ML20214L537

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Advises That Commission Approved SECY-83-311A Re Proposed Insider Safeguards Rule for Public Comment.Encl Questions for Public Suggested in Ofc of Policy Evaluation 830930 Memo Should Be Included in Fr Notice.Related Info Also Encl
ML20214L537
Person / Time
Issue date: 06/20/1984
From: Chilk S
NRC OFFICE OF THE SECRETARY (SECY)
To: Dircks W, Fouchard J, Kammerer C
NRC OFFICE OF CONGRESSIONAL AFFAIRS (OCA), NRC OFFICE OF PUBLIC AFFAIRS (OPA), NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
Shared Package
ML20214L519 List:
References
FOIA-86-470 NUDOCS 8609100249
Download: ML20214L537 (32)
v • d • e


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UNITED STATES " '

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NUCLEAR REGULATORY COMMISSION I

- g W ASHIN GTON. D.C. 20555 o

% [,, , , #' June 20, 1984 ,

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CFFICE OF THE 2 SECRETARY MEMORANDUM FOR: William J. Dircks, Executive Director for Operations Carlton Kammerer, Director, OCA Joseph J. Fouchard, Dire or, OPA FROM: Samuel J. Chilk, Secret

SUBJECT:

SECY-83-311/311A - PROP p INSIDER SAFEGUARDS RULE V This is to advise you that the Commission (with Chairman Palladino and Commissioners Roberts, Asselstine and Bernthal i

agreeing and Commissioner Gilinsky disagreeing) has approved for publication for public comment the proposed Insider Safeguards Rule as presented to the Commission in SECY 311A, subject to:

1 (1) The questions (Attachment 1) for the public suggested in the September 30, 1983 OPE memorandum should be included in the Federal Register Notice; (2) Those individuals receiving a background investigation should be required to provide an appropriate licensee individual new information having a bearing on the original investigation, e.g. a subsequent arrest.

(3) The definition of " vital island" should be revised as stated in SECY-84-72; and (4) The following Commission statement should be added to the Federal Register Notice:

Insert to Supplementary Information.

An extensive record has been dgveloped on the psychological assessment and behavioral observation elements of this proposed rule. In 1977, the Commission established a Hearing Board to obtain i information from the public on these and other l aspects of access authorization. In 1979, that t

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RODIN3066-470 PDR

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2 Board recommended, among other things, requiring a I psychological screening program and a system for continued observation of employees. The Commission, on June 24, 1980, accepted the recommendations of that Board. This proposed rule is the result of that Commission decision. Finally, in a General Accounting Office (GAO) Report entitled " Additional %

Improvements Needed in Physical Security at Nuclear Powerplants" (GA0/RCED-83-141, July 13, 1983), the GAO stated: "There is strong support among licensees for personal screening programs that include back-ground investigations, psychological testing, and behavioral observation to assess the reliability and trustworthiness of their employees." The GAO report went on to state: "The proposed access authorization rule appears to be adequate for upgrading the trustworthiness of plant employees."

(It is clear in this GAO report that the proposed rule being commented upon included requirements for background investigations and continual behavioral observation; it is not clear whether GAO was commenting on requiring psychological testing.)

The Commission is not persuaded at this time that the psychological assessment and behavioral observation elements are appropriate requirements for this Agency to adopt. However, given the extensive record leading to this proposal, it believes that it is appropriate to expand further the record and to obtain critical public comments on these elements.

Comments from individuals working in the nuclear industry on the need for, and appropriateness of, these aspects of the proposed rule would be particularly useful.

The, attached additional views of Commissioner Roberts and the separate views of Commissioner Gilinsky should be included in the Federal Register Notice '(Attachments 2 and 3) .

You should revise the proposed rule as indicated and forward it for signature, advise the appropriate congressional Committees, issue a public announcement, and distribute copies of this notice to all affected licensees and other interested persons.

(EDO/OCA/OPA/NMSS) (SECY SUSPENSE: 7/16/84)

You should also send INPO a copy of the proposed rule, indicating that the Commission is particularly interested in

3 1

their views on the psychological assessment and behavioral observation elements of the rule.

(EDO) (SECY SUSPENSE: 7/16/84)

Attachments:

As Stated cc: Chairman Palladino Commissioner Gilinsky Commissioner Roberts Commissioner Asselstine Commissioner Bernthal OGC OPE PDR

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g'Vs ATTACH 21E!.T 2 CCMMISSIONER ROBERTS' ADDITIONAL VIEW '

l I do not approve the psych ~co,*~

observation ele:nents od *Se e roposed ssessment

. rule, and behavioral i

i 9

ATTACHMENT 3 V

GE COMMISSIONER GILINSKY'S SEPARATE VIEWS:

I am worried that this rule will too easily lend itself to abuse. I have attached the suggested staff guidelines for shift supervisors to illustrate my point. I a= concerned that this proposed rule will contribute to the i demorali::ation of nuclear plant staffs at a time when there is a great need to retain experienced personnel.

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6

" DRAFT REGULATORY GUIDE - STANDARD FORMAT AND CONTENTS GUICZ ;

FOR ACCESS AUTHORIZATION PLANS FOR NUCLEAR PO;CR PLANTS v L O T1 APPENDIX C , (ATTACHMENT 4)

SJPERVISOR'S GUIDE TO DESE. WING BEHAVIORAL CHANGES This guide may betused by the supanisor as a resource. Listad are behavioral changes that can.be, observed in an individual employee and are catagori:ed ints t.*ree areas: work performance, social interactions, and personal health.

WORX PERFORW.ANCE: Employee's on-the-job behavior and work habits that directly impact on efficiency and effectiveness of task accomplish =ent.

1. Has the individual's work OUALITY cr CUANTITY changed? -

Greatly changed speed cf working Changed level of work involvement

2. Has the empicyee made more MISTAKES or BAO JUDGMENT 57 Has nucerous accidents Laughs off errors or reprimands Dantes mis *.akes

,- Unnecessarily condemns self for =istakes

3. Has the employes's E::ICIENCY lesseneq . -

l - Has trouble arriving at decisions Often fails to meet deadlines Needs repeated directions for easy tasks 4 Does the individual have more diffic21ty CONCENTRATING 7

  • Forgets important or obvious things

- Acts without thinking Daydreams too much Doodles excessively Repeats saae action over and over

  • l 5. ' How much is the worker ABSENT FRCM THE JOB 7 Is late or absent especially Honday or Friday Often takes off half days Leaves work without notica Falsifies attendance records Takes a lot of sick leave -

Gives improbable excuses for absences

) 6. Is the employee AB5ENT "0N THE JOS"?

Wanders around the plant a 1ot Takes excessively long lunches and breaks .

Avoids a part of the plant because of fear Gets sick vnile at work

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7. O rs the employe] adhere to COMPANY POLICY 7 Steals or damages property Disrdgards rules Bends the rules
8. Have you noticed the individual becoming OVERCA IOUS?

~

0verreacts to normal conditions Freezes or disappears in an emergency Is overly concerned about details / accuracy -

Doublechecks work too much

. 9. Has the employee beceme OVER2EALOUS?

Never takes breaks Comes to work early Hangs around after shift Volunteers for excessive amounts of overtime Suddenly exceeds work expectations

10. Does the employee engage in a lot of RISK-TAXING?

l Drives recklessly ,

Operates equipment carelessly on or off the job Shows poor judgment in dangerous physical activities Gambles a lot

11. Has the individual's COOPERATION with CO-WORKERS changed?

Refuses to share equipment or information Refuses to take directions / .

Refuses to accept help" from others SOCIAL INTERACTIONS: Type and quality of employee's relationship with work associates that may impact on team performance.

1. Does the employee appear LESS SOCIABLE than before?

Isolated / withdrawn -

Poor eye contact Shallow friendships -

Lacks a sense of humor Smiles and talks to self -

Overly suspicious of others Refuses social contacts -

Holds grudges / sulks

2. Has the individual become TOO SOCIABLE? ,

Talks too much with other employees Plays pranks /fokes Monopolizes conversations Inappropriate sexual behavior Flashes money *

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3. Are there changes in the employee',s choice of FRIENos?

Especially for breaks / lunch or transportation Only those younger or easily dominated ,,

Separata set of friends just for drinking or gn=31.ing

4. Are ther's changes, in the way OTHER WORKERS react to him/her?

~

Ignore or avoid -

Mistrust Get angry with -

Play pranks on Become condescending -

Joka abet.rt Complain about

.. 5. Does the amployee show more ANGER? .

Ib,.atient -

Argumentative Overreaction to real or -

Physical fights imagined criticism -

Temper outbursts Irritable

6. Ocas the individual MANIPUU3, others?

^

Builds up brownie points -

Lies .

Brags / exaggerates -

Shows off Acts naive or innocent p d- , , ,

Sorrows money

7. Have you noticed any changes in the e playee's SPEECH EEu.AVIOR?

Talks slower / faster Talks m' ore /less ^ - .

S accers

8. Has the employee's SPEECH CONTENT changed?
  • Ju=::s from topic to topic

. Talks about hopeless future Preoccupied'with suicide, disasters, destruction .

Preoccupied with one topic Never chats about family / interests 9.* Does the empicyte have more COMPCAINTS about:

~

Physical ailments -

Family / money problems Back pain / muscle aches -

Lack of privileges

. Co workers or superiors *

, Filling out required forms Being ignored /left out -

Has stopped complaining

~ '

-l 47

,. . 'r - .

Employe0's physical and emotinonal states that affect work PERSONAL HEALTH:

behavior. -

1. Does the individual shcw any signs of " NERVES" or EPOTIONAL UPSET?

Headaches .

Starties eas,ily Cries easily

' Shaky voice -

2. Does the individual use ALCOHOL or ORUGS differently? ,

Drinks too much Alcohol on breath Preoccupied with drinking or drugs Gulps drinks, especially the first few Encourages others to use -

Frequently "on the wagon" ,

3. Has the individual had unus,ual ILLNESS?

Clates large amounts of dental / medical, e otional benefits Slow recevery from illness Preoccupied with death or suddenly religious Ignores own illness ,

4. Has the individual's ENERGY LEVEL changed?

Yawning Fatigue Restlessness Fidgeting , .. . .r

5. Are you aware of any changes in DAILY LIVING ROUTINE? in WORK ROUTI'E?N Sleep difficulties Change in aftar-work hobbies, activities -

Change in amcunt/ pattern of eating -

Rigidly fo11cws same pattern without reason-

6. Have you noticed any changes in the individual's GENERAL APPEARANCE 7 Appears better/more poorly groomed -

Walks differently (slower, stumbles)

Change in posture

7. Have you noticed any FACIAL changes?

Blushing or paleness Red eyes Dry mouth (frequent swallowing / lip wetting) -

Dilated. pupils Puffy face Difficulty hearing 48 -

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8. Hava y:u noticed any chang:s in the indivi,4ual's 800Y or LDes?

Shaky hands Nail biting Weignt loss / gain Cold, sweaty hands ,

Twitchi.ng Sweating, especially nonseasonal

9. Has the employee had any GASTROINTESTINAL. changes?

Nausea / vomiting Stomach aches / gas -

Frequent trips to the restroom Excessive use of antacids, ccffee/taa or other liquids, aspirin, '

cigarettas It;. Does the e=plcyee have any CARDIOVASCUt.AR difficulties?

Di::iness/ fainting Breathing irregularities

11. Have you noticed any changes in the empicyte's THINKING PATTERN?

1 Sees things that a tn't there '- (hallucinations)

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False beliefs (delusions)

Si:arre or unusual ideas e

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ENCLOSUR8 i

QUESTIONS ON ACCESS AUTHORIZATION PROVISIONS I

1. To what extent are the proposals contained in the proposed access authorization rules already in place in the comercial power reactor industry? To what extent are psychological assessment'and behavioral r

reliability ' programs already used by nuclear industry as part of employee screening programs?

2. What purposes are being served by the use of psychological
  • assessment' , ,' i procedures in the nuclear industry? Is psychological assessment used to

. address fitness for duty concerns? radiological sabotage concerns? or both? '

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3. What are the particular concerns about infringements on civil liberties associated with each of the ccmponents of the prcposed access authorization rule? The Comission is also interested in specific coments regarding the contribution of the specific provisions proposed rule in decreasing the risk of sabotage and whether they have been adequat'ely demonstrated to outweigh the infringements on individual privacy associated with the initiatives.

.4. What evidence does or does not support the use of objective diagnostic tests such as the MMPI as screening tools when specifically used only to initiate overall clinical assessments? What evidence does or does not

. support the use of clinical assessment by a licensed psychologist or

. psychiatrist as a consideration in detergining whether or not an individual should be granted unescorted access to commercial nuclear f, power reactors? .

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5. What specific characteristics are identified by a clinical psychol,ogical assessment that relate directly or indirectly to reducing the risk of radiological sabotage? What percentage of false positives and false ,

negatives (Type I and Type 11 errors) can be expected from using the NP.C proposed psychological assessment procedure? Are more effective procedures available and practical? r

6. Can the use of psychological assessment in the commercial nuclear .

industry be justified solely on tne basis of reducing the risk of radiclogica,1 sabotage? Is there any evicence which would help quantify the extent, if any, of risk reduction supplied by psychological

- assessment, background investigations, and behavicral reliability programs?

7. Can :ne use of psychclogical assessment in the commercial nuclear industry be justified en the basis of addressing both fit ess for duty and raciological sabotage concerns?
8. To what, extent is the use of psychological assessment related to a behavioral reliability program? Would the proposed behavioral reliability program be effective without pre-employment psychological assessment? What specific risks would remain if both psychological assessment and a behavioral reliability program were not part of a

. screening program, i.e., if only backgreand investigations were adopted?

9. What kinds of individuals have been " screened out" cf nuclear industry by the use of psychological assessment? by the use of background investigatiens? by the use of behavioral reliability programs?

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10. What examples, if any, exist of management abuses of screening procedures, including psychological assessment, background investigations and behavioral reliability programs?
11. How do employees and employee organizations feel about past and present use of screening programs? How do they feel about the proposec access authorization rules?

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.. 'l 's Fev. 7 6/26/85 GDIDELIEES FOR INDUSTRY NOCLEAR POWER PLANT ACCESS AUTHORIZATION PROCRAM i

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GUIDf1 DES FOR INDUSTRY NUCIZAR POER Pt. ANT ACCESS ACTnf0RIZATIC14 PPOGUuq 1.0 PtN'CSE To support the safe operations of licensed nuclear power plants, utilities will implement an access authorizatien program in accordance with the folicwing guidelines. These guidelines have been designed with the chyective of achieving high assurance that personnel granted unescorted access authorization to the protected and vital areas of utility nuclear pcwer plants are trustworthy and reliable an; do net pese a threat to cecnit radic1cgical sabotage. Individual utilities may have additional requirements.

2.0 SCCPE These guidelines define the acceptable levels for conducting and evaluating the elements of the screening progra= provide evaluatien criteria fer the determinatien of access authorizations establish provisiens for accepting unescorted access authcrization from other utilitiest include a grandfathering of personnel who were previcusly screened; address continual behavice cbservation program (C3C?) requirements; discuss records maintenance and i

evaluatien and audits of the access authorization program to assure the intent cf the utility's unescorted access authorizatien pregram is being r.et.

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3.0 PISPONSIBII.ITY The final granting and centro 111ng of unescorted access autherizatien is the

,. responsibility of the utility. Each nuclear utility will inform contractors and venders of the existence of these guidelines and of the necessity te follow these guidelines. The utilities are responsible to audit nor-utilities who conduct their evn screening and/or implement centinual behavior cbservation programs (CBCP) to assure these guidelines are fo11cwed. Each utility is responsible for having an independent evaluation conducted of its program in accordance with Section 13.1 of these guidelines.

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4.0 APPLICAB.*l TY . .

These guidefines apply to all nuclear utilities, 'and nuclear utilities shall at the utility's require these centracters and venders who provide ser-rices nuclear power plants to also follow the=.

One level of per=anent unescorted access autherizatica vill be granted to Such persennel who have been precessed in ac::rdance with these gu.idelines.

unesecrted access autherizatien will allev access to both prctected and vital areas, as needed.

5.0 CC(IFE PECTI?."DITS TCR C?iESCORTID ACCISS

- A utility may grant unesecr.ed access authcrizatien to an individual folleving the satisfacterf c==pletien of a screening pr: gram (6.0) which c: sis s cf a backgr:und investigatien (6.21 and a psychelegical evaluation (6.3). All of the feregeing =ay be valved if the individual satisfies any cf the folleving:

(1) satisfies require =ents fer grandf athering (11.01 (2) has a transferable (8.1); (3) has a clearance or ac:ess autherization fr:m another utility er (4) will previcusly granted reinstateable elesrance f cm the utility (8.2);

be restricted t: protected er devitalized areas during celd shutdevn er refueling (10.1). Also, a util;ty may grant a te.pera:f nontransf e rable clearance valid f:: nc =cre than 180 days based en a psychclegical evaluatien and a lir5ted backgr und check (6.4) .

6.0 SC?rci!!!C P?OC7Au .

6.1 Initiati n of a screening Freeras ,

No element cf the screening pr:gra$ shall be initiated without the knewledge and written consent of the person who is sehject to, such screening. The appilcant for unescorted ac:ess authori:atica shall be infor=ed of the types of recerfs that =ay be produced and retained, where

' such receeds are nc = ally main:sined, .the duraticn such records are

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usually retained, the applicant's rights concerning access to the jpformation, and to whom and under what circu= stances the informatien will be released.

Initial screening requirements are applicable to those individuals who have never been screened or granted unescorted access authorization except as defined in Section 11.0. The initial screening progra= has two components: a background investigatien (Secticn 6.2) and a psychclogical assessment (Secticn 6.3).

.- An applicant may withdraw consent to a psychological assessment er background investigation at any time. When withdrawal of consent is

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made, all processing of work in connection with either the psychelogical asse ss:nent or background investigation shall cease as soon as prac.ical.

Withdrawal of consent shall be dee=ed withdrawal of the applicatien fer unescorted access authorization.

Information collected under these guidelines shall be released only on a

, need to know basis.

6.2 Backgreund Investigation Elements 1

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ne background investigation covers the time peried specified in each element below or since the eighteenth birthday, whichever is sherter.

Each utility shall sake a reasonable atteept, and document such atte=pt, to address the applicant's employ =ent history, education history, credit

, history, criminal history, military service, and the applicant's character and reputation in the following canner.

.. 6.2.1 E=plov ent History - Except as noted below, employment histery shall be obtained for the past five years through contacts with previous employers, by ebtaining the fo11 ewing information:

a. Verification of claimed periods of e=ployment of 30 days or i ... .

mores

- . - - - , - - , , - . - ~ ~ - - - - , , - - - - . - - , , - - - - - - , - - . - - - - - - - - - - -- -

b. Disciplinary history:
c. Reascns for te.~inatien and eligibility for rehire; and
d. Any other infor=atien that would adversely reflect upcn the reliabilitf and trustver.hiness of the individual as it relates to being pe r.itted unescer ed access.
e. Ac.ivities during interruptices of e=picy=ent in excess cf 30 e

days shall also be veri'ied.

NCTE: Bec'ause of the =ultitude c' e= ploy =ents =any e=plcyees experience during a five-year period, especially craft and trade verkers, verificatien of all such e=picy=ents =ay not be possible.

Consequently, licensees =ay c:nsider for unesecr:ed access such applicants based upon an inclusive three-year re: respective e..pley=ent check if the entire 'ive-year peried cannot be cevered.

Under no cir==: stances =ay unesecr ed access he granted based en an

.e:picy=ent check cf less than three years and atte= pts shculd be

=ade to include the e--'- "3ve-year peried.

6.2.2 Educatien Histe:f - Verify any clai=ed enr:11=ent at an educatien institutien during the previous five years. In additien, verify the highes clai=ed pes: high scheci attendance er degree regardless of ti=e.

6.2.3 Cri=inal Histery - As per=itted by 'ederal, state or cther applicable law, a cr# 3.a1 his::rf record check through appr:priate law e '--- en: agencies c: c ur: rec ds shall be perfor=ed. "'h e cri 4 al history reecrd check shell cever the previcus five years or since the age of 18, whichever pericd is sher:er. If there is other evidence c' cri=inal activity prior to the period speci'ied aheve, such ac ivity. shall be investic.ated. .

military 6.2.4 Militar-r service - If within the las five years, (clai=ed c develcFed) shall be verified by period of service

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rsceipt of cn honorable ditchcrgs on a Form DD214. Through acquisition and submittal of an applicant's authorization for

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release of military history information, obtain this in fo r=a tion from the National Personnel Records Center within 90 days of the date unescorted access is granted. If it becomes known that an individual's discharge is o ther than hono rable , further investigation shall be made.

6.2.5 Character and Reputation -

The applicant's reputation fer c: notional stability, reliability and trustworthiness shall be examined through contact with two references supplied by the applicant and at least two additional references (not related to the applicant) developed during the investigation. (It is not necessary that reference's [ individually or collectively) association with or knowledge of the applicant for unescorted access cover the entire

. five-year retrospective period.) E=phasis shall be placed en:

a. Identified psychological problems;
b. Criminal history
c. Illegal use or possessien of a controlled substances s
d. Abuse of alcohol;
e. Susceptibility to coerciens and
f. Any other conduct relating to an applicant's trustworthiness or reliability to discharge job duties within the environment of a nuclear pcwer plant.

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! 6.2.6 Verification of Identity - Identity shall be verified through means such as photograph, social security number, date of birth, or ec=parison of applicant's physical characteristics with erployment, ed'acation, nilitary and other records and/or e=ployer and character references who have a personal acquaintance with the applicant.

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6.2.7 Credit Chsek - A chsek of the cyplicant's crodit,,histcry wi;;

he perfc= sed. This credit histcry infer =atien shall be cbtained thrcugh checks with credit bureaus and/or credit references.

6.3 Psychciccical Evaluatien Reliability and stability shall be indicated by the result of a reliable written perscnality test er by any other professienally accepted clinical assess =ent precedure. The results of such test er precedure, will be evaluated by a qualified and, if applicable , licensed psychelegist or psychiatrist. If the results of the written test er other proced.:re identify any psychelegical abncrealities which =ay indicate e=ctional instability , unreliability or untrustverthiness, cr the results need further clarificatien, a clinical interview will be cenducted by a

. qualified and if applicable, licensed psychclegist er psychiatrist.

6.4 Ter crary Clearances A utility =ay grant unescerted access authcri:stien which shall net exceed a peried of 180 centinueus days based en a te=perary clearance.

licensee to This temperary clearance cannet be transferred fr = ene ancther in acccrdance with Section 8.1. This ISC-day te=perary clearance shall be granted based upcn satisfacticn of the felieving cenditiens:

6.4.1 Passing a psychelegical evaluatien within the past year.

6.4.2 Cenduct cf a credit check.

6.4.3 Rec:==endation of cne develcped character reference who has had frequent a..d direct assceiatien with the applicant.

7.0 EVALCAT!CN CRITIR!A FOR ACCISS AUTF.CR:1AT CN ,

The decisien te clear an individual fer authcrizatien fer unesccrted access shall consider infer:stien ehtained during the background investigatien and psychciegical assessment. This infor:a ica shall be re.*iewed using the

guidalinas c;ecified in this cection. Each utility shall define the apprepriate level of management to adjudicate matters covered by these criteria'.7 In making a determination of trustworthiness or reliability, the utility shall consider the following:

7.1 Willful o=ission or falsificatien of informa tion submitted in support of e= ploy =ent or request for clearance for unescorted access to protected or vital areas.

7.2 Illegal use or possession of a controlled substance or abuse of alechol without adequate evidence of rehabilitation.

7.3 A cri=inal history without adequate evidence of rehabilitation-which establishes untrustworthiness or unreliability.

7.4 History of mental illness or e=otional instability that may cause a significant defect in the individual's judg=ent or reliability.

7.5 Any evidence of coercion, influence or pressure that may be applied by outside scurces to ec=pel an individual to ec=it any act of sabotage or o ther act which would adversely reflect upon the individual's trustworthiness or reliabilityt t

7.6 Evidence that the individual has cce=itted or attempted to ce=it, or aided or abetted another who ccenitted or attempted to ec=i t ,

any act of sabotage or other act that would pose a threat or reflect adversely upcn that individual's trustworthiness or reliability.

7.7 A psychological evaluation which indicates that the individual is a

, risk in terms of trustworthiness or reliability.

7.8 Any other information that would adversely reflect upon the reliability and trustworthiness of , the individual as relates to being per=itted unescorted access.

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.. 8.0 T?AN5: :..s AL"3 RI N5"'A'"IP.E'.~' Cr UNI 3COR' ID AC"ISS At"*"iCR

.. authcrizatien requires Trans'er er reinstate =ent of unesc=rted access verifica:icn of the individual's ide.tity by *he utili:f.

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-.. s An individual's unescer ed access autheri:stien granted by c..e utility in

= anc ther utili y accordance with these guidelines =ay be transfer ed c =puter data transfer, er te'.ec:py if the gaini.g via c=rrespendence, 1.dividua'.

u:ility: (1) verifies er receives c nfi atien that the currently holds' a valid unesc=r ed access autherization er had a val:.d whl=h was te =ina t e d under faverable unescerted access authorizatien conditions within the previous 365 days: and (2) cress-checks inf=. atica nu-ler, sex a .d c:her social security

' such as name, date of birth,

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the psychciegical calendar days unless the utility nerter updates

: rer the individual's evaluation and the backg cend investiga:ica .

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activities frc= the date of the previcus back:::un to the pe r:.cd when unescorted exceed retrospective ,:erieds in 6.2 cr A te pera.f clearance (6.4) may access was las: held, .hichever is less.

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be issued while the background investigation update

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9.0 CCNTIN"A!. BENAV!OF CBSERVATICN PROGRAM Each individual granted unescorted access will be subject to a continual behavior obse rvation program. This continual behavior cbservatten progras (CBOP) applies to all personnel who are granted unescorted access. The overall program shall include:

9.1 A program with the objective for assuring the detecticn of alechol and drug abuse and other behavier that may cause a threat to ec==it radiological sabotage.

9.2 A centinual cbservation program which provides that management /

supervisory personnel are responsible for cbserving personnei for behavioral traits and patterns which may reflect adversely on their trustworthiness er reliability and reporting those observations to apprcpriate utility manage =ent.

9.3 A training program which reasonably assures manage =ent/ supervisory persennel have the awareness and sensitivity to detect and report changes in behavior, to include suspected alcohel and drug abuse, which adversely reflect upon the individual's trustworthiness er s reliability and refer such persons to the utility's =anagement for apprcpriate evaluation and action.

9.4 The utility shall notify individuals with unescorted access authorization of his/her respensibility to report any arrest' that may impact upon his/her trustwerthiness.

.' 10.0 SCREENING CURING CCL'] S HLM*N 10.1 cevitalization of Vital Areas ,

During refueling er maintenance outages in which all or a part of a nuclear power plant is in a cold shutdown, refueling or devitalized status, the utility may grant unescorted access authorization to the

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pre: acted and drvitali:cd ersas for parsennal who have not bsen screened is accordance with sectica 6.0 providing that:

10.1.1 The unescorted and unscreened persen is restrie:ed t= the protected or devitalized areas.

10.1.2 Cther regaire=ents cf the approved sec-arity plan remain

12. feree, and the regairements of 10 CTR 73.55 are felleved for unscreened persennel granted unesecr ed access.

10.1.3 Pric: to start-er, a thercugh visual inspection cf the devitalized area is =ade by kn:wledgeahle plan: perse.nel to identify signs cf ta=pering er atte=pted sahetage.

10.1.4 Appr:griate safety star -up procedures are felleved to all cperating and safety syste=s are assura *'at e, . .., ., ., .y .

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been cleared f:r unes:Or ed access er to individuals who have been granted unese:r.ed access autheri:2:icn en the effective date cf these guidelines.

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O.e utility eay accept the results cf the en-ire screening progra= cr a.y part thereof cenducted by a centracter er vend: , .crevided that th e. centracter er j

vender meets the regaire:ents of these gridelines and that it =akes i s the licensee er its desig.ated I

records available for auditing by representative in accordance with Sec-icas 13.0 and 14.0.

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13.0 EVAL *lAT!CNS AND ACOITS 13.1 Utility Precrass An independent evaluation of the access authoriration program and its conformance to these guidelines shall be made within twelve months of the effective date of these guidelines. Thereafter, an independent evaluatien shall be cenducted at least once every 24 months. A ccpy cf the evaluatica shall be available for inspection by the NRC. All reports of evaluation shall be retained for a period of three years.

13.2 Centractor and Vender Procrams The utility or its designated representative shall conduct annual audits of contractor and vendor access authoriration programs to ensure compliance with these guidelines. Other utilities may accept the' originating utility's audit and need not reaudit the sa=e centractor or vender for the sane period of time providing the secpe of the audit meets the minimum auditing criteria contained in Attach =ent A. A ccpy of the audit report, to include findings, reccmmendations and corrective action must be previded to the sharing utility. All audits shall be available fer inspectien by the NRC.

t 14.0 RECORDS Utilities and centractors and vendors of utilities who ccnducted screening progra=s in accerdance with these guidelines shall maintain actual data that establish:

a. A background investigatien and psychological assessment was conducted for each person who is screened under Sectien 6.0 of these guidelines.
b. That the persons were cleared for unescorted access authoriration in accordance with 11.0.
c. Satisfacticn with the conditiens of Sectien 6.4 which resulted in the granting of a te=pera:/ clearance.

Records for each person who is granted unescorted access shall be retained with the utility, contractor or vender for a three year period folicwing terminatien of access autheri:atien.

Each utility or util.ity's c=ntracter er vender who cellee s perscnal infer =atica for the purpose of processing access authorizations shall cstablish and =sintain a system of files and precedures fer the pre:ecticn c" the per.',cnal infocatien. "his inf===ation shculd not be disclcsed to persons other than the sub3ect or his representative, utility ceu .sel and of ficers, cedi crs whose purpcse for review wculd be to inspect pregram c:nfc=ance, and other utilities if an individual's access au hcri:stien is transfer-ed.

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Attach =ent A E f CC{ GO,.

MINIMD4 AUDIT CRITERIA 1 Sue following information must be reviewed during the conduct of an audit of a contractor / vender screening program to meet the objective that the intent of these guidelines have been =et.

A. Background Investigation In conducting an audit of the background information to reasonably assure contractor conformance with these guidelines, the auditor should check and randc=1y verify:

1. E=ployment Histbry Date the verification was made, ce=plete dates of e=pley=ent, position, disciplinary history, reasen for ter=ination, eligibility for rehire, and any other infor=ation which would adversely reflect upon the reliability and trustworthiness of the individual. The retrespective period for e=ployment history must be reasenably atte=pted for 5 years: howeve r due to the nature of e=ployment histories of se=e transient craft workers, a =inimum period of 3 years is required.
2. Education Copies of transcripts, diplcras, etc. , docu=entatien which verifies all claimed attendance within the previcus 5 years. In addition, the highest post high school attendance or degree will be verified regardless of time. Records must include as a minimum dates of check, dates of attendance, highest level of attendance, and reasca for leaving, i.e., graduatien, transfer, expe'lled, etc.

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3. Criminal History Date of check, name of agency, results, and if positive results,

. detailed infor=4tien regarding arrest /cenviction must be cbtained.

4 Military History .

Copy of CD214 or a ecpy of file provided by the National Personnel Record Center if =ilitary service was within the past 5 years or it is known that the individual's discharge was cther than honorable.

! 5. Character References l

t i Dates of contact; names cf referencess association with applicant; period of associatien and any in fo r=a tion relative to identified psychological proble=ss criminal hfstory illegal use or possession of a controlled substances abuse of alcehol; susceptibility to coercion and any other conduct relating to applicant's trustworthiness and reliability. Each file must contain two listed

. references and two developed references (not related to applicant) as a mini =u=.

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6. Verifica:1en of Id:ntity Ecw verificatien of identity was acce=plished through such means as of photograph, social security nu=ber, date of bir h, and ce=parisen applicant's physical characteristics with records and/or references.
7. Credit H1:* wry Date of the credit check (s) , na=e and lecacicn of credit bureau er other scurce, and results of initial check (s) .

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B. Psycholceical Evaluations Tc reascnably assure centracter ce=fer=ance concerning psychelegical evaluaticas, the auditor rest be concerned with the date of the testing Centrac ::

and that a psychelegist/ psychiatrist reviewed the evaluatien. signed by a licensed reccrds east include a copy of the reper psychelegis-Jpsychiatrist.

C. Centinual Behavier Chservatien Free-a= (C3CP)

To reasonably assure centracter c:=fer-ance conceming a Centinual Echavic: Cbservation Pr gram, the audit:r =us: reviewspecifically centracter's progra=

1) to dete=ine ce=pliance with these guidelines, address that supervisers a^re sensitized to alechol and drug abuse and other behavieral trai:s/pa::e = s which =ay cause a threat to c:-4 such radic1cgical sahetage: and 2) to reper / refer persens displaying behavier to the utility's manage =en: f=r appr:griate evaluatien and action. ,

D. Terrerary Clearances .

reasonably assure c:ntracter cc=f= =ance conceming te=perary To check, clearances, the auditor rast be c=nce=ed with the dates of credit reference check, and psychelegical evaluatica, all ofThe which =us: be auditer vill c:nducted pric: to te=perary clearance being granted.

f=11cw the criteria set fer.h in sectien A fer credit his:Ory and -

character references and Sectica 3 for psychelegical evaluation.

E. C:date Pecuire=ents ce niceer me-To reasonably assure centracter c- '- -ee c=nce=ing updating clearances days, when access autherirations have been interrupted for =cre than 365 the auditor must be cencerned with the dates of psychcicyical evaluatica l

l and background investigation, and the retrespective peried of the background investigatien mus c=ver activities frc= the date of the retrospective peried previcus background investigatien act to exceed the of Section 6.2 or the period when unescorted access was last held, I whichever is less. The criteria listed in Sections A and B cus: be ,=et in updating clearances. .

e A-2

P. Grandfsthering To renonably assure contractor ccmformance concerning grandfathering, the auditor arast be concerned with the date of the previous unescorted access authorization to determine that the individual was cleared or granted access authorization prior to the date of agreement between the NRC and NUMARC approving these guidelines. Additionally, the auditor must be concerned that no individuais were processed under this provision for grandfathering after the date of said agreement.

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