ML20207T149

Forwards,For Info,Proposed Amend to 10CFR73,adding Requirements for Control & Use of Criminal History Data Received from Fbi.Proposed Rule Will Undergo 30-day Public Comment Period

ML20207T149
Person / Time
Issue date:	11/06/1986
From:	Jennifer Davis NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS)
To:	Markey E, Simpson A, Udall M HOUSE OF REP., ENERGY & COMMERCE, HOUSE OF REP., INTERIOR & INSULAR AFFAIRS, SENATE, ENVIRONMENT & PUBLIC WORKS
Shared Package
ML19310E127	List: ML20204G579 ML20205F299 ML20207B348 ML20207E812 ML20207S675 ML20207S684 ML20207S696 ML20207S748 ML20207S967 ML20207S972 ML20207S983 ML20207S995 ML20207T007 ML20207T022 ML20207T044 ML20207T063 ML20207T079 ML20207T095 ML20207T101 ML20207T116 ML20207T135 ML20207T149 ML20207T192 ML20207T233 ML20207T244 ML20207T257 ML20207T269 ML20207T300 ML20207T314 ML20207T337
References
FRN-51FR40438, RULE-PR-73 AC27-2-24, NUDOCS 8703230254
Download: ML20207T149 (10)

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NUCLEAR REGULATORY COMMISSION

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..... i The Hc..orable Morris K. Udall, Chairman

.. Subcommittee on Energy and the Environment Committee on Interior and Insular Affairs United States House of Representatives l- Washington, DC 20515

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 Federally mandated criminal history checks of i individuals with unescorted access to nuclear power facilities or individuals

]- granted access to Safeguards Information by power reactor licensees.

• Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," signed by the President on August 27, 1986, requires nuclear power reactor 1- licensees to conduct criminal history checks of individuals with unescorted access to a nuclear power facility or access to Safeguards Information through i:

the use of FBI criminal history data. This data is made available to the pri-vate sector only through Federal law. The legislation requires the NRC to issue

.1 regulations to establish conditions for the use and control of the criminal his-tory data received from the FBI. These conditions include procedures for the taking of fingerprints, limits on use and redis:;emination, assurance that the information is used solely for its intended purpose, and provision that indivi-4 duals 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 nuclear power

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facilities or access to Safeguards Information be subject to FBI criminal history checks to help ensure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability.

The proposed rule will undergo a thirty-day public comment period.

l Sincerely,  !

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& ntr/WY pohnG.Dvis, Director

Office of Nuclear Material Safety 4

and Safeguards i

Enclosure:

Federal Register Notice i cc: Rep. Manuel Lujan

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The Honorable Alan Simpson, Chairman Subcommittee on Nuclear Regulation

' Committee on Environment and Public Works United States Senate Washington, DC 20510 '

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 Federally mandated criminal history checks of individuals with unescorted access to nuclear power facilities or individuals granted access to Safeguards Information by power reactor licensees.

• Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," signed by the President on August 27, 1986, requires nuclear power reactor 1

licensees, to conduct criminal history checks of individuals with unescorted access to a nuclear power facility or access to Safeguards Information through i the use of FBI criminal history data. This data is made available to the pri-vate sector only through Federal law. The legislation requires the NRC to issue regulations to establish conditions for the use and control of the criminal his-tory 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 indivi-duals 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 nuclear power facilities or access to Safeguards Information be subject to FBI criminal history checks to help ensure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability.

The proposed rule will undergo a thirty-day public comment period.

Sincerely,

/ n ))s ~ b f bhn G. Davis, Director Office of Nuclear Material Safety and Safeguards

Enclosure:

Federal Register Notice cc: Senator Gary Hart

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The Honorable Edward Markey, Chairman Subcommittee on Energy Conservation and Power

• Committee on Energy and Commerce United States House of Representatives Washington, DC 20515 '

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 Federally mandated criminal history checks of individuals with unescorted access to nuclear power facilities or individuals granted access to Safeguards Information by power reactor licensees.

• Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," signed by the President on August 27, 1986, requires nuclear power reactor licensees to conduct criminal history checks of individuals with unescorted access to a nuclear power facility or access to Safeguards Information through L the use of FBI criminal history data. This data is made available to the pri-vate sector only through Federal law. The legislation requires the NRC to issue regulations to establish conditions for the use and control of the criminal his-tory 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 indivi- .

duals 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 nuclear power facilities.or access to Safeguards Information be subject to FBI criminal history checks to help ensure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability.

The proposed rule will undergo a thirty-day public comment period.

Sincerely,

/1 fdt,Ghfdf 6hn G. vis, Director Office of Nuclear Material Safety and Safeguards

Enclosure:

Federal Register Notice cc: Rep. Carlos Moorhead

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REGULATORY ANALYSIS REQUIREMENTS FOR CRIMINAL HISTORY Cl!E0KS 10 CFR PART 73 *

1. ACTION - PROPOSED 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 facilities or individuals g

granted access to Safeguards Information by power reactor licensees.

1.2 Need for the Rule 4

Public Law 99-399, "The Omnibus Diplomatic Security and nti-Terrorism Act of 1986," requires nuclear power facility ifcensees to conduct criminal history checks through the use of FBI criminal history data on individuals with un-escorted access to the nuclear power facility or access to Sa'feguards Information. .

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 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 nuclear power facilities or access to Safeguards Information be subject to FBI criminal history checks to help assure that these individuals do not have a criminal history bearing upon their personal trustworthiness and reliability.

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2. IMPACT ON THE NRC 2.1 Developmental Impact NRC anticipates no significant developmental cost resulting from this proposed rule' .

2.2 Implementation Impact Implementation will involve the NRC's pracassing of criminal record checks for all current individuals with unescorted access to nuclear power facilities. Although this will involve tens of thousands of checks at the implementation stage, the impact to the NRC is expected to be minimal because of the NRC's limited role in this process: essentially as a midway point between the utilities and the FBI in the transmittal of industry requests and FBI findings. Although the NRC is authorized to collect fees for reimbursement for its services, an amendment to the Appropriations Act or continuing resolu-tion is necessary for the NRC to do so. Accordingly, until such an amendment is approved by Congress, NRC will not be able to recover its costs for processing (approximately $2 per fingerprint card).

2.3 Operational Impact It is estimated that because of labor turnover rates in the industry,

, approximately 20,000 criminal history checks will be required on an annual recurring basis. However, as noted above (Section 2.2) this activity is expected to impact the NRC only marginally because of the NRC's limited participation in processing these checks and the expectation of reimbursement.

, Consequently, no significant operational costs are envisioned for the NRC.

Inspection effort resources are accounted for as part of the proposed Policy Statement for Access Authorization Program at Nuclear Power Plants.

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3. IMPACT ON INDUSTRY 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.

Based on discussions with the FBI, it is expected that a fee of $15 per ,

investigation, payable by industry, would constitute full reimbursement to'the government. As new nuclear power sites are licensed the affected individuals would be subject to FBI criminal history checks as well. However, this would be in lieu of criminal history checks already conducted by the industry which

. are more labor intensive and more costly. Protection and storage of each indi-vidual's criminal history record, anticipated to be one page, is considered negligible.

Implementation cost to the industry is estimated to be:

Criminal History Requests  ;

(200,000 checks x $15.00/ check) $3000K Fingerprinting of Individuais (200,000 fin

$40.00/ hour)gerprint cards x 1/3 hour / card x $2680K Total Industry Implementation Cost $5680K 3.2 Industry Operation .

It is estimated that once tho program is operational, all sites will generateapproximately20,000newcrfminalhistorychecksbecauseoflabor turnover at nuclear power facilities. A fee of $15.00 is payable by industry for each criminal history check. However, industry burden will be reduced by this legislation and associated regulation because it will facilitate more effi-cient conduct of background investigations by allowing licensees to have access to the nationwide criminal history data saintained by the FBI. Licensees at pre-sent are, for the most part, limited to conducting criminal history checks through such limited resources as local court records, which is manpower inten-sive and costly.

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Annual Criminal History Requests-Industry wide:

(20,000 checks x $15.00/ check) $ 300K (20,000 fingerprint cards x 1/3 hour / card x

$40.00/ hour)- $ 268K Total Industry Operational cost $ 568K/ 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. Further, industry fees will fully reimburse the FBI for this incremental burden.

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 categarical exclusion 10 CFR 51.22(c)(3). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this rule.

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5.3 Relationship to Other Existing 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.

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NRC PROPOSES CRIMINAL HISTORY CHECK REQUIREMENTS FOR LICENSEES The Nuclear 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 I

, facilities, or applicants for licenses to operate nuclear power facilities, to ,

obtain criminal history checks for all individuals who are to be granted unescorted access to nuclear power facilities or who have access to Safeguards Information. -

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The law requ' ires that the NRC issue requirements to establish conditions for the use and control of the criminal history data received from the FBI.

Safeguards Information 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 the nuclear power facility or who have access to Safeguards Information. The fingerprints then would be sub-mitted, 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 nuclear power facility or 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.

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Further, any denial, revocation, or suspension of unescorted access to a nuclear power facility or to Safeguards Information resulting from a criminal history check would have to be based solely upon consideration that the indivi-

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dual 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 other person, would be prohibited from engaging in any activities that would infringe 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.

Written comments on the proposed amendments to Part 73 of the Cnemission's regulations should be received by . They should be addressed to the Secretary of the Commission, Nuclear Regulatory Commission, Washington, '

OC 20555, Attenti)n: Docketing and Service Branch.

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REGULATORY INFORMATION DISTRID,UTkON SYSTEM (R IDS)

ACCESSION NDR: 0612100514 DOC. DATE: S6/11/05 NOTARIZED: NO DOCKET #

FAC IL:

AUTH.NAME AUTHOR AFFILIATION 1

CHILK,S.J. Commissioners.

RECIP.NAME RECIPIENT AFFILIATION SUD JECT: Proposed rule 10CFR73, " Requirement for Criminal Hi storu Checks."

DISTRIBUTION CODE: DS10D COPIES RECEIVED: LTR h ENCL SI ZE:

TITLE: SECY/DSD Dist: Public Comment on Proposed Rule (PR)-10CFR NOTES:

RECIPIENT COPIES RECIPIENT COPIES ID CODE /NAME LTTR ENCL ID CODE /NAME LTTR ENCL INTERNAL: ADM/DRR/RPD < 1 ELD /DR L 1 ELD /SAIP 1 GC L 1 NMSS/FC . 1 NRR/DSRO/RSID L 1 PA 1 1 REG FILE l 1 RES DIR j 1 RES/DAE/CSRB 1 1 EXTERNAL: NRC PDR 01 1 1 .

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i AGENCY: Nuclear Regulatory Commission.

ACTION: Proposed rule.

SUWARY:

The Nuclear Regulatory Commission (NRC) proposes to add a new regulation to implement a program for the control and use of criminal history data received from the Federal Bureau of Investigation (FBI) as part of criminal history checks of individuals granted unescorted access

• to nuclear power facilities or access to Safeguards Information by nuclear power reactor licensees. Conducting criminal history checks of such individuals will help assure that individuals with criminal histories impacting upon their reliability and trustworthiness are not permitted unescorted access to a nuclear power facility or access to Safeguards Information. Issuance of this regulation is required under the provisions of Public Law 99-399, "O,nnibus Diplomatic Security and Anti-Terrorism Act of 1986."

DATES: Submit comments by cac. 9, 1996 ,. Coments received after this cate will be considered if it is practical to ao so, but assurance of consideration cannot be given unless comments are received on or before this cate.

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ADDRESSES: Send comments to: Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: Occketing'and Service Branch. Deliver comments to: Room 1121, 1717 H Street NW.,

Washington, DC, between 8:15 a.m. and 5:00 p.m.

Examine comments received and the regulatory analysis at: The NRC Public Document Room,1717 H Street NW. , Washington, OC 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 access to nuclear power facilities or access to Safeguards Information.

The Act, signed by the President on August 27, 1986, requires the NRC to issue regulations to e:Jtiblish conditions for the use and control of the criminal history data received from the FBI no later than six months after the date of the enactment of the Act. These conditions include procedures for the taking of fingerprints, limits on use and redissemination of criminal history data, assurance that the infornation is used solely for its intended purpose, and provisions that individuals subject to finger'-

printing are provided the right to c eplete, correct, and explain informa-tion in their criminal history records prior to any final acverse action.

The Conference Report on H.R. 4151 (published in the Congressional Record on August 12,1986, p. rt-5965) contains tne following legislative history:

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CRIMINAL HISTORY RECORD CHECKS "The Senate amendment (Section 703) contains a provision requiring fingerprinting and criminal history ' record checks for certain employees of nuclear power plants.

The House bill contains no comparable provision.

The conference substitute (Section 606) is similar to the Senate amendment with some modifications. The substitute, which incorporates t$e substance of S. 274, passed by the Senate on

-October 3, 1985, adds a new section to the Atomic Energy Act of 1954 which is intended to establish a uniform procedure for criminal history checks, applicable to all commercial licensees, -

regardless of ownership.

The Committee of Conference agrees that the Nuclear Regula-tory Commi sion (NRC) would serve as a channeling agency, in order to collect fingerprint cards from licensees and applicants,

't forward them to the Federal Bureau of Investigation for identifi-t

,. cation and a criminal history record check, and distribute the o

3.. results of the search to the licensees and applicants. The NRC

, .t will not screen the resul.ts. It will, however, be responsible for checking incoming cards to ensure that they are complete and legible and have been submitted by a licensee or applicant entitled to receive criminal history information under this law.

The NRC may refuse to accept requests from, or return results to, o a licensee or apolicant the Commission finds is mishr.ndling or misusing information obtained under this provision.

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The conference substitute specifies that the regulations the Commission is to promulgate under this section must incluce-provisions to ensure that no final adverse action may be taken against an employee or job applicant sclely on the basis of information obtained under this section involving an arrest more than 1 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 cannot be used as the basis for adverse action. '

The conference substitute also specifies that the Commis-

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sion's regulations must protect individuals subject to finger-printing 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 whistleblowers or to accomplish any other unlawful purpose. As the Senate indicated in its report on S. 274, the statutory requirements for the Commission's regulations are minimum requirements 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 Committee of Conference also added language authori:-

ing the Commission to collect and retain fees for its services as channeling agency. The FBI already has estaclished and is 4

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[7590-01]

authorized to collect fees for its processing non-criminal justice fingerprint checks.

It is the intent of the Committee of Conference that this 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 provision."

Licensees cannot have access to the criminal history data provided by the legislation until the NRC has established regulations for the con-trol and use of the data. In accordance with the Act, the NRC will only collect fingerprint cards, forward them to the FBI, and distribute the results 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.

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 average 25 working days.

The legislation requires nuclear power reactor licensees and applicants to conduct criminal history checks on individuals with unescorted access to nuclear power facilities or access to Safeguards Information. However, current regulations do not require protection measures against radiological sabotage until issuance of an operating license. Accordingly, the Commission does not deem it necessary to require fingerprinting of applicant employees for unescorted access to the facility.

Applicants who anticipate receiving their operating license in the near future and wish to sucmit fingerprints of those individuals who will remain on staff after the license is issued, may do so in accordance with the provisions of the rule.

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Implementation of this rule will take place immediately upon its effec-tive date. The Ccmmission 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 will contain the following information: facility docket number, 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 criminai 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 utilized to offset NRC and FBI costs for pr.ocessing of fingerprints and

• criminal history records.

Within 180 days of the effective date of this rule, each licensee will return to the Commission, as they are completed, the fingerprint cards of all individuals (licensee, contractors, manufacturers, and suppliers) who are deemed to require unescorted access at the nuclear power facility or access to Safeguards Information. The fingerprint cards are to be filled out completely and the facility docket number shall be included on each individual card in addition to the information required in the space marked " Reason Fingerprinted". To assist the licensee in ensuring a low rejection rate of submitted fingerprint cards, Edison Electric Institute (EEI) and FBI training tapes are available for use in establisning procedures for the proper method of taking fingerprints.

Fingerprint cards shall be filed by the licensee on behalf of the contrac-tor, manufacturer, and supplier employees who are expected to have unes-corted access to a nuclear pcwer facility or to Safeguards Information 6

[7590-01]

with the appropriate fee attached. NRC personnel requiring unescorted access to the facility do not need to be fingerprinted by the licensee.

The Commission conducts an equivalent program for fingerprinting of NRC employees for FBI criminal history checks.

In accordance with the provisions of 5 73.57(e) and (f), 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 process of granting or denying unescorted access to a nuclear power facil-O ity or access to Safeguards Information as well as against unauthorized

• disclosure. Submittal of an amended security plan is not necessary.

During the internal staff review of the proposed rule, a question arose as to whether or not fingerprinting should be required only for unescorted access to vital areas rather than to the nuclear power facility which also includes protected areas. To be consistent with the legisla-tive intent and specific language of Public Law 99-399, the staff has written the proposed rule to require fingerprinting of individuals granted unescorted access to the nuclear power facility. Additionally, during the public comment period on the proposed Access Authorization Rule, licensee and industry groups commented that it was more cost effective to run a single access authorization program, especially since the majority of emoloyees needing access to the protected area also required access authorization to cne or more vital areas. In the interest of cetermining whether this view still prevails, specific response is requested during the public comment period to the following question: should fingerprinting 7

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be required of individuals for unescorted access to vital areas only or

.to the nuclear power facility?

ENVIRONMENTAL IMPACT: CATEGORICAL EXCLUSION The NRC has determined that 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 proposed rule.

PAPERWORK REDUCTION ACT STATEMENT This proposed rule amends ir. formation collection requirements that 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 alterna-tives considered by the Commission. The analysis is available for inspec-tion in the NRC Public Document Room, 1717 H Street NW., Washington, OC 20555. Single copiss 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, CC 20555, telepnene 4

(301) 427-4754.-

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REGULATORY FLEXIBILITY CERTIFICATION Based on the informatica available at this stage of the rulemaking proceeding and in accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b), the Commission hereby certifies that if promulgated, this rule will not have a significant economic impact upop a substantial number of small entities. The proposed rule affects licensees who operate nuclear power plants under 10 CFR Parts 50 and 73. The companies that own these plants do 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 regu-lations issued by the Small Business Administration in 13 CFR Part 121. -

BACKFIT ANALYSIS As this rulemaking is based upon a legislative mandate, the need to make.a backfit decision is unnecessary.

LIST OF SUBJECTS IN 10 CFR PART 73 Part 73 - Hazardous materials - transportation, Incorporation by reference, Nuclear materials, Nuclear power plants and reactors, Penalty, Reporting and recorckeeping requirec;nts, 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 of 1974, as amended, and 5 U.S.C. 553, the NRC is proposing to adoot the following amendment to 10 CFR Part 73.

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(7590-011 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, 68 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).

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 issued under sec. 606, Pub. L.99-399.

For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C.

• 2273); $$ 73.21, 73.37(g), 73.55 are issued under sec. 161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b)); 59 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 $$ 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),

73.40(b) and (d), 73.46(g)(6) and (h)(2), 73.50(g)(2), (3)(fii)(B), 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)).

2. A new S 73.57 is added to read as follows:

$ 73.57 Requirements for criminal history enecks of individuals t

granted unescorted access to a nuclear power f acility or access to Safe-i guards Information by power reactor ifcansees.

j- (a) General.

(1) Each licansae who is authori:ed to coerste a nuclear power reactor under Part 50 shall como1y witn the requirements of this section.

10 4

4 G*

(7590-01]

(2) Each applicant for a license to operate a nuclear power reactor pursuant to Part 50 of this chapter shall submit fingerprint cards for those individuals who have access to Safeguards Information.

(3) Each applicant for a ifcense to operate a nuclear power reac-tor pursuant to Part 50 of this chapter may submit fingerprint cards prior to receiving its operating license for those individuals who will require unescorted access to the nuclear power facility.

(b) General performaN:e objective and requirements.

(1) Each licensee subject to the provisions of this section shall fingerprint each individual, except NRC employees and individuals respond- ,

ing to a site emergency in accordance with the provisions of 6 73.55(a),

who is permitted unescorted access to the nuclear power facility or '

access to Safeguards Information. Individuals who have unescorted access authorization on

• will retain such access pending licensee receipt of the results of the criminal history check on the individuals' fingerprints, so long as the cards were sut,mitted by ** .

The licensee will then review and use the information received from the FBI, and 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. Individuals who do not have unescorted access after " shall be fingerprinted by the licensee and the results of the criminal history records check shall be used in making a determination for granting unescorted access to the nuclear pcwer f acility.

I

' Insert aate of final rule ::ublication in Federal Register.

" Insert date 180 cays af ter final rule puolication in Federal Register.

I l 11 l

(7590-01]

(2) The licensee shall notify each affected individual that the fingerprints will be used to secure a review of his/her criminal history record.

(3) Fingerprints need not be taken, in the discretion of the licensee, if an individual who is a permanent employee of a licensee, contractor, manufacturer or supplier has been granted unescorted access to a nuclear power facility or to Safeguards Information by another licensee, based in part on a criminal history records check under this section. In the case of temporary employees, fingerprints need not be taken so long as the individual has been fingerprinted within the last .

180 days. ~

(4) All fingerprints obtained by the licensee under this section

• must be submitted to the Attorney General of the United States through the Commission.

(5) The licensee shall review the information received from the i

Attorney General and consider it in making a determination for granting unescorted access to the individual.

(6) 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 the nuclear power facility or access to Safeguards Information.

(c) Prohibitions.

(1) A licensee may not base a final determination to deny an indi-vidual unescorted access to the nuclear power facility or access to Safe-guards Information solely upon:

(i) An arrest more than 1 year old for which there is no informa-tion of the disposition of the case; or (ii) An arrest that resulted in dismissal of the charge or an acquittal.

12

[7590-01]

(2) 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 Constitution of the United States, nor shall the ifcensee use the informa-tion in any way which would discriminate among individuals on the basis of race, religion, national origin, sex, or age.

(d) Procedures for processing of fingerprint checks.

(1) For the purpose of complying with this section, licensees shall submit 1 completed, legible star.dard fingerprint card (Form FO-258) supplied by the NRC for each individual requiring unescorted access to the nuclear power facility or access to Safeguards Information to the Director, Division of Security, U.S. Nuclear Regulatory Commission.

• Washington, OC 20555, Attention: Criminal History Check Section. Copies of these forms may be obtained by writing to: Information and Records Management Branch (PMSS), U.S. Nuclear Regulatory Commission, Washington, DC 20555. The licensee shall establish procedures to ensure that the quality of the fingerprints taken results in minimi:ing the rejection rate of fingerprint cards due to illegible or incomplete cards.

(2) The Commission will review applications for criminal history checks for comoleteness. Any Form FD-258 containing omissions or evident errors will be returned to the licensee for corrections. No additional fee will be charged for fingerprint cards needed to replace returned incomolete or illegible fingerprint cards if the or'ginal fingerprint card is attached to the resubmittal.

(3) Fees for tne processing of fingerprint checks are due upon application. Licensees shall sut:mit payment wish the soplicatien for the processing of fingerprints througn corporate c.+ck, certified check, 13

[7590-01]

cashier's check, or money order made payable to "U.S. NRC", at the rate l of $15.00 for each card. Combined payment for multiple appilcations'is acceptable.

(4) The Commission will forward to the submitting licensee all data received from the Federal Sureau of Investigation u a result of the licensee's appilcation(s) for criminal history checks, including the individual's fingerprint card.

(e) Right to correct and complete information.

~

(1) Prior to any adverse action, the licensee shall make available to the individual the cotltents of records obtained fcmm the Federal Bureau .

of Investigation for the purpose of assuring correct and complete informa-tion. Confirmation of receipt by the individual of tr,is notification must be maintained by the licensee for a pariod of 3 years from the date of the notification.

(2) If after reviewing the record, an individual believes that it is incorrect or incomplete in any respect and wishes changes, corrections, or updating of the alleged deficiency, or to explain any matter in the record, the licensee shall inform the individual of proper procedures for revising the record or including explanation in the record. These proce-dures include direct application to the agency that contributed the ques-tiened information or direct challenge as to the accuracy or completeness of any entry on the criminal history record to the Assistant Director, Federal Bureau of Investigation Identification Division, Washington, DC 20537-9700 as set forth in 29 CFR 16.30 througn 15.34 In th= latter ct.se, the Federal Sureau 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 official communication 14

[7590-01]

directly from the agency that contributed the original information, the FBI Identification Division makes any changes necessary in accordance~

with the information supplied by that agency. The licensee may not take final adverse action with respect to an individual based solely on information in the record that has been challenged by the individual as incorrect or incomplete until the individual has been afforded a reason-able amount of time to correct, complete, or explain the record or has declined to do so.

(f) 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 files and procedares for protection of the record and the personal

• information from unauthorized disclosure.

(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 the nuclear power facility or access to Safeguards Information. No individual authorized to have access to the information may redisseminate the information to any other individual who does not have a need to know.

(3) The personal information obtained on an individual from a criminal history record check may be transferred to another Itcansee:

(f) Upon the individual's request to redisseminate the information contained in his/her file, and (ii) If the gaining licensee verifies information such as name, date of birth, social security numoer, sex, and other applicable physical enaracteristics for identification, and, 15

(7590-01]

(iii) If the individual was terminated within the previous 365 days, the termination was under favorable conditions. '

(4) 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.

(5) 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 af ter termination or denial of unescorted access to the nuclear power facility or access to Safeguards Information.

Oated at Washington, D.C. this $ 4 day of 4/w er m e ,r , 1986.

For heNuc)CrRegulatoryCommission, f

.1,.J AsaR' fariiuer J. Ch Secretary of the Commiss '.

16

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$2gg g6 M N!iSS r/f WParicr The Honorable Mor~ris K. Udall,. Chairman SGRT r/f & s/f Subcommittee on Energy and the Environment JYardumfan Committee on Interior and Insular Affairs R urnett DMausshardt United States House of Representatives JDavis H0enton/GMcPeek Washington, DC 20515 JTaylor PNorry FJpgram/JFouchard

Dear Mr. Chairman:

WMcDonald CKammerer, OCA RScroggins 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 Federally mandated criminal history checks of individuals with unescorted access to nuclear power facilities or individuals granted access to Safeguards Information by power reactor licensees.

Public Law 99-399, "The Omnibus Diplomatic Security and Anti-Terrorism Act of 1986," signed by the President on August 27, 1986, requires nuclear power reactor licensees to conduct criminal history checks of individuals with unescorted access to a nuclear power facility or access to Safeguards Information through the use of FBI criminal history data. This data is made available to the pri-vate sector only through Federal law. The legislation requires the NRC to issue l regulations to establish conditions for the use and control of the criminal his-l tory 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 itr intended purpose, and provision that'indivi-duals 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 uaescorted access to nuclear power i

I facilities or access to Safeguards Infortiation be subject to FBI criminal history checks to help ensure that these individuals do not have a criminal history I

bearing upon their personal trustworthiness and reliability.

The proposed rule will undergo a thirty-day public comment period.

Sincerely, (SIGKG) Dossid B. Abusehere g John G. Davis, Director j Office of Nuclear Material Safety l

and Safeguards

Enclosure:

Federal Register Notice cc: Rep. Manuel Lujan l

l IDENTICA L RS SENT TO ATTACHED MAILING LIST.

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i ,' The Honorable Alan Simpson, Chairman i Subcommittee on Nuclear Regulation Committee on Environment and Pubite Works United States Senate Washington, DC 20510 The Honorable Edward Markey, Chairman i

' Subcommittee on Energy Conservation and Power Committee on Energy and Commerce United States House of Representatives Washington, DC 20515 i

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NRC PROPOSES CRIMINAL HISTORY CHECK REQUIREMENTS FOR LICENSEES The Nuclear 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 facilities, or applicants for licenses to operate nuclear power facilities, to obtain criminal history checks for all individuals who are to be granted unescorted access to nuclear power facilities 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.

Safeguards Information 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 the nuclear power facility or g

who have access to Safeguards Information. The fingerprints then would be sub-i mitted, 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

s criminal history records check solely for the purpose of determining an individual's 6 itability for unescorted access to a nuclear power facility or accass % Safeguards Information.

1 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.

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Further, any denial, revocation, or suspension of unescorted access to a nuclear power facility cr to Safeguards Information resulting from a criminal history check would have to be based solely upon consideration that the indivi-I dual has been arrested or convicted of any felony or series of lesser offenses indicating criminal tendencies..

l 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 other person, would be prohibited from engaging in any activities that would infringe 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 j about their criminal history checks, and for protection of the information

• obtained as a result of the checks.

) Written comments on the proposed amendments to Part 73 of the Commission's

regulations should be received by . They should be addressed to the Secretary of the Commission, Nuclear Regulatory Commission, Washington.

l DC 20555, Attention: Docketing and Service Branch.

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PbR Federal Resister / Vol. 51. No. 218 / Friday. November 7.1986 / Proposed Rules l loce time to establish an insurance contract Aoonesses: Send comments to:

3 33s.tos Apposes and st$evances, at the time of planting. CHIAA also Secretary of the Commission.U.S.

tal Appeals.There is no right to Nuclear Regulatory Commission.

ap' peal an action under this part. expressed opposition to the change that (b) Crtevances. Employees may not would give insureds more time to quahfy Washinston. DC 20555. Attention:

for a higher amount ofinsurance Docketing and Service Branch. Deliver gneve nonselecuan under this part from contending that such a change would comments to: Room 1121.1717 H Street a group of properly ranked and certtfled NW., Washington. DC. between 8:15 candidates, or failure to receive a allow adverse selection against the Insurance company, a.m. and 5.00 p.m.

noncompetitive promotion.

FC!C has determined that giving Exsmine commente received and the .

[FR Doc. so 25296 Fded It-4.es. 8.s5 aml Insurada more time to qualify for a regulatory analysis at: the NRC Public

• • • • • • • • • '*" higher amount of insurance would result Document Room.1717 H Street. NW

' l in adverse selection against the Washington DC 20$$$.

Insurance company and that the change pon ewrfwen impoenaAftom cow?ACT:

DEPAMTn4Dff 0F AGRICut.TURE is unnecessary and contrary to the basic Kristina jamgochian. Office of Nuclear Federal Crop insurance Corporation concept underlying the insurance Material Safety and Safeguards. U.S.

P' 8"' Nuclear Regulatory Commisolun.

3 7 CFR Port 425 For the reasons stated above. the Washington,DC 20535 telephone (301)

( Amendment No. 4 Dee. No. 0 thal 'p,*gf,*hed n ednes a . ugust 27 sue Aa e ion 1986 (5: FR 30497) is hereby withdrawn.

Peanut Crop Ineursace Regulatione; Withdrawalof Proposed Musemaking no in Wuhington, DC on October 23. Diplomatic Security and Anti. Terrorism Act of 19es." requires nuclear power Ao8MCY! Federal Crop Insurance ga ,,,4 n,.., reactor licensees and applicants to CorporaHon. USDA. *' C#Id' " d conduct criminal history checks through ACTtooe: Withdrawal of Notice of .

hoNehrf"88" the use of FBI criminal history data on Proposed tuImaking. [FR Doc. 86-252a0 Filed 11+at, e s5 am) individuals with unescorted accou to suuuAavt The Federal Crop Insurance *** coce **'**e nuclear power facilities or access to CorporJtion (FCIC) hereby p'.bthhes _ _ . _ _ _

__ Safeguards Information. The Act. signed this nonce for the purpose of by the President on August 27,1986, withdrawins a Notice of Proposed NUCLEAR REQULATORY requires the NRC to issue regulations to Rulemaking (NPRM) amending the COMMIS510N establish conditions for the use and control of the criminal history data Peanut Crop Insurance Regulations (7 to CFR Part 73 received from the FBI no later than six CFR Part 425). effective for the 1987 and succeeding crop y ears. FC!C has months after the date of the enactment determined that givitig insureds more Requiremente for Cnminal History of the Act.These conditions include Citecks rocedures for the takf ag of fingerpnnts, time to qualify for a higher amount of insurance would result in adverse imits on use and redissemination of actNcyt Nuclear Regulatory enmanal history data. assurance that the ulvetton against the insurance company Com minion. information is used solely for its and that the change is unnecessary and contrary to the basic concept underlying *" N'I "d

• intended purpose, and provisions that

'ndividaals subject to fingerpnnting are the insurance program. The authonty for suumanet The Nuclear Regulatory the promulgation of this notice is Commission INRC) proposes to add a provided the naht to complete, correct.

contained in the Federal Crop Insurance new regulation to implement a program And esplain Informatton in their Cnminal history records prtor to any final AGt. As amended- for the control and use of criminal history data received from the Federal adverse acnon.

con eunTwen INeonuAftom conf Act:

Peter F. Cole. Secretary. Federal Crop Dare su of Invesitgation (Fill) as part of The Conference Report on II.R 4151 Insurance Corporation. U S. Department criminal histcry checke of individuals (published in the Congressional Record of Agneuiture. Washinston. DC 20250. gt:Inted unescorted access to nuclear on August 12.1986, p. H-5965) contains telephone N02) 447-1323. power facilities or access in Safeguards the following legtstative history:

sueetsueNTAmV thronesAflom: On Information by nuclear power reactor Cntnical History Record Checke Wednesday. August 27.1966.FCIC licensees. Conducting criminal history published a Notice of Proposed checks of such individuals will help The Senate amendment ISection 103) contain' a pro'on reiu'r'88 fles'rpnah84 R ulemakmg in the Federal Register at 51 assure that ladividuals with criminal 'ed "'m'n*l h"'o'y record checlis for urtain FR Ml97, proposing to amend the histones impacting upon their reliability ' "

Peanut Crop Insurance Regulations (7 CFR Part 425), effectne for the 1987 and and trustworthiness are not permitted unescorted access to a nuclear power "r [ w p ,, g ,,,,,

noPjo"m' W succeeding crop years. The public was f acility or sccess to Safeguards T5. conferena subenture (secnon con) is given 30 days in which to submit wntten Information. Issuance of this regulanon enilar to the Senate amendment with some is reti red under the provisions of Pub. r' ohcatiune. The subentu's, which comments on the proposed rule.

One comment was received by the L N-1 A "O'nnibus Diplomatic Security acorporain the substance of S. 2?s. poseed hv me Senate on October 3.19as, edda a new Crop HailInsurance Actu&nal and Anti +Terronsm Act of 1986/*

oAfss: Submit comments by December

" ' '"" ' ' " ' ^ ' ' * b N ^ * ' ' I N4 Association ICit!AA) esprusing opposinon to the proposed change of d.12 Camments received after this [,)l,I,','ho',$,'NiN[,y" ,*[,"df" allowing a producer until the icrease date will be considered if it is practical upwerge to ell commreial heensees, reporttnq date to sign sales contracts. to do so. but astutance of consideration reortete ol owe'ership.

Cli!AA contends that the current ;Jnnot be gn en unless comtnents are De CJmmittu of Conference egrue teel conditions sllow a producer sufflctent recen ed on or before this date. 9 Mest Resuietory Comm neon (SRC)

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f Federal Register / Vol. St. No. 218 / Friday. November 7.1966 / Proposed Rules 40439 we..;d prve u a channehns asancy. tn order the search. Only those records 8

to cettect nneerynnt cards from licensus and cards. Edison Electric Institute (EEI) and

'l ,pplicants, forward them to the Federal necessary for administertng the program FBI training tapes are available for use purne of taustisanon foridentincanon and will be kept.The routme turnaround in establishing procedures for the proper

1. "* ' time for a criminal history check, from method of taking fingerprints.

t s nt to ths itYo h search a the the time the licensee malla the hcensees and applicants. The NitC =dl not fingerprint card to the NRC to the time Fingerpnnt cards shall be filed by the screen the results. it will however, be hcenue on behalf of the contractor, the licensee recetves the returned g responsible for checking inconung cards to fitigerprint card with the resulta of the manufa turer and supphetemployees ensure that they are complete and legible and criminal history check. ls expected to who are expected to have@ unescorted have been submitted by a licenwe or (l applicant entitled to receive enminal history average 23 working days. ,gg,,, gg , nygg,,, pow,, g,gt((gy og go information undee this law The NRC may The leittslation requires nuclear power Safe 8"ards Information with the refuw to accept requeets from, or return reactor licensees and applicants to appropriate gse attacheg NRC results to6 e !!censee ce opphcant the conduct criminal history checks on personnel requiring unescorted access to Commteetoe Ande is,mishand!!ng or misus ng individuals with unescorted access to the facility do not need to be informauon obtained under thte provtsion. nuclear power facilities or access to a g The conference substitute spectnee that the Safeguards Inforrnation. However. Commission conducts en equivalent

' reti.lations the Cocunission 6s to promulsete current regulations do not require under this section must include provisions to prograrn for fingerpnnting of NRC ensure that na Haal adverse action may be protection measures against radiological employees for FBI criminal hf story iden asetnat en employee or lob appheant sabotage unut issuance of an operating checks,

" ' *' ed license. Accordingly, the Commission in accordance with the provtsions of n th1a o en inv n7a o,, does not deem it necessary to require i 7137(e) and (I), the hcenses will than 1 year old for which uiere la no information of the dispoeiuon or as arrest lingerprmttrig of applicant employees for estabhsh procedures for implementing unescorted access to the facthly, the individual's rtsht to correct, that resulted la dismiaeal of the charge or an Applicants who anticipate recetvint ecqwital. A Ikensee or applicant recemns a their operating license in the near futur' complete. and explain information prior criminel record showing en arrest not and wish to submit fingerpnnts of thnse to any adverse action.The bcenses will accomposued by a disposition may seek to also estabbsh procedutos for limiting determine the disposition of Ihe charge, but if individuals who will temain on staff no disposition information can be obtained, after the license is issued may do to in redissemination of an individual's accordance with the provision 9 of the " '" '" ' h " d "I th "

the arrest cannot be used as the basis for adorse action. U' who have a need to have access to the The conference substitute also specihn gmPlementation of this rule will take information m performing assigned

' r duties in the process of granting or rotect rom iEa'Is ub misuse ol history critnineleIt d to to negerpn e oions m s on w I send to he denytng unescorted access to a nuclear records hcentes an trutsal stock of the necessary power facihty or access to Safeguards prended under the section. %suse would fingerpnnt cards pnor to the date of the enclude. for esemple. use of the records to Information as well as against disenm.nate against minortties or to penahse e!!ective N'e, as well as a sample unauthonted disclosure. Submittal of an

, union members or whistleblow ers or to forwarding '.etter to be used by bcensees amended security plan is not necessary.

for transmitting 'he fingerpnnt CJrds During the inlemal staff rettew of the t e 5 n to ind cate in to op r o $ 4 n .

pmpoud ay n amu as M the statutory requirements for the letter will contain the following whether or not fingerprmtme should be Commissien e regulinoes are minimum informahon: f scthty docket numbar, requirements and are not rrnne to hmit the re<;uired only for unescotted access to nurnber of fiMerprint cards bem4 discrenon of the Commmion to impleeient a subm.tted. amount of the proper fee sitsi areas rather than to the nuclear prtctical program for carrying out the power facihty which also includes being submitted, and the contact person pt.rposes of the secnon snj protechng the protected areas. To be consistent with due process and pnvacy internts of at the facihty alon4 with his/her phone prospective employees. number. (The fingerprint cards and the de kgalahu MWnt Md specific The Committee of Conference also added roults of the enminal history checks. lanIuaile of Pub.L M-M. the staff has laneune evihonting the Cammission to when enmpleted, wdl be sent to the " "'" *E""" ' ""

conect 4nd retain f.n for its wrvice as ue M N Wew of de Mct fngerprinting of mdividuals granted danneling agency The FDI altesdy has erson.lln accordance with the Act the anescorted access to the nuclear power estabhshed and is avihonsed to coilect fue for its proceseine non<rtrrunel lu stice

{ee wdl be uhhted to offset NRC and ,

81 costs for processing of fingerprints comment pened on the proposed Access f'cseronnt cheche. it is the intent of the and criminal history records. Author 1:stion Rule, licensee and Comauttu of Confesence that true laneusse Wohin 18d din of the effective date industry groups commented that it was ensures that the FDt wul he obte to ccilect its of this rule, esch heensee will toturn to normal fu for the work it will da

• more cost effechte to run a single processins record checks under ihis the Commissiori, as they are completed. access suihontahon proeram, especially P"'*"' the fingerpr'nt estds of allindividuals since the malonty of employees needing tlNensee, contrac tors. m anufacturers. access to the protected area also Licensees cannot have access to the and supphersl who are deemed to enminal history data prosided by the required access authoritiuon to one or legislation until the NRC has estabhshed require unescorted accen at the nuclear nore utal areas. In the mterest of regulations for the control and use of the power infirmanon. facthtyThe or secess fingerpetnt to 34fesuards cards are to determining whether this view shl!

data lti accordance wnh the Act. the be idled out enmele'ely and the facthty prevado. specific response is requested NRC wdl only codect fingerpnnt cards, during the public comment penod to the docket nurraber shall be included on forward them to the Rt. and disenbute each indmdual card in addition to the followmq queshon should Angerpnnunit the results of the search. The NRC will inf armahon required m the space be required of mdmduals for unescorted not maintam any new files of accen to vital areas only or to the marti ed " Reason Fingerpnnted '. To information or system of bles to cor.tain "' M * " g" #'N either fingerpnnt cards or the results of assist the hcensee in ensunt's a low re;echon rete of submeted fingerpnnt

. ~ . _ _ - . _ _ __ _~.._r . , _ _ _ _ - , , _ _ __. _ _

. (

4M40 Federal Resloter / Vcl. St. N:. 218 / Frid:y November 7.1986 / Proposed Rules EnvironmentalImpact: Categorical Endueion

• recon.keeptog requirements. Securtry accese to Die nuclear power facility or measures, access to Safequards information.

The NRC has determined that this For the reasons set out in the proposed rule is the type of action individuals who have unescorted access described in categorical exclusion 10 preamble and under the authority of the authortsation on - 8 wdiretam Atomic Energy Act of1954 as amended, such access pending licensee receipt of CFR 51.22(cN31. Therefore neither an the F.nergy Reorganiaation Act of 1974. the results of the criminal history check environmental impact statement nor an as amended, and 5 U.S.C. 553. the NRC of the individuals' fingerprintes. so long environmental assessment has been is proposing to adopt the following as the cards were submitted by 8 prepared for this proposed rule.

amendent to 10 CFR Part 75. The licensee will then review and use j

Paperwork Reduction Act Statement the information received from the FDI.

This proposed rule amends PART 73-PHYSICA1. PMOTECTION OF and based on the provtsiona contained information collection requirements that Pt ANTS ANOlAATEMIAL.3 in this rule, determine either to continue are subject to the Paperwork Reduction 1. The authonty citation for CFR Part to grant or to deny further unescorted Act of 1980 (44 U S.C. 3501 et seg 1. This 73 is revised to read as follows: accou to the factitty or Safeguardi rule has been submitted to the Office of Information for that indivtdual.

Management and Budget for review and Authonryt Sees. sJ. let, es siat. esa 044. u Individuals who do not have unescorted amended. sec.147. 04 Stat. 7so t42 U S C. access after approvalof the paperwork 2073. 21st,2201): sec. 201, as emended. 204. - 8 shall be requirements. as seat.1242. as amended.1245 (42 U S C. fingerprinted by the licensee and the results of the criminal history records Regulatory Analysie Sec i 137(file also usue under see. 301. efe anation for gr nting e corted The Commission has prepared a ~

regulatory analysis on this proposed n s r '7 is ne ) access to the nuclear power facthly.

regulat INb. L es-m. (2) The licensee shall nottfy each costs a, ton.The analysis examines the nd benefits of the alternatises For the purposes of sec. 223. es Stat. eaa, as affected indmdual that the fingerprints considered by the Commission. The amended (42 U 5 C. 22731. Il 73.21. 73.37ts).

analyses is avadable for inspection in r3 ss are issued under sec. totb. es Stat. 94s. criminal will be used to scure a review of his/her as emended 142 U S C. 220ttbit; il 71.20. history record, the NRC Public Document Room.1717 H 73 24.13 2s 73 26. 73 2t 73 3t 1140. 73 45. (3) Fingerprtnis need not be Iden,in Street NW., Washmston. DC 20155.

Smgle copies of the analysis may be [8f3g1[58',f3 , et

,, aQ,i ou d ugd r j sec. the discretion of the hcensee.lf an andsvidual w ho is a permanent employee obtained from Kristina l4msnchian. 22mbi) and il 73 20:cHil. f3 241bytt. of a heensee, contractor, manufacturer Safeguards Reactor Regulatory f126t htt31. thii% and (M(4). 73 27(4) and (bl. or suppher has been granted unescorted Requirements Section. Dmsion of  ?) 27tfl. 73 40tbl and 72 4Nanal end 110121. access to a nuclear power fact!1ty or to 54feguards. O'fice of Nuclear Material 73 Sof arf 21. (3Itus)(BI. and thi. f3 $5thl21. and Safeguards Information by another Safety anJ Safeguards. U S Nuclear (4 thu tt o). 73 70. 73 71.73 ?2 are asued unrier ge teto, en sist eso as amended (42 U S C. licensee, based in part on crimmel Regulatory Cornmission. Washington. -ctIoll~ history records check under this section.

DC 20533. telephone (301) 427-4754, 14 the case of temporary employees. 7

2. A new i 73 $7 la added to read as Regulatory flesibibly Cartification follows: fingerpnnts need not be taken so long as the indmdual has been fingerprinted tuseJon the mformation available si l 13.l? steguiremente for criminal history within the last 100 days, this stage of the rulemakmq proceedmg checks of indmousse granted uneocorted (4) All fingerprints obtained by the and in accordance with the Retuistory access to a nuclest power facitity or accese licensee under this sociton must be flesdihty Act of 1960. 5 U S C. fv15(bl. to safeguards Informanen ny power l'a Commission hereby certtfice that tf resetor neensees.

submit'ed to the Attorney General of the promulsited this rule will not have 4 United States through the Comrnission, sun.f! cant economic impact upon a (fCeneral. (t) Each heensee who is 15) The hcensee shall review the autnonted to operate a nudear power informat on received from the Attorney substarmal number of small entibes The reactor under Part 50 shal1 comply with General and consider it m making a prerowd rule affects licensees w ho the requirements of this sechon.

otwrate nuclear power plants under 10 (2) E.ich apphcant for a heense to determination for grantmg unescorted CF R Parts 50 and 71 The companies that operate a nuclear power reactor access to the indmdual.

own these plants do not fall within the pursuant to Part 50 of this chapter shall (6) A heensee shall use the scope of thidefmition of"small submit fmgerprmt cards for those informshon oblemed as part of a enuties

• set forth in 160Slb) of the mdmduals who have access to crimmal history records check solely for Regulatory Flexibikty Act of tono, or Safeguarda Information. the purpose of determmms an within the dehnshon of Smailliusmess (3) Each apphcant for a heense to Indmdual's suitability for unescorted '

5:te Standards ut out in requishone operate a nuclear power reactor access to the nuclear power facility or tesued by the Small Dus ness access to Safeguards informahon.

parusant to Part 50 of this chapter may Admitustration in 13 CFR Part 121 submn fmsupnnt cards prior to M Prohibitions (1) A heensee may llacktil Analysis mnt pnahng not base a final determinat on to deny nu or those moniduals who will require unescorted an mdmdual unescorted access to the As this rulemakmg is based upon a nuclear power facihty or access to acrees to the n'iclear power facihty.

h*2islatn e manJate, the need to m.ske a $ Cer ero/peWrmanco ebtect"* Safenards Information solely upon; backfit decmon is unnut es ery. JMreptements fII Each heensee hl An arrest more than i par old for List of Subjects in to CFR Part 'l s@let to the prosmons lo this sechon whah there is no mformanon of the sh all fmiterpnnt each indaldual, etcept a,, position of the case or Hazardous matensis- 'ransportahon. NRC emplosces and indmduals incorporahon bv reference. Nuclaar mater 41: Nuct,4r pown planis and respondme to a site emergency in

• sciors.Peashy Repothng and accardance with the previsions of , ,M", d * " * * * ' #"" "* ' " * *

i ?3 SSf al. who is permitted onescor'ed . n. ,,, u , , % , , , , r,,, , ,,i n,,, , % , ,,,,,

a N.,se se,eier l

< i k.

Federal Resister / Vol. St. No. 216 / Frid y. N:v:mber 7,1966 / Proposed Rules 40441 (ii) An street that resulted in dismissal to the individual the contents of records have access to the information may of the charge or an acquittal. obtained from the Federal Dureau of redissemmate the information to any (2) Alicensee may not use Investigation for the purpose of assunng other individual who does not have a information received from a entninal correct and ccmplete information. need to know, history check obtamed under this Confirmation of receipt by the 13) The personal mformatiort obtained s:ction in a manner that would infringe indivioual of this notification must be on an individual from a crtmmal history j, upon the rights of anyindividualunder mamtained by the hcensee for a penod record check may be transferred to the First Amendment to the Constitution of 3 years from the date of the another licensee:

Ij of the United States, not shall the notification, licensee use the information in any way it) Upon the Individuare request to (2)If after reviewing the record, an redisseminate the information corusined which would discriminate among individual behaves that it is tncorrect or in his/her file, and indiv6 duals on the basis of race, religion. incomplete in any respect and wishes (ii)If the gaininglicensee venfles n:tyal cristn. ses, or age. changes, corrections, or updating of the tyProcedurea /orprocesamso/ information such as name, date of birth, alleged deftetency. or to esplain any social security number. ses. and other fingerptml checAa. (t) For the purpose of matter tn the record, the licenses shall complying with this section. licensees applicable physical characteristica for inform the individual of proper identification, and.

shall submit I completed. legible procedures for revising the record or i standard fingerpnne card (Form FD458) includmg esplananon m the record, (iii)If the mdividual was terminated supplied by ihe NRC for each individua* These procedures include direct within the prevtous 365 dayn, the requiring unescorted access to the application to the agency that termmation was under favorable r.uclear power faC41 sty or access in conditions, contributed the questioned informatinn Safeguarde information to the Director, (4) The licensee s!.all,make enmtnal or direct chstlenge as to the accuracy or history records obtained under this Divis6on of Security U.S. Nuclear completeness of any entry on the Regulatory Commission. Washington, cetmmat history record to the Assistant section available for examination onsite DC 20$$5. Attention: Criminal History Director. Federal Dureau of Investigatio" by an authortred representative of the Check Section. Copies of these forms identification Division. Washington. DC NRC to determme compliance with the may be obtained by wnting to: regulations and laws.

2053W00 as set forth m :S CFR 16 30 Informatton and Records Management through 16.34. In the lattet case. the (5) The licensee shall retam all Branch (PMSSI. U S. Nuclear Regulatory Federal Dutesu of Ins estigation then fmgerprint cards and crimmal history Commission. Washington DC 0555. forwards the challenge to the agency records received from the F1]I on an The licensee shall establish procedures individual (including data indicating no that submitted the data requestml that to ensure that the quably of the .sgency to verify or correct the record) for 3 years after termmation or -

fingerprints taken results in mmimitint cha:!er'ged entry Upon receipt of an denial of unescorted access to the

• the rejection rate of fingerprint cards official communicaison directly from the nuclear power facility or access to dae to illegible or incomplete cards, agency that contributed the origin.sl hfeguards Information.

1:1 The Commission will review 04d d' W8'hision. DC itne seh Jay of 4pplications for enminal history checks information. the F131 Identification Daision makes any changes necessary M"* D" 3 944-for completeness. Any Form F0454 in accordance with the information h' *

• W'I' 8 ' R ' d 'Id Y Cd *" ' ***

c vitammt omtwuns or evident errott supplied by that .igency. The licensee wdi be re'urned to the hcenses for Samuel 1. Chdh.

may not take final adverse action with kretury of t.** Commot carrections. No additional fee will be re,pect to an mdmdual based solely on c.harged for fInterpnnt cards needed to if R Doc.

• UM hied 114*s. 4 4s aml replace remtned incomplete or illegible mformation in the record that has been challenged by the indntdual as incorrect kiso coce time as f,nterpnnt cards if the creamal or incomplete until the individual has Imacepttnt card is attached to the resubmittal teen afforded a reasonable amount of time to correct. complete, or e spl.em the CEPARTMENT OF ENERQY (3) Fees for the procemng of rec.wd or has dechned to do so.

fingerprint checks are due upon ( Office of Conservation and ipplication. Licensees shall submit licensee $ Protection olut[ormollon. (1) Each RenewaWe Energy who obtame a cnminal history p syment with the applic.ition for the > record on sn mdividual under this processmg of fingerpnnts through section shall estabhsh and mamtsin a to CFR Part 430 corporate chet k. Certified check. system of files and procedures for ca shier e check, or money order made protection of the record and the iOccitet No.CAS Asd49102) p:vable to "U S NRC", at the rate of personalinformation from unauthonted

$13 00 for each card. Combmed payment dtsclosure. Energy Conservation Progreen foe for multiple applications is acceptable. Consumer Productet Proposed

( ) Tte hcensee may not disclose the Rutemehing Regard 6ng Test

14) The Commission will forward to record or personalinformation collected Procedures for Centrei Air the submittmg heensee all data received 4nd memtamed to persons other than from the Federal Dureau of Investigation the subject indaidual. his/het Conditioners, including Nest PumPas as a result of the licensee's representative. or to those who have a Estension of Comment Ported appilcationis) for cnmmal history need to have access to the information aosNcyt Office of Conservation and checks, mcluding the individual ~ e in performind assigned duties in the Renewable Enenty. Dolt flngtprint card. process of granting or denying (y Assht to correct and como/ete actiosef Estension of comment genod unescorted access to the nuclear power m/ormoraon. (1) Pnor to any adverse facility or access of Saferierds sunssaanft T5e Department of Enerity action, the licensee shall mak e .svailable Information. No ndmdual authorized t1 IDOF) hereby estends the comment t

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