Safeguards Information.
(3) The licensee shall make criminal history records obtained under this section available for examination onsite by an authorized represen-tative of the NRC to determine compliance with the regulations and laws.
(4) The licensee shall retain all fingerprint cards and criminal history records received from the FBI on an individual (including data indicating no record) for 3 years after termination or denial of unescorted access to the facility's protected and vital areas or access to Safeguards Information.
Dated at Bethesda, Maryland this day of , 1986.
For the Nuclear Regulatory Commission Victor Stello, Jr.
Executive Director for Operations E
09/05/86 14 10 CFR 73 CRIM HIST FRN
4.
REGULATORY ANALYSIS REQUIREMENTS FOR CRIMINAL HISTORY CHECKS 10 CFR PART 73
- 1. ACTION - PROPOSE 0 RULE 1.1 Description The Commission proposes to add a new requirement, 10 CFR 73.57,.for-the
' control and use of criminal history data received from the Federal Bureau of Investigation (FBI) as part of Federally mandated criminal history checks of individuals with unescorted access to nuclear power plants or individuals granted access to Safeguards Information by power reactor licensees.
- 1. 2 Need for the Rule Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," requires nuclear power plant licensees to conduct criminal history checks through the use of FBI criminal history data on individuals with un-escorted facility access or access to Safeguards Information. This data is made available to the private sector only throu;h Federal law. The legislation re-quires the NRC to issue regulations to establish conditions for the use and control of the criminal history data received from the FBI. These conditions include procedures for the taking of prints, limits on use and redissemination, assurance that the information is used solely for its intended purpose, and provision that individuals subject to fingerprinting are provided the right to complete and correct information in their criminal history records prior to any final adverse action. It is important that individuals granted unescorted access to sensitive areas within the reactor facility or access to Safeguards Informa-tion be subject to FBI criminal history 09/04/86 1 REGU ANALYSIS 10 CFR 73
.c checks to help assure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability.
- 2. IMPACT ON THE NRC 2.1 Developmental Impact NRC anticipates no significant developmental cost resulting from this pro-posed rule.
- 2. 2 Implementation Impact-NRC anticipates no significant implementation cost resulting from this proposed rule since all costs for the processing of fingerprints will be paid by the licensee.
2.3 Ooerational Imoact ,
NRC anticipates no significant non-reimbursed operational cost resulting from this rule. Inspection effort resources are accounted for as part of the proposed Policy Statement for Access Authorization Program at Nuclear Power Plants.
- 3. IMPACT ON INDUSTRY f 3.1 Industry Implementation The impact on industry implementation will occur in the area of cost of fingerprint submittal through the NRC to the FBI for the criminal records check.
[
Protection and storage of each individual's criminal history record, anticipated to be one page, is considered negligible.
Implementation cost to the industry is estimated to be:
Criminal History Requests (200,030 checks x $15.00/ check) 53000K Total Industry Implementation Cost $3000K 1
09/04/86 2 REGU ANALYSIS 10 CFR 73 4
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3.2 Industry Operation Annual Criminal History Requests-Industry wide s (20,000 checks x $15.00/ check) $ 300K Total Industry Operational Cost $ 300K/ year
- 4. IMPACT ON OTHERS Although the proposed action will affect the FBI, the annual impact is judged to be minimal inasmuch as the estimated 20,000 checks per year represent a 0.36% increase in the number of criminal history checks currently conducted by that agency.
- 5. STATUTORY CONSIDERATIONS 5.1 NRC Authority The Atomic Energy Act of 1954, as amended, Section 161(b) provides authority to the Commission to prescribe regulations described to protect the public health and minimize danger to life and property.
5.2 Need for Environmental Assessment This proposed rule is the type of action described in categorical exclusion 10 CFR 51.22(c)(3). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this rule.
5.3 Relationship to Other Existino or Proposed Regulations or Policies There are no apparent potential conflicts or overlaps with other NRC regulations or policies nor with other agencies' regulations or policies.
5.4 Paperwork Considerations There will be no significant paperwork cost associated with this action.
09/04/86 3 REGU ANALYSIS 10 CFR 73
s 10 CFR PART 73 BACKFIT ANALYSIS
, Requirements For Criminal History Checks I.
SUMMARY
REGULATORY ANALYSIS
- 1. Objective The objective of this proposed rule is to establish conditions for the use and control of' criminal history data received from the Federal Bureau of Investigation (FBI) as part of Federally-mandated criminal history checks of individuals granted unescorted access to nuclear power plants or access to Safeguards Information by power reactor licensees, (Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986 "). Licensees cannot have access to the FBI criminal history data provided by the legislation until NRC has established regulations for the control and use of the data.
4
- 2. Description Of Activity The new requirement:
(1) Implements procedures for taking of fingerprints; (2) Establishes conditions for the use of the criminal history data to include limits on redissemination and assurance that the information is used solely for its intended purpose; and (3) Provides individuals subject to fingerprinting the right to complete and correct information contained in their criminal history records prior to any final adverse action. -
3.
Potential Chance In Risk To The Public From Accidental Offsite Release Of Radioactive Material It is important that individuals granted unescorted access to protected areas and vital areas within the reactor facility or access to Safeguards Information by power reactor licensees be subject to FBI criminal history checks ORAFT 09/04/86 1 10 CFR PART 73 BACKFIT ANAL
e to help assure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability. By'providing increased assurance that an individual having unescorted access to sensitive areas of the facility or sensitive information does not have a criminal history record indi-cating criminal tendencies, the risk of radiological sabotage from an insider and offsite release of radioactive material (risk to the public) is reduced.
- 4 Potential Impact On Radiological Exposure Of Facility Employees To the extent that the risk of radiological sabotage is reduced, the potential impact on radiological exposure of facility employees would also be reduced.
Otherwise, with respect to radiological exposure, there is no impact on facility employees. -
l S. Installation And Continuing Costs Total Industry Implementation Cost
$3000K Annual Operational Cost Per Site
$300K 6.
Potential Safety Impact Of Chances In Plant Or Operational Complexity Not applicable.
- 7. Estimated Resource Burden On The NRC NRC anticipates no significant non-reimbursed costs resulting from this rule.
- 8. Potential Impact Of Differences In Facility Type Or Ace No potential impact is noted of differences in facility type or age on the relevance or practicability of implementing this rule.
- 9. The rule is proposed.
l 1 ORAFT 09/04/86 2 10 CFR PART 73 BACKFIT ANAL l
5 II. JUSTIFICATION
- 1. Increased Protection Of The Public Health And Safety Public Law 99-399 requires the NRC to issue regulations to establish conditions for the use and control of criminal history data obtained from the FBI by power reactor licensees. Licensees cannot have access to the FBI crim-inal history data provided by the legislation until the NRC has established regulations for the control and use of the data. Since the proposed rule will allow licensees access to the FBI criminal history data, increased assurance is obtained that individuals with criminal histories impacting upon their reli-ability and trustworthiness are not permitted unescorted access to sensitive areas of the plant or access to sensitive safeguards information. For this reason, protection against radiological sabotage by an insider will be increased providing a substantial increase in the protection of the public health and (
safety. .
- 2. Cast Implications The cost of the proposed criminal history check requirements associated with implementation is $40K per site. However, industry burden will be re-duced by this legislation and associated regulation because it will facilitate more efficient conduct of background investigations by allowing licensees to have access to the nationwide criminal history data maintained by the FBI.
Licensees at present are, for the most part, limited to conducting criminal history checks through such limited resources as local court records, which is manpower intensive and costly.
- 3. Priority And Scheduling Based upon the resulting substantial increase in the overall protection of the public health and safety, as discussed above, this backfit is considered to be high priority. .
In addition, the proposed changes do not affect the schedules of other regulatory activities ongoing at the facility.
4 Findings HMSS finds that issuance of this rule will result in a substantial increase in the overall protection of the public health and safety, and direct and in-direct costs are justified in view of the increase in protection.
ORAFT 09/04/86 3 10 CFR PART 73 BACKFIT ANAL
y
- NRC_ PROPOSES CRIMINAL HISTORY CHECK REQUIREMENTS FOR LICENSEES The Nucler Regulatory Commission is considering amendments to its regula-tions which implements Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," which requires utility owners of nuclear power plants, or applicants for licenses to operate nuclear power plants, to obtain criminal history checks for all individuals who are to be granted unescorted access to protected or vital areas in nuclear power plants or who have access to Safeguards Information. The law requires that the NRC issue requirements to establish conditions for the use and control of the criminal history data received from the FBI.
A protected area at a licensed nuclear power plant is one encompassed by physical barriers to which access is controlled. A vital area is one containing equipment which is vital to the safe operation of the plant. Safeguards Infor-mation is detailed information regarding licensee plans for the protection of special nuclear material and/or security measures for the physical protection and locations of plant equipment vital to safety.
As proposed, the NRC would require applicants and licensees to fingerprint each individual requiring unescorted access to protected or vital areas of nuclear power plants or who have access to Safeguards Information. The finger-prints thea ould be submitted, through the NRC, to the Attorney General of the United States for a criminal history check.
Licensees would be required to use information obtained as part of a criminal history records check solely for the purpose of determining an individual's suitability for unescorted access to a protected or vital area or for access to Safeguards Information.
As proposed, a final determination to deny an individual access could not be based solely upon: an arrest more than one year for which there is no information of the disposition of the case or an arrest that resulted in dismissal of the charge or an acquittal.
DRAFT 09/04/86 1 10 CFR PART 73 PUBLIC ANNOUNCE
c Further, any denial, revocation, or suspension of unescorted access to protected or vital areas or to Safeguards Information resulting from a criminal history check would have to be based solely upon consideration that the individual has been arrested or convicted of any felony or series of lesser -
offenses indicating criminal tendencies.
Licensees also would;be prohibited from using the information obtained as the result of a criminal history check for any purposes except those described and licensees, or any othe^r person, would be prohibited from engaging in any ,
activities that would infEinge upon the Constitutional rights of any individual or in any activity that would discriminate against individual on the basis of race, religion, national origin, sex, or age. ,
The proposed rule also would establish procedures for processing of >
fingerprints checks, for individuals to have correct and complete information about their criminal history checks, and for protection of the information
- obtained as a result of the checks, f
Written comments on the proposed amendments to Part 73 of the Commission's regulations should be received by (date). They should be addressed to the ,
Secretary of the Commission, Nuclear Regulatory Commission, Washington, D.C.
20555, Attention: Docketing and Service Branch.
4 e
- OR/,FT 09/04/86 2 10 CFR PART 73 PUBLIC ANNOUNCE
- e ORAFT CONGRESSIONAL LETTER
Dear Mr. Chairman:
Enclosed for the information of the Subcommittee are copies of a proposed amend-ment to 10-CFR Part 73 which is to be published soon in the Federal Register.
The Nuclear Regulatory Commission is proposing to add requirements for the con-trol and use of criminal . history data received from the Federal Bureau of In-vestigation (FBI) as part of pending Federally mandated criminal history checks of individuals with unescorted access to nuclear power plants or individuals granted access to Safeguards Information by power reactor licensees.
Enactment of Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," requires nuclear power reactor licensees to conduct criminal history checks of individuals with unescorted facility access or access to Safeguards Information through the use of FBI criminal history data. This data is made available to the private sector only through Federal law. The legislation requires the. NRC to issue regulations to establish conditions for the use 'and control of the criminal history data received from the FBI. These conditions include procedures for the taking of fingerprints, limits on use and redissemination, assurance that the information is used solely for its intended purpose, and provision that individuals subject to fingerprinting are provided the right to complete and correct information in their criminal history records prior to any final adverse action. It is important that individuals granted unescorted access to sensitive areas within the reactor facility or access to sensitive information be subject to FBI criminal history checks to help ensure that these individuals do not have a c'riminal history bearing upon their person-al trustwort'hiness and reliability.
DRAFT 09/04/86 1 10 CFR PART 73 CONG LTR
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and Safeguards ,
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WEEKLY REPORT TO THE COMMISSION OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS Proposed Rule to be Signed by E00 On
,1986, the Executive Director .f_or Operations approved a proposed <
rule that would amend 10 CFR Part 73, " Physical Prctection of Plants and Mate-rials," by adding a new requirement, 10 CFR 73.57. This amendment presents re-quirements for the control ard use of criminal history data received from the Federal Bureau of Investigation (FBI) as part of Federally mandated criminal history checks of individuals with unescorted access to nuclear power plants or individuals granted access to Safeguards Information by power reactor licensees.
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i ORAFT 03/04/86 1 10 CFR PART 73 WEEKLY RPT
. _ . . - _ . - ,