ML20245C216
| ML20245C216 | |
| Person / Time | |
|---|---|
| Issue date: | 12/11/1986 |
| From: | Jennifer Davis NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML20244E570 | List: |
| References | |
| AB46-2-08, AB46-2-8, NUDOCS 8707210832 | |
| Download: ML20245C216 (81) | |
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.: UNITED STATES NUCLEAR REGULATORY COMMISSION E ~
WASHWGTON, D. C. 20565
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l MEMORANDUMtFOR: Victor Stello, Jr. - L - Executive Director .for Operations . g FROM: - Joh'n G. Davis, Director 1- - Office of Nuclear Material Safety - ahd. Safeguards t
SUBJECT:
EFFECTIVE AMENDMENT TO 10 CFR 73.71, REPORTING '
. REQUIREMENTS FOR SAFEGUARDS EVENTS Attached for your sihnature is a Federal Register Notice amending 10 CFR Part 73, Physical Protection of Plants and Materials, to simplify and clarify the report-ing requirements for safeguards ever.ts under 10 CFR 73.71. Conforming amendments are also included for 10 CFR 70.52, 72.52, 73.67 and 74.11.
Background:
On August 6,1985, the ED0 signed a proposed rule to refine the reporting requirements for safeguards events. The purpose of this rule is to: o clarify to licensees the safeguards events that must be reported, o extend the period of time for submittal of licensee written reports, o assure standardized and sufficient report-making to assist NRC data evaluation, o eliminate telephonic notification and written reporting deemed unnecessary by the staff, and o assure a consistent and comparab'le level of reporting for safety and safeguards events. Comments: Twenty-six respondents commented on the proposed rule. The following issues were raised:
- 1. Safeguards Event Log.
Commenters indicated that the maintenance and submittal to the NRC of a stand-alone log containin'g those. safeguards events not reported within one hour was unnecessary and overburdensome. Further, consnenters expressed the opinion that the regulatory language describing the events to be logged was too broad and would result-in the logging of events of little. consequence. In response to these comments, the staff has revised the
- 2 regulatory language to more clearly define events to be logged,.however, no change has been made to the requirement to maintain and submit the stand-alone log. This is based on the facts that: (1) a stand-alone log.
for certain safeguards events.is already required to be maintained by l licensees, (2) most events now reported within 24 hours need only be i logged under the proposed regulation, hence, reducing the burden, and l
- (3) improved capability to identify generic defects or trends will be derived.
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1 L104er Victor Stello, Jr. - MT I ' !
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- 2. Reporting of Interruption of Normal Operations at Power Reactors. ,
Respondents commented that the reporting.of interruption of normal . -
. operations at power reactors is. not a safeguards event and would be duplicative to Part 50 requirements. No revision has been made to the
. proposed rule in response to th.is comment. The inclusion of this .
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requirement is necessary to align NRC -policy on sabotage with that of the Federal Bureau of Investigation and the Atomic Energy Act. Further, the
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proposed rule explicitly states that events reportable under Part 50 - requirements need not be duplicated under Part 73 requirements.
. 3. Reporting of Unauthorized Entries Through Required' Barriers.
It was commented that .the requirement to report within one hour all unauthorized entries through a required barrier was overburdensome and un-necessary, espccially when the ' entry was accidental or involved procedural error. In response to this comment, the s $tf has revised this provision to require the reporting of all actual unauthorized entries to a protected area, controlled access area, material access area, or vital area event, and has defined the term " unauthorized entry".
- 4. Major Miscellaneous Issues.
Respondents requested definittens for a number of terms; these have been provided in the rule's supporting statement and regulatory guide. The use of the Licensee Event Report form (NRC 366) for written follow-up reports was indicated to be cumbersome, and hence, the proposed regulation has been revised to require letter format for written reports. An extension of the time period for one hour reporting was requested. This was not adopted because the staff believes that the nature of the events to be reported in this category merit one hour reporting. Comittee Review: The Advisory Committee on Reactor Safeguards (ACRS) has been provided a copy of this final rule package for information purposes. The Committee to Review Generic Requirements (CRGR) has approved this regulation for publication. Notices: A copy of the Federal Register Notice of final rulemaking (Attachment
- 1) will be sent to all affected licensees and respondents who provided comment on the proposed rule. Supporting guidance for the rule-(Attachment 2) will be forwarded to the Office of Nuclear Regulatory Research for publication. A _
regulatory analysis (Attachment 3) will be placed in the Public Document Room _ and a public announcement will be forwarded to the Office of Public Affairs for issuance (Attachment 4). The appropriate Congressional Committees will be notified ( Attachment 5). A-notice to the Commission that the EDO has signed this rule is attached for inclusion in the next Weekly Staff Notes (Attachment 6). t j
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- Victor Stello,. Jr. .
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- Coordina' tion: The Office of the General Counsel has reviewed thi rule package and concurs and the Offices of Administration, Analysis and:Evaluati.pn of ~
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- Operational Data, Inspegtion and Entercement,.and Nuclear Reactor Regulation' -
j l concur in these amendments. The Office of Public Affairs concurs in; the public- ; l: announcerinent. _ q 1 1
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John G. Davis, Director *
. . . Office of Nuclear Mater.fal Safety and Safeguards -
Attachments:
- 1. FRN Final Rulemaking '
- 2. Revised R. G. 5.62
- 3. Regulatory Analysis
- 4. Public Announcement
- 5. Draft Congressional letter ,
- 6. Draft Weekly Staff Notes Item J
- 7. FRN-Proposed Rulemaking (50 FR 34708)
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F e l l ATTACHMENT 1 FRN Final Rulemaking e e-h ___--m___2._____--_..___._ _m__.
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Approved for Publication-
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The Commission-has delegated to the EDO (10 CFR 1.40(c) and (d)) the authority to develop and promulgate rules as defined in the APA (5 U.S.C.
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The enclosed rule, entitled " Reporting Requirements for Safeguards Events" will amend 10 CFR Part 73 to simplify and clarify existing Conforming requirements amendments are also for the reporting of safeguards events. included for 10 CFR Parts 70, 72, and 74. This final rule does not constitute a significant question of policy, nor does it amend regulations contained in 10 CFR Parts 7, 8 or 9I therefo Subpart C concerning matters of policy.is within the scope of my rule issue it.
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Victor Stello, Jr. Date Executive Director for Operations 9
[7590-01] I NUCLEAR REGULATORY COMMISSION 10 CFR Parts 70, 72, 73, and 74 , Changes to Safeguards Reporting Requirements AGENCY: Nuclear Regulatory Commission. ACTION: Final rule. SUINARY: The Nuclear Regulatory Commission (NRC) is amending its regula-tions for the reporting of safeguards events. These amendments clarify the reporting requirements for NRC licensees and will improve the NRC safeguards event data base by requiring more uniform safeguards event reports. Licensees who are affected include power and non power reactors, fuel cycle facilities, and transporters, importers, and exporters of special nuclear material. The NRC uses the reported information to i respond to incidents and to identify generic safeguards problems. The ; benefits derived from this action are the elimination of unnecessary reports, the extension of the period for written report submittals and an improved data analysis system to provide industry feedback for improving safe. guards systems. EFFECTIVE-DATE: (Insert 120 days after publication in the Federal
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. Register)
FOR FURTHER INFORMATION CONTACT: Priscilla A. Dwyer, Division of Safeguards,
. Office of Nuclear Material Safety and Safeguards, U.S. Nuclear R'egulatory
' Commission, Washington, DC 20555, Telephone (301) 427-4773.
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SUPPLEMENTARY INFORMATION: [ -
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- Ba'ckground _
10 CFR 73.71 establishes an event reporting program to inform the ' Commission of safeguards events to permit timely and appropriate response , l i to incidents. Safeguards events include actual or attempted theft of
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special nuclear material (SNM); actual or attempted acts which interrupt normal operations at power reactors-due to unauthorized use of or tamper- ! ing with machinery, components, or controls; certain threats made against facilities possessing SNM; and safeguards system failures impacting the_ effectiveness of the system. The data from this reporting program further i allows the Commission to identify generic problems in safeguards systems. Since the issuance of 10 CFR 73.71 (47 FR 11511), the NRC staff has found l that the requirements are frequently misinterpreted, that written follow- I up reports submitted pursuant to the regulation lack uniformity, and that within these reports insufficient data is reported for NRC analysis. For these reasons, on August 27, 1985, the NRC published proposed amendments in the Federal Register (50 FR 34708) to clarify and simplify the requirements of 10 CFR 73.71; conforming amendments to 10 CFR 70.52, 72.52, 73.67, and 74.71 were also proposed at that time. The comment . period which was to have ended on November 27, 1985 was extended to December 31, 1985 to permit sufficient time for review of companion guidance issued after the proposed rule publication. Summary of Public Comment Comments were received from twenty-six respondents comprised of power reactor licensees, one fuel processing licensee, three industry groups and one private citizen. Copies of comment letters are available for 2
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~~ public inspection and copying for.a fee at'the NRC Public Document Room at 1717 H Street NW., Washington, DC.
The proposed amendments have been modified in response to comments
.i received, as appropriate, and are being published in final form, to become effective 120 days after publication of this notice. A summary of the public comments, along with their resolution, follows. The comments have been placed in the following categories:
- 1. Safeguards Log
- 2. Reporting of Interruption of Normal Operations at Power Reactors
- 3. Reporting of Unauthorized Entry Through Required Barrier
- 4. Administrative Issues
- 5. Clarifications Needed
- 6. Miscellaneous Issues
- 1. Safeguards Log. The majority of respondents commented on some aspect of the safeguards log. These comments have been divided into the following issues that the respondents raised:
- a. Items to be Logged
- b. Maintenance and Submittal of Stand-Alone Log
- c. Additional Discussion of Burden Imposed by Log (a)~ Items to be Logged. Respondents indicated that the provision
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7 - to log any other failure of a. safeguards system "...not included in para-7 graph II(a)...if the failure degrades the effectiveness of the system..." would require the logging of a great deal of insignificant data. Respon-l : - dents suggested that unless the provision was made clearer, substantial disagreement could exist between licensees and NRC inspectors over what L___.____ _ _ . _ . _ _ _ _ _ . . _ . _ _ _ _ . _ _ _ _ _ _ _ _ _ . _ _ . . _ - - - ~ . . - _ _ _ _ _ . _ _ _ __.______.___.._.__.___._____m __ _ __ _ __._.___ _ _
[7590-01] items are required to be logged. The provision.may be subject to broad interpretation because of its open-ended nature. For this reason this provision has bee.n revised to read: "Any other threatened, attempted, or committed act not previously defined in Appendix G with the potential for reducing the effectiveness of the safeguards system below that committed to in a licensed physical security or contingency plan or the actual con-dition of such reduction in effectiveness." The supporting guidance for the rule has been revised accordingly in response to these revisions. l (b) Maintenance and Submittal of Stand-Alone Log. The majority of commenters including two utility groups indicated that the maintenance and submittal of a stand-alone log was a large ad::;irktrative burden on the licer.see implemented for the convenience of the NRC. The recommenda-tion was made that this requirement be deleted in its entirety. Justifi-cation for this recommendation included the opinion that the events to be logged are insignificant and their logging will not increase safeguards effectiveness, submittal of the log will require increased review of the log by licensee management to assure that events required to be logged are in fact logged, and records of the events to be logged are presently maintained onsite and readily available for NRC inspection. This provision has been subject to much misinterpretation. It is understood that the occurrence of a single, specific safeguards event may in itself be insignificant. However, if the event occurs repeatedly at one facility or throughout industry,' it may represent a defect in the security program or a generic trend, respectively. Not all generic defects -
.or trends require action on the part of the- NRC; however, th'is decision 4
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4: cannot be made unless the events are reported to the NRC. This consid-eration supports the need for the reporting of these types of events.
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Regarding the maintenance of a' stand-alone log, it is noted that this is not a new requirement and that under the previous 10 CFR 73.71(c), ifcen-sees were required to maintain a separate log to record events. reportable under S 73.71. Furthermore, examples of the type of events other than
> . those required by 10 CFR 73.71(c) that need be " recorded" under the pre-vious. regulation are identified in Regulatory Guide 5.62, Reporting of l' Safeguards Events. (Copies of this Regulatory Guide are available for inspection or copying for a fee at 1717 H Street, NW., Washington, DC.)
Comparison of this information with the events to be logged under the pro-posed regulation indicates an overall reduction in the burden to licensees resulting from events to be reported. This is based on the fact that the majority of events previously required to be reported within 24 hours (with a follow-up written report) have been picked up as log entries under the revised regulation. As a log entry, the follow-up written report need not be submitted, substantially reducing the overall burden. Some com-menters interpreted the increased number of examples in the supporting guidance for the proposed rule as meaning more events were required to be reported. The staff notes at this time that the examples in the original regulatory guide were never intended to be all-inclusive and that the additional examples have been provided to aid the licensee in understand-
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ing the intent of the. regulation. Commenters also indicated that not all eventsrequiredtobe]loggedunderthepresentrequirementareloggedin one log, but a number;of logs, i.e., maintenance log, alarm station log, _a 5
[7590-01] m . etc. It is the opinion of these commenters that-revising their procedures - to maintain one log, as opposed to multiple logs, will greatly increase their burden. Inspection of the events to.be: logged under the revised regulation indicates an actual reduction in~the burden to licensees. Accordingly, no revision has been made to the revised rule in the area of maintenance of a stand-alone log. Regarding the submittal of the stand-alone log to the NRC requiring additional review time by licensee management, commenters are reminded that the requirement to maintain a log, regardless of its submittal to the NRC, carries with it the requirement for correct and accurate entries. The concern over review for accuracy associated with the act of submit-ting the log to the NRC should also be applied to the maintenance of a log onsite for review by inspectors. Hence, with respect to review time, there is nc difference, from a regulatory standpoint, in the level of burden imposed between a log maintained onsite versus one submitted to the NRC. It is noted that the log submitted to the NRC does not have to be typewritten as long as it is legible. The supporting guidance for the rule has been revised to reflect this and to include examples of sample log entries for clarification regarding length and content. Finally, regarding the comment that the log need not be submitted to NRC Headquarters because records are available for onsite inspection, the staff believes that with the justification of a stand-alone log estab-l ~ lished, the onerous nature of the log submittal to the NRC, a's noted.in comments, is greatly lessened. In review, this is based upon no require-ment to submit a typed or. original log (xeroxed is acceptable as long as e-m
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it 'is. legible) and no additional requirement imposed on the accuracy of a log submitted to the NRC versus one maintaine'd onsite. (c) Additional Discussion of Burden Imposed by_ Log. As previously discussed, the overall burden on licensees for the reporting / logging of safeguards events is in fact reduced by the proposed requirement. However, based upon the number of comments received on this issue, the Regulatory Analysis for this rulemaking has been thoroughly reviewed and revised, as appropriate, to assure that respondents' concerns have been considered.
- 2. Reporting of Interruption of Normal Operations At Power Reactors.
The proposed regulation under SS 73.71(b) and I(a)(3) of Appendix G to Part 73 requires that actual or attempted events which cause or could cause interruption of normal operation of a licensed nuclear power reactor through the unauthorized use of its machinery, components, or controls, including the security system, be reported within one hour to the NRC. Various comments were received from respondents on this issue. The major-ity of comments indicated that some clarification of the provision is needed. Specific suggestions included limiting the provision to deliberate, inten-tional, or malicious acts and focusing the provision on an actual act of sabotage rather than interruption of normal operation. A few comments indicated that the interruption of normal operation should not be consid-ered a safeguards event and that such events are already reportable under Part 50 requirements. Finally, specific definitions for the terms " tamper-ing" and " interruption of normal operation" were requested. The inclusion of this provision within ths reporting requirements for safeguards events was prompted by amendments in 1981 to the Atomic Energy Act of 1954, as amended, (the'Act). At that time a new subsection j 7
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.(Shetion 236b) was added which subjects to criminal penalty any person -
who intentionally or willfully causes or attempts to cause an interrup- - tion of the normal operation of specified nuclear facilities through the
, unauthorized useLof or tampering with the machinery, components, or '
controls for such facilities. The Federal Bureau of Investigation (FBI), as the Federal agency charged with the criminal investigation of sabotage at nuclear reactors, has revised its internal policy on the definition of sabotage to be consistent with the Act. The revision to 10 CFR 73.71 is. necessary to bring NRC regulations into line with the Act. Because the question of intent cannot normally be c:etermined in a one hour time frame, the terms " willfully" and " intentionally" are not included in the reporting requirement. A proper application of the term " interruption of normal operations" will put the reporting of these events in proper perspective. The legis-lative history for the aforementioned amendments to the Act states that the term refers to the cessation of actual production, utilization, or storage operations which, if accomplished, would result in substantial economic harm or cost to the licensee. For the purpose of this rulemaking, this term will be used only to refer to production operations. The term sabotage is not specifically used within the regulation to assure that the actual act is reported while allowing the FBI to investigate whether a violation'of law has occurred. In addition, the word " tampering", when used in conjunction with this reporting requirement only, means altering for improper purposes or in an improper manner. It is noted that all terms or phrases clarified as a result of comment analysis for th'e proposed rule-
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are included in a glossary added to the supporting guidance for this' rule,: a :
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i' Regulatory Guide 5.62, " Reporting of Safeguards Events," Rev.1. Finally l regarding duplication of reporting with Part 50 requirements, the revi- < ~ ! s. ions to 10 CFR 73.71 explicitly state that duplicate reports are not required for events that are also reportable under 10 CFR 50.72 and 50.73.
- 3. Reporting of Unauthorized Entry Through a Required Barrier.
l l SS 73.71(b)(1) and I(c) of Appendix G to Part 73 of the proposeu regula-tion require any unauthorized entry through a required barrier (whether or not the event is properly compensated) to be reported to the NRC within one hour of discovery. Comments on this issue questioned the need for reporting of all unauthorized entries especially those by authorized indi-viduals and indicated that unauthorized entries due to procedural or unintentional errors need not be reported especially when the event is properly compensated. Specific definitions for the terms " unauthorized entry" and " required barriers" were requested. For the purpose of this rulemaking, " unauthorized entry" means an entry through a protected area, controlled access area, material access area or vital area barrier or portal in one of these barriers for which proper entry procedures are not followed. This includes an individual not authorized unescorted facility access breaching a PA barrier or an ind'ividual authorized unescorted access to certain areas of the facility using invalid procedures to ge.in entrance to an area to which he or she is not authorized. Because of the comments received on this particular provision, the ~. staff clarifies its position on this provision as follows. Any actual unauthorized entry to a protected area, cont' rolled access area, material 4 access area, vital area or transport carrying SSNM represents a signif- ~ icant breakdown in the safeguards in place to protect these areas. 9 . l I O W w
[7590-01]- O Accordingly, this provision has been revised and these events are more clearly described in the final regulation as requiring one hour reporting. In addition, the intent in requiring the reporting of any unauthorized entry through a required barrier was also to require the reporting of the introduction or attempted introduction of contraband into the facility. While SI(a) of Appendix G could also be cited as requiring the reporting of such an event, the staff has added a separate provision to make it clear such events are required to be reported within one hour.
- 4. Administrative Issues. The proposed regulation required the use of NRC Form 366 for the submittal of follow-up written reports by power reactor licensees. Public comment, including the comment of one utility group, identified problems with the use of these forms and recommended the use of letter format for report submittal as required for all but power reactor licensees. Commenters opposed the use of the form by noting that the form was prepared for the reporting of safety events under Part 50 requirements and, hence, did not quite " fit" the planned usage under 10 CFR 73.71. From a philosophical standpoint, commenters felt the use of a common form blurred the important distinction between safety and safeguards. The purpose in requiring the use of this common form was l to simplify report submittal. Affected licensees feel this is not the case and, accordingly, the rule has been modified to require use of a letter format for written report submittal as follow-up to events report-able-under S 73.71. It is noted, however, if a power reactor licensee reports an event that is reportable in accordance with both SS 50.73 and 1 :
73.71, the procedures described in S 50.73 [i.e., a Licensee Event Report
.(LER)] must be followed.. The procedures. contained in NUREG-1022,
" Licensee Event Report System," describe how to indicate that an LER
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[7590-01] 1 meets multiple reporting requirements. A duplicate report"in a letter format is not required. _ A few comments were. received which requested the one-hour reporting requirement be extended to 4 or 24 hours and the requirement to log an event within 24 hours of its discovery be extended to 72 hours. No revi-sion to the proposed rule has been made in response to these comments. In the case of extending the one hour limit, the proposed rule represents appropriate revisions to the present requirement that assure only those events requiring a one-hour report are in fact required to be reported within one hour. In the case of extending the 24-hour limit, a 24-hour period to document an event in a log is more than sufficient time and already represents a relaxation over immediate logging. Also in the area of reporting periods, commenters, including one utility group, commented that the initiation of the time period for report-ing should be tied to discovery by a member of the security organization, not just by any licensee employee, and that the security organization should make the determination that a safeguards event has occurred, again, not just any employee. The staff agrees that the determination for report-ing an event should be made by onsite security management or equivalent. This information has been added to the rule's supporting guidance. It is believed, however, that the discovery of an event should not be limited to-discovery by a member of the security organization. All . regular site employees should' receive training by the security orgr ition to foster an awareness of site security. .In this regard, site employees should be briefed on their responsibility to immediately notify site security of
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safeguards anomalies. The staff, therefore, has made no revision to the
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proposed regulation in response to this particular comment.
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Commenters, including one utility group, requested that the required record retention period of three years be revised downward to one year.
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In this regard, there is an ongoing NRC rulemaking which will standardize all. record retention periods to 3 years, 5 years,10 years, or life in order to ease the burden on affected licensees who are subject to diverse reporting and recordkeeping requirements. The three year period required in 10 CFR 73.71 is consistent with this policy. As'this policy evolves, any revisions to the standardized retention periods would be reflected in a conforming amendment to 9 73.71. Finally, respondents expressed the view that immediate reports should be made to the appropriate NRC Regional Office, not the Operations Center and that the procedure for revising written reports, i.e., complete report resubmittal, was overburdensome and unnecessary. Justification for chang-ing the designated report recipient to the Region included the fact that immediate response is provided by the Region, not NRC Headquarters, and that current practice is to notify a Regional Office during day-time work duty hours and to notify the Operations Center during night off-duty hours. The NRC purpose in requiring reports to be made to the Operations Center, as required under present S 73.71 requirements, is to assure that one centralized point within the NRC is able to obtain a total perspective of events as they occur. Through pre-established procedures, this cen-tralized point can then notify designated personnel for action as appro ~ priate. It is also believed that simplified procedures, such as use of cne centralized. point for the reporting of significant events, (both safety and safeguards), ill assist licensees in responding to continuing developments if an; actual emergency progres.ses for some time. Accordingly,
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this provision remains as required under the present regulation. Regard-ing the submittal of a corrected report, requiring full report resubmittal i e
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[ . [7590-01] . l assists in standardizing the procedures for the reporting of safety and- . safeguards events; complete corrected reports for safety events are required under Part 50 regulations. For this reason, no changes have been made in response to this coment. -
- 5. Clarifications Needed. Public comment requested clarification of a number of terr.s and expressions used in the guidance for the proposed [
regulation. Some of these have been clarified under the discussion of other comment issues. The remaining terms are clarified here. All terms e or expressions discussed as part of public comr.ent analysis for this rule are included in a glossary added to the rule's supporting guidance, Regulatory Guide 5.62, Reporting of Safeguards Events, Rev. 1.
- a. " Safeguards system." This term covers the equipment, personnel, and procedures that comprise the physical ^ protection program necessary to meet Part 73 requirements.
- b. "Any failure of a safeguards system or the discovered non-inherent vulnerability...etc." In an attempt to clarify this phrase it has been revised to refer to: "Any failure, degradation, or discovered vulner-ability..." and to delete the proposed definition for compensatory measures. Rather than add an additional definition for compensatory
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measures to the Federal Code (which could be confusing), the existing definition found under 10 CFR 73.46(g)(5) and 73.55(g)(1) will be used. This definition wil1 be referenced in the supporting guidance for this - _ rulemaking. For further ' clarification, descriptions of acceptable com - pensatory measures have been added to the supporting guidance.
- c. " Credible" threat. 'A threat should be considered credible when' (1) physical evidence supporting the threat exists, (2) information inde-
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3 pendent from the actual threat message exists which supports the threat, 5 : 13 y em
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- c. " Credible" 4.hreat. A threat should.-be considered-credible when (1)'physicalevidence'supportingthe"threatexists,(2)informationinde- ~
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- pendent from the actual threat message exists which supports the7 threat,~ -
or;(3) a specific group or organization claims responsibility -for the' -
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threat. _ d.- "Significant physical damage" (as applied to a power reactor,. a facility possessing SSNM or its equipment, carrier equipment tran ort-ing nuclear fuel or spent nuclear fuel, or to the nuclear fuel or spent nuclear fuel a facility or carrier possesses). This term covers physical damage to the extent that the~ facility, equipment, transport, or fuel can not perform its normal function.
- e. '" Lost" versus " unaccounted for" re: transportation of material.
The term " lost" covers material that is no longer in the possession of the party authorized to possess it during a specific time period and a search for the material verifies this. " Unaccounted for" refers to mate-rial in transit which has not arrived at its delivery point four hours or more after the estimated arrival time. However, a search has not con-firmed the material to be lost.
- f. " Theft of SNM". The term refers to the unauthorized taking of SNM for unauthorized use,
- g. " Diversion of SNM". This term refers to the. unauthorized move-cent of SNM by individuals authorized access to or control over the material.
, h. " Loss of SNM". This term refers to (1) a failure to measure or 1 account for material, authorized to be possessed by the licensee, by the material control and accounting system approved for the facility and not confirmed stolen or diverted or (2) an accidental (i.e. unplanned) 14 (
[7590-01) , l-1' .w offsite release'or dispersal of SNM known or suspected to be 10 times' - greater than normal operating losses for the time frame in question -
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- whether or not the release is measured. The term " loss" implies that
'a search has been conducted to confirm the material loss. For fixed sites,
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l this search should be conducted within the one hour time frame of report-ability.
- i. " Safeguards Event Log." This term refers to a compilation of log entries for the events described under Section II of Appendix G to
- 10 CFR Part 73. Entries must include date and time of event, summary description of event, and action taken. For repeated events, the date and time should be recorded; however, the summary and action taken need only reference the initial event of the series of identical events. An active " safeguards event log" is not required to be maintained in one location onsite. Its format may be typed or handwritten as long as it is legible and reproducible. Entries in a " safeguards event log" sub-mitted to the NRC need not be in time sequential order.
- 6. Miscellaneous Issues. This rulemaking grants a portion of a petition for rulemaking assigned Docket No. PRM 50-36 from the Nuclear Utility Backfitting and Reform Group (NUBARG). This rule responds speci-fically to Section VI of the petition, Reporting Requirements Associated In this section the petitioner suggests that the
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with 10 CFR 73.71. regulation be amended to provide for written report submittal by the licensee. within 30 days of initial notification ~ rather than within 15
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days. According to the petitioner, this would allow a 1icensee's staff more time during the critical period immediately following an event to um e - 4 15 ______,_,_-__.__--a- - - - - - - - - - - - -
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- devote to the resolution of the problem and would minimize interference ~
with daily operation. The NRC has agreed with thiti suggestion in the pastandfincludedthisrevisionwithinthefinalrule. Comments received on this issue universally support the extension of the time period for written report submittal. NVBARG acknowledged the action and requested a prompt response from the NRC on the remaining items of the petition. Comments received from one low enriched uranium fuel fabrication licensee noted that its NRC-approved physical security plan specifically identifies the reporting requirements for shipments that have not reached their destination by the estimated time of arrival. This con.menter requested that the requirements for licensees subject to S 73.67 not be changed because these changes would produce no benefit but would result in added costs. The staff has made a thorough review of this issue, including inspection of reporting commitments in the subject licensee's physical security plan and finds no conflict. A " lost" shipment carries with it the understanding that a search or trace investigation has deter-mined the shipment to be verified lost (see paragraph 5e above). A ship-ment may be " unaccounted for" for up to 4 hours before it is determined
" lost." There is no difference in a reporting period described as "with-in one hour of discovery of a loss" versus "within one hour of obtaining results of a trace investigation."
Finally; during the course of public comment analysis, a question arose whether licensees would be required to submit physical security - plan amendments to conform with this revised regulation. The revised
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regulation supersedes the previous S 73.71 and any previous security plan commitments dealing with reporting of safeguards events. Licensees'are . -
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16
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I L. [7590-01]
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not required to submit plan changes in response to the new regulation; however, those licensees who have paraphrased the previous 10 CFR 73.71 in their security plans should revise their plans to delete previous commitments in this area. These plan revisions are not considered reduc-tions in the effectiveness of the safeguards systems by the NRC staff. ; ( It is noted that this regulation has been approved as a generic backfit i and a backfit analysis is incorporated within this notice. 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 rule. PAPERWORK REDUCTION ACT STATEMENT This final rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). These requirements were approved by the Office of Management and Budget j approval numbers 3150-009, 3150-0132, 3150-0002, and 3150-0123.
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REGULATORY ANALYSIS
^
l The NRC staff has prepared a regulatory analysis on this final regu-lation. The analysis examines the costs and benefits of the alternatives ) l considered by the Commission. The analysis is available for inspection in the NRC Publ.ic Document Room,1717 H Street, NW. , Washington, DC 20c%. 17
.v . .
L -[7590-01]- 9
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Single copies of the analysis may be obtained from Priscilla A. Dwyer, 1 Safeguards Reactor Regulatory' Requirements Section, Division of. Safeguards,
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Office of Nuclear Material Safety and Safeguards, U.S. Nuclear. Regulatory Commission, Washington, DC 20555, Telephone (301) 427-4773. REGULATORY FLEXIBILITY CERTIFICATION j 1 In accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b), the Commission hereby certifies that this revised rule, if promul-gated, will not have a significant economic impact on a substantial number of small entities and will result in a. reduction in burden to affected licensees. Some transporters, importers, and exporters of special nuclear material (SNM) and spent- fuel will be affected by this rule. Each year out of approximately 600 reported events, about 3 come from this group which includes small entities. The rule also affects licensees who operate nuclear power plants and fuel facilities under 10 CFR Parts 50 and 73. The companies that own these plants and facilities 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 defini-tion of Small Business Size Standards set out in regulations issued by the Small Business Administration in 13 CFR Part 121.
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BACKFIT ANALYSIS As requirbd by 10 CFR 50.109 (50 FR 38097), the NRC staff has com-pletsd a backfit analysis for this finsi rule. The staff has determined, based on this analysis', that backfittin'g to comply with the requirements 18 m P W M'
[7590-01)
- of this final rule is justified bedause imposition of these requirements
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_ ; will result in a substantial increase in the overall protection of the public health and safety or the common defense and security and direct and indirect costs are justified in view of the increase in protection. The backfit analysis, which includes a summary regulatory analysis, follows. I. SU MARY REGULATORY ANALYSIS
- 1. Objective. In general, the objective of this rule is to clarify and simplify the reporting of safeguard events to the NRC by licensees.
Safeguards events include actual or attempted theft of special nuclear material (SNM), actual or attempted acts which interrupt normal operations at power reactors due to unauthorized use of or tampering with machinery, components or controls, certain threats made against facilities possessing SNM, and safeguards system failures impacting the effectiveness of the system. The reporting of this data to the NRC is necessary to permit timely and appropriate response to incidents and to allow the Commission to identify generic problems in safeguards systems. Since the original issuance of S 73.71, the staff has found the requirements are frequently misinterpreted, that written follow-up reports submitted pursuant to the
. regulation lack uniformity and that within these reports insufficient data ~
is reported for NRC analysis. - Specifically, these revisions wi'11: (1) clarify to licensees the safeguards events that must be report;ed, (2) extend the period of time for submittal of licensee written reports, (3) assure standardized and sufficient report-making to assist NRC data evaluation, (4) eliminate 19 en y , e
i [7590-01]. o,e telephonic notification and written reporting deemed unnecessary by the - staff, and (5) assure a consistent and comparable level of reporting for _ safety and safeguards events. . [ 2. Description of Activity. At present, licensees are required to report certain events within one hour or 24 hours of their occurrence with submittal of written follow-up reports within 5 or 15-days depending upon the event. All events reportable are required to be maintained in a sepa-
.~ rate log onsite, while other events are simply required to be recorded.
I The specific events reported within these time periods or logged are described by such broad phrases as " potential loss," " moderate loss of effectiveness" and " major loss of effectiveness." The revisions to S 73.71 require events to be either reported within one hour or logged with the log submitted to the NRC on a quarterly basis. Eccnts reported within one hour are required to be followed-up by a writ-tm report within 30 days. In describing the events to be reported, an at'empt het been made to describe only those types of events actually requiring rt. porting and to assure that categorization of events which may
- warrant Federal involvement is made by appropriate Federal agencies, not the licensee.
The net results of the proposed regulations are to: (1) eliminate the present 24-hour rcporting requirement (most items presently reportable within 24 hours will be logged, only, under the proposed rule), (2) eliminate the requirement to~1og. items reportable to the NRC within ~ one hour, (3) clarify and simplify-the descriptions of events to be _ reported or logged including clarification of information to be reported,
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and (4) require the submittal of a log of safeguards events to the NRC.on a quarterly basis.
, s -
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20 g A
. - - _ _ . - . - - - _ - - - - . _ _ . . - - - - - A- - -- - - - - _ - - - - - - - - - - - - - - - - - - -
.s
[7590-01]
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' Since licensees are currently required to immediately report or log certtin safeguards events, the major new activity required of the licensee
, undet this ~ amendment is submittal of the quarterly log to ti.e NRC.
- 3. Potential Chance in Risk to the Public from Accidental Offsite Release of Radioactive Material. An improved system for the reporting of safeguards events, which might or in fact do lead to a radioactive release, e.g.,-radiological sabotage, could permit more timely and effective response to the incident. This could have the effect of decreasing the risk to
- public from an offsite release by allowing more timely mitigation of the i
event or more timely implementation of necessary contingency action.
- 4. Potential Impact on Radiological Exposure of Facility Employees.
To the extent that an improved reporting system will permit more timely mitigation of a safeguards event involving a radioactive release, the potential impact of radiological exposure on facility. employees will be reduced. Otherwise, with respect to radiological exposure, there is no impact on facility employees.
- 5. Installation and Continuing Costs.
Annual Operational Cost Per Site $6k
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(representing an annual decrease of
$9k/ year / site)
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~ 6. Potential Safety Impact of Changes in Plant or~0perational Complexity. Simplifying and clarifying safeguards report]ing requirements and to the extent possible standardizing these reporting requirements with those for the reporting of safety events reduces operational -
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complexity. 21
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_ _ _ _ - _ _ _ _ _ _ - _ . __ _ _-__-_--_- r _ _. ._
L. [7590-0i]- 1
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- 7. Estimated Resource Burr'en on the NRC.. ~
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1
- Operational Costs, '.il Sites -
$266k-
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= .
- ; l (representing an annual increase of $140k
- i 4
_ due to increased timA needed to analyze - quarterly submitted log). - l
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- 8. Potential Impact'of Differences in Facility Type or Age. No potential impact is noted of differences in facility type or age on the relevance or. practicability of implementing this rule. .
- 9. The rule is final.
II. JUSTIFICATION
- 1. Increased Protection of the Public Health and Safety. The staff believes that issuance of this final rule will improve the implementation of reporting of safeguards events requirements due to increased clarity.
Further, it will improve the ability of the NRC to uncover generic trends or defects in the safeguards systems used to protect the plant. Clarifying and simplifying procedures for reporting can have a significant impact _on the timeliness and effectiveness of establishing the NRC-licensee interface or other possibly necessary Agency interfaces (e.g. , with the FBI) during actual safeguards emergencies. This results in increased protection to the public health and safety because it facilitates a timely, coordinated response to safeguards emergencies by the NRC, licensees, and other Agencies, as appropriate. Improving the ability of the NRC staff to uncover generic trends or defects provides the NRC with an improved capa-bility to initiate corrective action, if needed, prior to a vulnerability 22
l [7590-01]
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l 4 s - r ) having~a detrimental effect on the public health and safety. This action
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_ ~ wi% thus, also improve the, protection of the public health and safety. _ _i _
- 2. Cost Implications. Implementation costs are expected to be ;
~ - _ i
, negligible because neither security plan amendments'nor their review will )
~~
be required. Annual operating costs are anticipated to decrease for industry, from $15k to $6k per site, because of a reduced reporting burden, and increase for the NRC, from $126k to $266k, because of the increased time needed to review quarterly submitted logs.
- 3. Priority and Scheduling. Based upon the resulting substantial increase in the overall protection of the public health and safety, as discussed above, this backfit is considered to be a high priority. The proposed changes do not affect the schedules of other regulatory activities on going at nuclear power plants.
- 4. Findings. The NRC staff finds that issuance of this final rule will result in a substantial increase in the overall protection of the 9
public health and safety and direct and indirect costs are justified in view of the increase in protection. LIST OF SUBJECTS IN 10 CFR PARTS 70, 72, 73, AND 74 - Part 70: Hazardous materials - transportation, Nuclear materials, Packaging and containers, Penalty, Radiation protection, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special nuclear material. Part 72: Manpower training programs, Nuclear materials, Occupa-tional safety and health, Reporting and recordkeeping requirements, Security measures, Spent fuel. l 23
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[7590-01]
+ -
Part 73: Hazardous materials - transportation, Incorporation by l reference, Nuclear materials, Nuclear power plants and reactors, Penalty, I
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. Reportingandrecordkeepingreqbirements,Securitymeasures.
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Part 74: Accounting, Mater _ial control and accounting, Nuclear mate-
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rials, Penalty, Reporting and recordkeeping requirements, Special nuclear material.
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)
For the reasons set out in the preamble and under the authority of I i the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act q J of 1974, as ame.tded, and 5 U.S.C 553, the NRC is adopting the following i amendments to 10 CFR Parts 70, 72, 73 and 74. PART 70 - DOMESTIC LICENSING 0F SPECIAL NUCLEAR MATERIAL
- 1. The authority citation for Part 70 is revised to read as iallown AUTHORITY: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930,'948, 953, 954, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2201, 2232, 2233, 2282); secs. 201, as amended, 202, 204, 206, 88 Stat. 1242, as amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846).
Section 70.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 70.21(g) also issued under sec. 122, 68 Stat, j 939 (42 U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 88 Stat. 475 (42 U.S.C. 2077). Sections 70.26 and 70.44 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 70.61 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236,2237). Section 70.62 also issued under sec. 108, 68 Stat. 939,_as i amended (42 U.S.C. 2138). 24 _
.. [7590-01]
t> *
' For the purposes' of sec. 223, 68- Stat; 958, as' amended (42 U.S.C.
, 2273);.S$ 70.3, 70.19(c), 70.21(c), 70.22(a), (b), (d)-(k), 70.24(a) and -
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(b)[.70.32(a)(3),(5),(6),}d),and(i),70.36,f70.39(b)and(c),
. '70.41(a), 70.42(a) and (c)',I 70.56, 70.57(b), (c), and (d), 70.58(a)-(g)(3),
and-(h)-(j)areissuedundersec.161b,68 Stat.'948,asamended[(42U.S.C. [ 2201(b)); SS 70.7, 70.~20a(a), and (d),_ 70.20b (c) and'(e), 70.21(c), 70.24(b), 70.32(a)(6), (c), (d), (e), and (g), 70.36,70.51(c)-(g),70.56, 70.57(b) and (d), 70.58(a)-(g)(3) and (h)-(j) are issued under sec. 1611, 68 Stat.-949, as amended (42 U.S.C. 2201(i)); and SS 70.5, 70.20b(d) and (e), 70.38, 70.51(b) and (i), 70.52, 70.53, 70.54, 70.55, 70.58(g)(4), (k), 1 and (1), 70.59, and 70.60(b) and (c) are issued under sec. 161o, 68 Stat. 950, as amended (42 U.S.C. 2201(o)).
- 2. Section 70.52 is revised to read as follows:
S 70.52 Reports of accidental criticality or loss or theft or attempted theft of special nuclear material. l (a) Each licensee shall notify the NRC Operations Center 1 within one hour after discovery of any case of accidental criticality or any loss, other than normal operating loss, of special nuclear material. (b) Each licensee who possesses one gram or more of contained l uranium-235, uranium-233, or plutonium shall notify the NRC Operations Center within one hour after discovery of any loss or theft or unlawful diversion of special nuclear material which the licensee is liceNeu to possess or any incident in which an attempt has been made or is believed
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to have been made to commit a theft or unlawful diversion of such material. 2 Commercial telephone number of the NRC Operations Center is (301)951-0550. 25 w___--_______
3 . [7590-01]
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(c) This notification must be made to the NRC Operations Center via; e - the Emergency Notification System if the licensee is party to that s'ystem. i
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If th'e Emergency-Notification System is inoperative or. unavailable, the licensee shall make the required notification via comm'ercial telephonic-
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service 'er otherl dedicated telephonic system or any other method that .
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will ensure that'a. report is received by the NRC Operations Center within. one hour. The exemption of S 73.21(g)(3) applies to all telephonic reports required by .this section. (d) Reports required under _S 73.71 need not be duplicated under the requirements of this section. PART 72 - LICENSING REQUIREMENTS FOR THE STORAGE OF SPENT FUEL AT AN INDEPENDENT SPENT FUEL STORAGE INSTALLATION
- 1. The authority citation for Part 72 is revised to read as follows:
AUTHORITY: Secs. 51, 53, 57, 62, 63,'65, 69, 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 2237, 2239, 2282); sec. 274, Pub. L. 88-273, 73 Stat. 688, as amended (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 102, Pub. L. 91-190, 83 Stat. 853, as amended (42 U.S.C. 4332). Section 72.10 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 72.34 also issued under sec. 134, I Pub. L. 97.425, 96 Stat. 2230 (42 U.S.C. 10154). 26 . L,,__._____.m., _ _ _ _ _ . _ . _ _ _ . _ -__m-.-- ----- - -
_. [7590-01) L . E ;' - i - l '2. Section 72.52 is rev'ised to read as follows: .
- 6 72.52 Reports of accidental criticality or loss of special-nuclear
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M ma'terial. - -
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L . . 5 (g) 'Each' licensee shall notify the NRC Operations Center 1.within e one hour of discovery of accidental criticality or any loss of special
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nuclear material. ~ (b) This notification must be made to the NRC Operations Center via
.,.' the Emergency Notification System if the licensee is party to that system. . ,- .If the Emergency Notification System is inoperative or unavailable, the licensee shall make the required notification via commercial telephonic service or any other dedicated telephonic system or any other method that will ensure that a report is received by the NRC Operations Center within one hour. The exemption of 9 73.21(g)(3) applies to all telephonic reports required by this section.
(c) Reports required under S 73.71 need not be duplicated under the requirements of this section. PART 73 - PHYSICAL PROTECTION OF PLANTS AND MATERIAM
- 1. The authority citation for 10 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).
2 Commercial telephone number of the NRC Operations Center is (301)951-0550. 27 '
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Section 73.37(f) also issued under sec. 301, Pub. i. 96-295, 94: Stat.
- 789 (42 U.S.C. 5841 note).- -
1 ~~ For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. [ - 2273); SS 73.21, 73.37(g), 73.55 are issued under s~ec.161b, 68 Stat. 948',' - b ' as amended (42 U.S.C. 2201(b)); SS 73.20, 73.24, 73.25, 73.26, 73.27, - i 73.37,73.40,73.45,73.46,73.!i0,73.55,73.67 are issued under sec. 161i, 68 Stat. 949, as amended (42 U.S.C. 2201(i)); and.SS 73.20(c)(1), 73.24(b)(1), 73.26(b)(3), (h)(6), and (k)(4), 73.27(a) and (b), 73.37(f), 73.40(b) and (d), 73.46(g)(6) and (h)(2), 73.50(g)(2), (3)(iii)(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. In S 73.67 paragraphs (e)(3)(vii) and (g)(3)(iii) are revised to read as follows:
S 73.67 Licensee fixed site and in-transit requirements for the physical i protection of special nuclear material of moderate and low strategic significance.
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- A A A (e) ***
(3) *** i (vii) Notify the NRC Operations Center within one hour after the l discovery of the loss of the shipment and within one hour after recovery of or accounting for such lost shipment in accordance with the provisions of 6 73.71 of this part. n n n n n (g) *** _ (3) *** l 28 l
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, (iii)': Conduct immediately a trace investigation of any shipment that
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c , is lost or unaccounted f_or'after the estimated arrivai time and notify thel
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- 'I NRC:0perations Center within one hour after the discovery of the loss.of i
the shipment'and within one hour after recovery of or. accounting for such
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lost shipment in accordance with the provisions of S 73.71 of this part. ! 2- _ q
~ 3; Section 73.71 is revised to read as follows:
]
S 73.71 Reporting of safeguards events. (a)(1) Each' licensee subject to the provisions of SS 73.25, 73.26, 73.27(c), 73.37,'73.67(e), or 73.67(g) shall-notify the NRC Operations , Center within one hour after discovery of the loss of any shipment of SNM h or spent fuel, and within one hour after recovery.of or accounting for such lost shipment. (2) This notification must be made to the NRC Operations Center 1 via the Emergency Notification System, if the licensee is party to that system. If the Emergency Notification System is inoperative or unavail-able, the licensee shall make the required notification via commercial telephonic service or other dedicated telephonic systems or any other method that will ensure that a report is rr.ceived by the NRC Operations Center within one hour. The exemption of 9 73.21(g)(3) applies to all telephonic reports required by this section. (3) The licensee shall, upon request of the NRC, maintain an open and continuous communications channel with the NRC Operations Center. (4) The initial telephonic notification must be followed within a period of 30 days by a written report submitted to the U.S. Nuclear 1' 2 Commercial telephone number of the NRC Operations Center is (301)951-0550, 29
[7590-01) _ C - p.
- Regulatory Commission, Document Control Desk, Washington, DC 20555. The
- liceosee shall also submit one copy each'to the-appropriate NRC Regional.
Office iste'dYnAppendf[xAtothispartand,if3pplicable,theappro-pria e_ NRC Resident Insp'ector. - -
. (5) For holders -of an operating license for a nuclear power plant,
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k. events that1neet one or .more criteria of both this section.and S 50.73
- of this chapter.must be reported in writing to th'e Co'mmission in accordance with the procedures described in.S 50.73 (b), (c), (d), (e) and (g) of this chapter. Events reported in accordance with 9 50.73 of
' this chapter need not also be reported under this section.
(6). Significant supplemental information which becomes available after the initial telephonic notification to the NRC Operations Center.or after the submission of the written report must be telephonically reported to the NRC Operations Center and also submitted in a revised written report (with the revisions indicated) to the Regional Office, the Document Control Desk, and, if applicable, the appropriate Resident Inspector. Errors discovered in a written report must be corrected in a revised report with revisions indicated. The revised report must replace the previous report; the update must be a complete entity and not contain only supplementary or revised information. Each licensee shall maintain a copy of the written report of an event submitted under this section as a record for a period of three years from the date of the report.
'(b)(1) Each licensee subject to the provisions of $$ 73.20, 73.37, 73.50, 73.55, 73.60, or 73.67 shall notify the NRC Operations Center within one hour of discovery of the safeguards events described in para-
. graph (I)(a)(1) of Appendix-G to this part. Licensees subject to the provisions of $$ 73.20, 73.37, 73.55, 73.60 or each licensee possessing strategic special nuclear material (SSNM) and subject to S 73.67(d) 30 9
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shall notify the NRC Operations Center within one hour after discovery
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of'the safeguards events. described in paragraphs I.(a)(2), (a)(3), (b),
,and (c) o'f Appendix G to this par't. . Licensees subject to the provisions.
_ of SS 73.20, 73.37, 73155 or 73.60 shall nr.tify the'NRC Operations Center
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within one hour after (Iiscovery of the safeguards events described in
~ paragraphI(d)ofAppenhiiGto~thispart. .
(2) This notification must be made in accordance with the require-
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ments of paragraphs (a)(2), (3), (4), (5) and (6) of this section. (c)(1) Each licensee subject to the provisions of SS 73.20, 73.37, 73.50; 73.55, 73.60, or each licensee possessing SSNM and subject to S 73.67(d) shall maintain a current log and record the safeguards events described in paragraphs II.(a) and (b) of Appendix G to this part within 24 hours of discovery by a licensee employee or member of the licensee's contract security organization. The licensee shall retain the log of events recorded under this section as a record for three years after the i last entry is made in each log. (2) Every three months, each licensee shall submit to the NRC copies of all safeguards event log entries not previously submitted. Each licen-see shall submit one copy each of their log entries to the U.S. Nuclear Regulatory Commission, Document Control Desk, Washington, DC 20555, and, if applicable, to the appropriate NRC Resident Inspector. (d) Each licensee shall submit to the Commission the 30-day written reports and copies of the safeguards event log entries required under i the provisions of this section that are of a quality which will permit legible reproduction and processing. The licensee shall prepare the writ- l ten report in letter format. The report must include sufficient informa-tion for NRC analysis and evaluation.
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- 4. A new Appendix G_is added to read as follows:
Appendix G - Reportable Safeguards Events _ _ l - Pursuant to t'h'e' provisions of 10 CFR SS 73.71(b)-and (c), licensees subject to- the provisions of -10.CFR SS 73.20,- 73.37, 73.50, 73.55,
- 73.60, and 73.67 shall report or record, as appropriate, the following safeguards events.
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.I. Events to be reported within one hour of discovery, followed by a written report within 30 days.
(a) Any event in which there is reason to believe that a person has committed or caused, or attempted to commit or cause, or has made a cred-ible threat to commit or cause: (1) A theft or unlawful diversion of special nuclear material; or (2) Significant physical damage to a power reactor or any facility possessing SSNM or its equipment or carrier equipment transporting nuclear fuel or spent nuclear fuel, or to the nuclear fuel or spent nuclear fuel a facility or carrier possesses; or (3) Interruption of normal operation of a licensed nuclear power reactor through the unauthorized use of or tampering with its machinery, components, or controls including the security system. (b) An actual entry of an unauthorized person into a protected area, material access area, controlled access area, vital area, or transport. (c) Any failure, degradation, or the discovered vulnerability in a safeguard system that could allow unauthorized or undetected access to a 32
[7590-01]
. protected area, material access area, controlled access area, vital area, g ,
or: transport for which compensatory measures have not been employed. l . I t I (d) _The actual or attempted introduction of contraband into a pro-
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tected area, material' access area, vital area, or transport. -
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, II. Events-to be recorded within 24 hours and submitted in quarterly log.
(a) Any failure, degradation, or discovered vulnerability in-a safeguards system that could have allowed unauthorized or undetected access to a protected area, material access area, controlled access area, vital area, or transport had compensatory measures not been established. (b) Any other threatened, attempted, or committed act not previously l '. defined in Appendix G with the potential for reducing the effectiveness of the safeguards system below that committed to in a licensed physical security or contingency plan or the actual condition of such reduction in effectiveness. 9-PART 74 - MATERIAL CONTROL AND ACCOUNTING OF SPECIAL NUCLEAR MATERIAL
- 1. The authority citation for Part 74 is revised to read as follows:
AUTHORITY: Secs. 53, 57, 161, 182, 183, 68 Stat. 930, 932, 948, 953, 954, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2073, 2077, 2201, 2232, 2233, 2282); secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C. 5842,5846). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273), il 74.31, 74.81, and 74.82 are issued under secs. 161b and 1611, 68 Stat. 948, 949, as amended (42 U.S.C. 2201(b), 2201(1)); and $$ 74.11, 33 l e e
f3 ' E - L.. . _ [7590-01]-
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7 , 74.13', and 74.15 are; issued under sec. . 1610, 68 Stat. 950, as amended L (42 U.S.C. 2201(o)). ~
..1 E- 2. Section 74.11 is revised to read as follows.
6 74.11 Reports of loss or' theft or attempted theft of shecial_ ~
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l- - nuclear material. _ (a) ~Each:~!icensee who possesses one gram or more 'of contained
, uranium-235, uranium-233, or plutonium shall notify the NRC Operations Center 1 tithin one hour of discovery of any loss or thclt or other unlaw-ful diversion of special nuclear material which the licensee is licensed to possess, or any incident in which an attempt has been made to commit a theft or unlawful diversion of special nuclear material. The requirement does not pertain to measured discards or inventory difference quantities.
(b)':This notification must be made to the NRC Operations Center via h the Emergency Notification System if the licensee is party to that system. If the Emergency Notification System is inoperative or unavailable, the { licensee shall make the required notification via commercial telephonic service or other dedicated telephonic system or any other method that 1 will ensure that a report is received by the NRC Operations Center within u one hour. The exemption of 6 73.21(g)(3) applies to all telephonic reports required by this section. l L s 2 Commercial telephone number of the NR'C Operations Center is (301)951-0550. 34 L 1___ _ - - - _ _ - _ . _ - - - - - - - -_ - - - - - - - - - - - - - - - - _ - - - - - - - - - - - - - - - - - - - _ - -
y. [7590-01] r, , - Oe . .
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o- _ (g) Reports required unde: f 73.71 need not be duplicated under the
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, L. requirements of this secti,on. . _
Datt4 at Bethesda, Maryland, this '
' day ~of , 1987.
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g For the Nudlear Regulatory Connission.
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1 Victor Stello, Jr. . Executive . Director for Operations.
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s M I 35 h .
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w 1 ATTACHMENT 2 Revised R. G. 5.62 i 1 a
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,, . October 1986 l
* -Division 5- 1 I
p Task SG 901-4
Contact:
, P. Dwy' e~r (301)427-4773 i
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b_ ' REGULATORY GUIDE 5.62~ - REPORTING 0F SAFEGUARDS EVENTS _ j A. INTRODUCTION - i-L In 10 CFR Part 73, " Physical Protection of Plants and Materials," para-graphs 73.71(a) through (c) require licensees to report to the Operations ' ) Center of the-NRC or to record for quarterly transmittal to the NRC certain , L safeguards events. These events are those that threaten nuclear activities or lessen the effectiveness of a security system as established by safeguards regulations or an approved security or contingency plan. l This regulatory guide provides an approach acceptable to the NRC staff for Ii use by the licensee in determining when and how an event should be reported. The examples provided represent the types of events that should be reported and l are not intended to be all-inclusive. The applicability of events may vary from I site to. site. ! Any information collection activities mentioned in this regulatory guide are contained as requirements in 10 CFR Part 73, which provides the regulatory ;
' bt..is for this guide. The information collection requirements in 10 CFR Part 73 have been cleared under OMB Cleare.nce No. 3150-0002.
B. DISCUSSION The NRC requires the information reportable under 9 73.71 in order to keep the NRC informed of events with the potential to endanger public health and safety or national security and to monitor trends in safeguards system effectiveness. w---_------ _ _ - _ _ - . . _ - - - - _ . - - _ _ . - - _ - . - - . . . - _ . - _ - _ - . . . . _ . _ . --- _ _ - - - - - . _ - - - - - _ _ -. . _ . _ _ - - - --
i s - Because certain significant safeguards events warrant immediate involve-ment by t'he.NRC and possibly other government agencies such as the FBI, these -
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eve'nts?.must be' telephonically reported to the NRC within 1 hour of discovery i ctf the. event, and a detailed written report must follow within 30 days. r Certain other less significant safeguards events are required to.be record- ~ l e'd in a 16g and copies of the recorded log submitted to the NRC.every 3 months.
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While.these events are less'significant than those reportable within 1 hour, they are required to be reported to the NRC onla quarterly basis for long term ' trend analysis. This is based upon the fact that if the event occurs repeatedly at one facility or throughout industry, it may represent a defect in the secu-rity program or a generic trend, respectively. Not all generic defects or trends require action on the part of the NRC, however, this decision cannot be made unless the events are reported to the NRC. Licensees have been required to maintain a separate log to record events reportable under S 73.71 in the
, but are now required to submit a copy of that log to the NRC on a quarterly basis.
For use in understanding the regulation and for the purposes of this guide, a glossary of terms can be found in Appendix A of this guide. Table 1 presents a summary of reportable events and reporting timer C. REGULATORY POSITION
- 1. LICENSEES SUBJECT TO 10 CFR 73.71 Licensees subject to the provisions of SS 73.25,73.26,73.27(c),73.37, 73.67(e), or 73.67(g) are subject to the provisions of 6 73.71(a).
Licensees subject to the provisions of SS 73.20, 73.37, 73.50, 73.55, 73.60, or 73.67 are subject to the provisions of 6 73.71(b) for events described in paragraph (I)(a)(1) of Appendix G to Part 73. Licensees subject to the provisions of SS 73.20, 73.37, 73.55, 73.60 or each licensee possessing strate-gic special nuclear material (SSNM) and subject to S 73.67(d) are subject to the provisions of S 73.71(b) for events described in paragraphs I (a)(2),(a)(3), (b), and (c) of Appendix G to Part 73. Licensees subject to the provisions of 1 SS 73.20, 73.37, 73.55, or 73.60 are subject to the provisions of 6 73.71(b) for events described in paragraph I(d) of Appendix G to Part 73. 2
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- Table.l. Summary of Reporting Requirements REQUIRED REPORTS ~ -
DESCRIPTION OF SAFEG0ARDS EVENT One-hour telephonic report 1. Loss of shipment of SNM op. spent fuel. followed by a written report within 30-days 2. Racovery/ Accounting of lo t shipmeht of SNM or spent fuel. __
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- 3. Threatened, attempted, or ~ actual)
- a. Theft or unlawful diversion of SNM,
. b. .Significant physical damage to a reactor or facility or carrier possessing SSNM,
- c. Interruption of normal operations at a power reactor.
- 4. Actual entry of unauthorized person into PA, MAA, CAA, VA, or transport.
- 5. Uncompensated failure, degradation, or dis-covered vulnerability in a safeguards system that could allow unauthorized or undetected access to a PA,.MAA, CAA, VA, or transport.
- 6. Actual or attempted introduction of contra-band into PA, MAA, VA, or transport.
Safeguards event log, 1. Compensated failure, degradation, or submitted every 3 months discovered vulnerability in a safeguards system that if uncompensated could have allowed unauthorized or undetected access to a PA, MAA, CAA, VA or transport.
- 2. Any other threatened, attempted, or i committed act not previously defined in Appendix G with the potential for reducing the effectiveness of the safeguards system below that committed to in a licensed physical security or contingency plan or the actual condition of such reduction in effectiveness.
Note: pas = protected areas MAAs = material access areas CAAs = controlled access areas VAs = vital areas SNM = special nuclear material SSNM = strategic special nuclear material 3 _ _ - _ _ _ _ _ - - _ - \
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{ Licensees subject to the provisions.of SS 73.20,'73.37 73.50, 73.:55, 73.60,
.or each licensee, possessing SSNM and subject to S 73,67(d) are subject to the .
provisions of S 73.71(c). -
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- 2. REPORTABLE VENTS '
2.1 Safeguards Events Reportable Within 1 Hour.
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Events reportable within 1 hour. of discovery include those required under paragraphs 73.71(a) and (b). Those under paragraph 73.71(a) involve incidents in which a theft, loss, or diversion of c shipment of SNM or sper,t fuel has occurred or is believed to have occurred.' Those reportable under paragraph 73.71(b) and described in Appendix G to 10 CFR Part 73, include the following safeguards events: (a) Acts, attempts, or threats to commit: (1) Theft or unlawful diversion of SNM or spent fuel; (2)' Significant physical damage to a power reactor or any facility g possessing SSNM or its equipment, to the carrier equipment trans-porting nuclear fuel or spent nuclear fuel, or to the nuclear fuel or spent nuclear fuel a facility or carrier possesses; (3) Interruption of normal operation of a licensed nuclear power reactor through the unauthorized use of or tampering with its machinery, components, or controls including the security system. (b) Any actual entry of an unauthorized person into a PA, MAA, CAA, VA, or transport. i (c) Any uncompensated failure, degradation, or discovered vulnerability j in a safeguards system that could allow unauthorized or undetected access to a PA, MAA, CAA, VA, or carrier transporting nuclear fuel,
. spent fuel, or formula quantities of SSNM.
(d) Any actual ~or attempted introduction of contraband into a PA, MAA, i VA, or transport. 4 (
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1 To clarify, safeguards system failures include not only mechanical or
-electrical: system failures but.also improper personnel procedures. Discovered
. vulnerabilities include incidents where_ the security system has not failed but where:some flaw in the security system that had existed without being noticed
..has been discovered. _
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2.2 -Examples of Safeguards Events That Should Be Reported Within 1 Hour. The following list provides examples of events to be reported to the NRC within one hour because of their potential to endanger public health and safety or nat~ional security, (this list should not be considered all-inclusive). A regulatory citation, which relates the event tu its applicable reporting require-ment, is provided for each event. Discussion of compensatory measure considera-tions is included where appropriate. I
- 1. Credible bomb or extortion threats. In addition, a telephone follow-ep of the results of a bomb search should be made within one hour of completion.
Unsubstantiated threats need not be immediately reported unless a specific organization or group claims responsibility or the threat is one of a pattern of harassing threats; in these cases, the threat must be reported within one hour. Ref. : App. G, I(a)(1), (2) or (3). There are no compensatory measures which would preclude the reporting of a substantiated threat within one hour. If a threat can not be substantiated, (i.e., no organization or group identi-fied, negative search results, and no additional evidence other than threat message), then the event need only be logged. (Also see #13, Sec. 2.4.)
- 2. Discovery of a criminal act involving individuals granted unescorted PA/VA access which may directly affect facility operations, (i.e. certain felo-nious acts, discovery of a conspiracy to bomb the facility or disturb its vital components, vandalism of vital equipment, drug abuse onsite). Ref.: App. G, I(a)(2) or (3). Due to the serious nature of such an event, even if the indi-vidual's unescorted access authorization is cancelled, discovery of the event should be reported within one hour. (Also see #3, this section.)
- 3. Discovery of a criminal act involving individuals granted unescorted PA/VA access which impacts upon the individual's trustworthiness or reliability in a nuclear setting for which no compensatory measures are taken. Examples of 5
1 E , such' events include certain misdemeanor offenses or drug abuse offsite. _Ref.: App. G., I(a)(2) or (3I. Licensees should exercise judgement in determining
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the urgency for reporting such.an event. Depending upon.the exact i situation,
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compensatory measures such as-revocation of unescorted access may permi.t the event to be logged only. However, if the event indicates a program weakness or the_ event may receive media attention, then a one hour report should be made. (Also see #2, this section.)
- 14. Discovery of theft or loss of classified documents pertaining to facility or transport safeguards. (Note: Also reportable under S95.57'of 10 CFR Part 95.) Ref.: App. G, I(a). This type of event is considered a credible ihreat to the proper safeguarding of a facility or transport. ~By the nature of this event its discovery can only occur after a significant degrada-tion of the safeguards system designed to protect the classified document has occurred. No measure can adequately compensate for such an event and events of this type should always be reported within one hour. As follow-up to the discovery, the licensee should endeavor to locate the missing or stolen document, take measures to help assure the event is not repeated, and to take whatever steps are possible to minimize the consequences of the event.
- 5. Fire or explosion of suspicious or unknown origin within the isolation zone, PA, MAA, CAA, or VA. (Note: Events reportable under $50.73 do not require duplicate reports under 6 73.71), Ref.: App. G, I(a)(1),(2), or (3), or (d).
If the origin of a fire or explosion can be determined within a 1 hour time frame to be non-suspicious and the facility sustains no significant damage, then the event is not considered a security threat to the facility and it need only be logged. (Also see #23, this section.)
- 6. Discovery of a suspicious vehicle following a licensed carrier trans-porting formula quantities of strategic special nuclear material. Ref.: App.
I i G,I(a)(1). Under this situation armed escorts or other responsible personnel should determine whether or not a threat exists and assess the extent of the threat, if any. If a threat exists it should be reported to the NRC within one hour of confirmation and the provisions of S 73.26(e) followed. If no threat exists, the event need not be reported or logged.
- 7. Mechanical breakdown of transport vehicle carrying formula quantities of strategic special nuclear material. Ref.: App. G, I(a)(1), (2). Since it is difficult to readily determine if a mechanical breakdown is random or inten-tional, and due to the strategic significance of the material, mechanical 6
breakdowns of. transports carrying formula quantities of SSNM should always be reported to the NRC within one hour.
- 8. 1 Complete loss of offsite communications. Ref.: App. G, I(a)(2') or (3). The licensee should report the complete loss of bffrite communications within one hour, if possible, or-imme'diately after restoration of communications.
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If offsite commun'ications are lost and cannot be restored within one hour, the licensee"should use communications located offsite to notify the NRC.
- 9. Mass-demonstration at plant site that may po'se a threat to the facility. Ref.. : -App. G, I(a)(2) or (3).
- 10. Civil disturbance near the plant site that may pose a threat to the facility. Ref. : App. G, I(a)(2) or (3).
- 11. Confirmed security equipment tampering of suspicious origin.
Ref.: App. G, I(a)(1), (2), or (3).
- 12. Confirmed intrusions into the PA, MAA, CAA, VA, or carrier transport-ing formula quantities of SSNM. This includes events involving unauthorized access such as tailgating by employees or contractors to gain access to areas to which they are not authorized. Ref.: App. G, I(b). Measures should be taken to preclude the recurrence of such events. Since any compensatory measures implemented for such an event are, in effect, after the fact that a serious safe-3 guards degradation has occurred, there are no compensatory measures which would preclude the reporting of such an event within one hour of discovery. (Also see #11, Sec. 2.4.)
- 13. Uncompensated suspension of safeguards controls during emergency conditions that could allow undetected or unauthorized access. (Note: Events reportable under S 50.73 do not require duplicate reports under 73.71). Ref.:
App. G, I(c). Compensatory measures for such an event are contingent upon the condition that only those safeguards measures outlined in section 5.3, " Controls that Can Be Suspended During an Emergency" of Regulatory Guide 5.65, Vital Area Access Controls, Protection of Physical Security Equipment, and Key and Lock Controls, are suspended, 10 CFR 73.55(a) is applied, and escorts are used to the extent practical.
- 14. Discovery of intention lly falsified identification badges or key cards. Ref.: App. G, I(a). This event is considered a safeguards threat to the facility and should always be reported within one hour of discovery.
Measures should be immediately taken to cancel the badges / key cards from the access system and to determine to what extent'the. badges / key cards have been _ used. 7 --_m_ _ _ _ _ . _ _ _ _ . _ . _ _ . . - _ . _ . . _ _ _ _ _ _ _ _ _ _ _
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.15. Discovery of uncompensated and unaccounted for, lost, or stolen key cards, I.D. card blanks,_ keys or any access device that could allow unauthorized or undetected'a~ccess to PA's, MAA's, CAA's, or VA's. Ref. : App. G. I(c). -
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~Such events need not be reported within one hour if upon discovery of the loss, measures are taken within ten minutes of the discovery to preclude the use of
.the lost or stolen device for gaining access to a controlled area and to assure _
that'the lost'or stolen device has not been used in an unauthorized manner prior to completion of. actions to prevent unauthorized use of the-device. (Also see
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#6, Sec. 2.4.)
- 16. _
Compromise of safeguards information (including loss or theft) that would significantly assist a person in an act of radiological sabotage or theft of special nuclear material. Ref. : App. G, I(c). There is no measure which would adequately compensate a compromise of safeguards information once the event has occurred. A licensee should always report this type of event within one hour of discovery and follow-up measures similar to those for theft or loss of a classified document should be taken.
- 17. Uncompensated loss of the ability of both central and secondary alarm stations to monitor or remotely assess alarms. Ref.: App. G, I(c). If the event involves an outage of the alarms, closed circuit television or security cort.puters, the event is considered properly compensated if the original capa-bility is restored within 10 minutes of occurrence of the event or security personnel with appropriate communications are in place within 10 minutes of occurrence to provide total observation of each area zone. In those situations where immediate restoration of system capability is provided by activation e' secondary computers, the loss of backup capability need not be reported within one hour. (Also, see #10, Sec 2.4.)
- 18. Unavailability of minimum rmber of security personnel or an actual or imminent strike by the security force. Ref. : App. G, I(c). For those situations where an unexpected unavailability of minimum number of security personnel occurs, procedures pre-approved by the NRC may be used or "on call" guards or trained management / supervisor / operations personnel available within 10 minutes may be used to supplement the on-duty security force. If the latter cannot be done to assure minimum requirements are met, then the event should be reported within one hour of discovery.
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. 19. Uncompensated loss of all a.c. power supply to security systems that could allow unauthorized or undetected access to a PA,.MAA, CAA, or VA. Ref.:
I App. G, I(c). If the security system integrity can be m.aintained by standby power or a combination of standby power and immediate, (within 10 minutes.of occurrence), deployment of security personnel with appropriate communications equipment then the event is considered properly. compensated ana need only be logged. However, if standby power fails prior to restoration of a.c. power, the event should be reported within one hour of occurrence of the event. (Also see #7, Sec. 2.4.)
- 20. Uncompensated loss of ability to detect within a single intrusion detection system zone. Ref.: App. G, I(c). Proper compensation for this event means immediate deployment (within 10 minutes of event discovery) of back-up intrusion equipment or posting of a dedicated observer w/ view of entire area and capability to communicate with alarm stations. (Also see #3, Sec. 2.4.)
- 21. Member of security force found asleep at post that could have allowed unauthorized or undetected access to a PA, MAA, CAA, or VA. Ref: App. G I(c).
(Also see #14, Sec. 2.4.)
- 22. Loss of alarm capability or locking mechanism on a VA portal. Ref.:
App. G, I(c). Proper compensation for this type of event means immediate deployment of security personnel with appropriate communications to provide total observation of affected area. In addition, the affected area should be searched. (Also see #8, Sec. 2.4.)
- 23. Discovery of the actual or attempted introduction into or possession within the PA, MAA, or VA of contraband such as unauthorized weapons, explosives or incendiary devices. Ref.: App. G, I(d). Due to the nature of the event, there are no compensatory measures wb.ich would preclude the reporting of the event within one hour. If an actual introduction of contraband is made, steps should be taken to assure the vulnerability which allowed the introduction is corrected. (Also see #5, this section.)
- 24. Loss of security weapon at the site. Ref.: App. G, I(d).
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[ . 2.3 Safeguards Events Reported in a Quarterly Submitted Log.
.The follcWing safeguards event _s reportable under paragraph 73.71(c) are described befow and_ need only be logged within 24. hours of their occurrence and submitted quarterly to the NRC: r L
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- a. Any failure or degradation of a safeguards system or discovered vulnerability in a system that could have allowed unauthorized or undetected access to a PA, MAA, CAA, VA, or transport had compensatory measures not been established. (Preplanned situations that require compensatory measures, such as special outage work, equipment reloca-tion, exercises and drills, and other situations that are not the result of a safeguards system failure, do not require logging);
- b. Any other threatened, attempted, or committed act not previously defined in Appendix G with the potential for reducing the effective-ness of the safeguards system below that committed to in a licensed physical security or contingency plan or the actual condition of such reduction in effectiveness.
9 With respect to the proper compensation of an event, compensatory measures need to be promptly implemented to be effective. The promptness of implementa-tion will minimize any period of degradation which may exist between the occur-rence and proper compensation after discovery of certain events. Proper compen-sation after discovery of an event does not relieve the licensee from responsi-bility for taking long-term corrective action, or relieve the licensee from possible enforcement action by the NRC for noncompliance during the periods of safeguards system degradation. Licensees, however, are not ordinarily cited for violations resulting from matters not within their control, such as equipment ; failures that occurred despite reasonable licensee quality assurance measures, testing and maintenance programs, or management controls. (See 10 CFR Part 2, Appendix C, paragraph V.A.) 10
s 2.4 : Examples of Safeguards Events Report'able in the Quarterly Submitted Log. Thefollowinglist)providesexamples'ofeventswhicharelesssignificant , than.those reportable within 1 hour and, accordingly, are required t'o be logged within 24 hours and submitted quarterly to the NRC, (this list should not b'e considered all-inclusive). A regulatory citation, which relates the event to l its applicable reporting requirement, is provided for each event. Discussion of compensatory measure considerations is included where appropriate.
- 1. Properly compensated security computer failures. Ref.: App. G, II(a).
Properly compensated means that within 10 minutes of.the failure the system is
-restored to operation, the bh '.# system is operational, or other resources, e.g., security personnel with appropriate communications equipment are deployed to provide an essentially equivalent level of protection. In all cases, all areas in which alarms or access controls may have been compromised due to the failure should be searched.
- 2. Properly compensated card reader failures. Ref.: App. G, II(a).
Properly compensated for this event means the posting of armed security person-nel with communications capabilities to alarm stations at appropriate portals with current access list and, if unauthorized access is made possible by the failure, a search of the area to which access may have been permitted.
- 3. Properly compensated alarm failures. Ref.: App. G, II(a). Properly compensated for this event means deployment within 10 minutes of discovery of the event of back-up alarm equipment or dedicated observer with appropriate communications equipment. In addition, a search of the area the alarm protected should be made to assure no unauthorized or undetected entry has been made.
(Also see #20, Sec. 2.2).
- 4. Properly compensated closed circuit television failure in a single zone, intrusion detection system remains operational. Ref.: App. G, II(a). .
Properly compensated means providing alternate assessment capability, such as posting of security personnel with communication equipment, deployed so they can assess the entire zone, within 10 minutes of discovery of the failure.
- 5. Properly compensated failure or degradation of a single perimeter lighting zone if intrusion detection system remains operational. Ref.:
. App. G, II(a). Proper compensating measures for failure or degradation of a lighting zone are measures implemented within 10 minutes of discovery of the event which may include: _ (1) use of standby power, (2) use of low light level 11 l
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~ surveillance devices, (3) use of portable lighting systems, or (4) positioning of guards with appropriate communications equipment at strategic locations.
6.- Properly compensated accidental removal offsite or loss of badge by
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employee. Ref.: App. G,.II(a) For this event, properly compensated means , the badge is cancelled from the access control system within 10 minutes of discovery of the missing tiadge by dnsite personnel and measures are taken to assure that the badge has not.been used in an unauthorized manner while it has been missing. (Also see #15, Sec. 2.2.)
- 7. Properly compensated loss of all a.c. power supply for intrusion detection system that if uncompensated would allow unauthorized or undetected access. Ref.: App. G, II(a). Properly compensated for this event means that emergency power is immediately available through an uninterruptible power source such as a battery supported by generator. If back-up power is not available, security personnel with communications equipment should be deployed, however, this action is not considered proper compensation for the event and does not preclude a licensee from reporting the event within one hour. (Also see //19, Sec. 2.2.)
- 8. Properly compensated loss of either alarm or locking mechanism on a vital area portal. Ref.: App. G, II(a). Properly compensated for this type g of event means immediate deployment of security personnel with appropriate com-munications to provide total observation of affected area. In addition, the affected area should be searched. (Also see #22, Sec. 2.2.)
- 9. Security computer failures that may not enable unauthorized or undetected access. Ref.: App. G, II(b).
- 10. Loss of the capability of a single alarm station to monitor or remotely assess alarms but monitoring / assessment capability remains in other stations.
Ref.: App. G, II(b). (Also see #17, Sec. 2.2.)
- 11. Tailgating by licensee employee or contractor to gain access to a protected stea to which they are rarmally authorized access. Ref.: App. G, II(b). (Also see #12, Sec. 2.2.)
- 12. For shipments of formula quantities of SSNM, loss of intra-convoy communications ability, hcwever, ability to communicate with movement control center remains. Ref.: App. G, II(b).
- 13. Unsubstantiated bomb or extortion threat. Ref.: App. G, II(b). An unsubstantiated bcmb or extortion threat is one wherein no specific organization or group claims responsibility, the search result is negative, and no eviderice 12 l
{' 6 _~ other than the threat message,is available. If a threat is one of'a pattern of barassing, even i.f' unsubstantiated, it should. be reported within 1 hour.
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'14. Member of secur.ity force'found asleep at post which could not allow .
. unauthorized or undetected access to a PA, MAA, CAA, or VA. 'Ref.: App. G, II(b). (Also see-#21, Sec. 2.2.)
2.5' Events Not Required to be Logged or Reported. Certain failures of W safeguards system that do not and could not reduce the effectiveness of the syn.c have -little or no safeguards significance. Events having little or no safeguans significance need not be repoited or log-ged. The following are examples of events that are not required to be logged or reported. This list should not be considered all" inclusive.
- 1. Cuts made by authorized maintenance personnel through a VA barrier for'a legitimate reason, e.g., to install pipe, if prior approval, coordination with security, and proper compensatory measures have been established.
- 2. A person atter.pting to climb protected area fence wherein the person's obvious age poses no sz guards threat to the facility.
- 3. PROCEDl!RES 9
The determination for reporting an event under S 73.71(a), (b), and (c), should be made by onsite security management or equivalent. However, discovery of such an event is not limited to members of the security organization. It is recommended that all regular site employees receive security orientation by the security organization to foster an awareness of site security and to be briefed on their responsibility to imr.ediately notify site security of safeguards anomalies. Events of a dual nature, i.e., having both safety and safeguards implica-tions and subject to the requirements of SS 50.73 and FA73.71 do not require duplicate reports under the requirements of 6 73.71. If a power reactor licen-see reports an event that is reportable in accordance with both SS 50.73 and 73.71,'the procedures described in S 50.73 [i.e., submittal of a Licensee Event Report (LER)] .nust be followed. The procedures contained in NUREG-1022, j " Licensee Event Report System," describe how to indicate that an LER meets multiple reporting requirements. Events solely reportable under the provisions 1 13
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of S 73.71 should be submitted in letter form according to the procedures'out-lined in.this guide. -
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~ Procedures'for the 1 hour report, the-30 day followup report, and the 1
-quarterly log are discussed in the following sections.
ree 3.1' - Or,e Hour Reports. -
. hen a licensee, licensee employee- or contract empicyee discovers an event reportable' under S 73.71(a) or (b), a telephone notification to the NRC Operations Center. listed in Appendix A to 10 CFR Part 73 should be made within 1 hour of the discovery. Telephone notification should be'made via the Emergency Notification System (ENS) if the licensee is party to that system. If the ENS is inoperative er unavailable, a commercial telephone should be used to ensure 3: that the required notification is received by the NRC Operations Center within 1 hour of discovery of the event. Commercial telephone numbers that may be
.used to contact,the NRC Operations Center are (301) 951-0550, (301) 427-4056, (301) 427-4259,' and (301) 492-8893. If a commercial telephone is not available, other methods that may be used to ensure notification within 1 hour include telegram, mailgram, or facsimile. Telegrams and mailgrams thould be hand deli-
.vered to the Operat ons Officer at the NRC Operations Center, Maryland National Bank Building, 7735 Old Georgetown Road, Bethesda, Maryland 20814. For informa-tion concerning facsimiles, telephone the NRC Operations Center at (301) 492-8893.
If pertinent information or errors are uncovered after the initial telephone report but prior to written report submittal, the licensee should telephonically notify the NRC Operations Center of the information or error. Under the provisions of 6 73.71(a), the licensee (or agent) should also provide the NRC Operations Center with telephone notification within 1 hour of the recovery of or accounting for a ship 9ent, i.e. , information such as material located, known reason for loss, etc. Telephone reports made pursuant to S 75.71 may be transmitted over unpro-tected lines as permitted by the exemption in paragraph 73.21(g)(3). 3.2 Thirty-Day Followup Written Reports. A followup written report must be submitted within 30 days of a-1 hour report. Licensees should use a letter format in preparing their reports. The information described below is sufficient for NRC analysis and evaluation and 14
% -y . ,
y '
}
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should be included as a minimum within the letter report. -Reports of events; ~ are required to'be 1,egible and. reproducible'and'should include the following: [ c . a. Date and. time of event '(start and end in military time). 5 _
- 3. ,
- b. Event occurred or was'thr_eatened to occur. in PA,,MAA, CAA, VAy or other -(specify). L -
~
- c. 'For power reactors, state operating phase, i.e., shut-down, op'etating,,
-etc. - -
' d. Safety systems affected or threatened, directly or indirectly.
- e. Type of security force onsite- proprietary or contract.
. f. Number and type of personnel involved, i.e., contractors, security, visitors, NRC personnel,'other (specify).
- g. Method of discovery of incident, e.g. , routine inspection, test, maintenance, alarm, chance, informant, communicated threat, unusual circumstances (give details).
- h. Procedural errors involved if. applicable.
- i. Immediate actions taken in response to event.
- j. Corrective actions taken or planned. I
- k. Local, State, or Federal law enforcement agencies contacted.
1.- Description of media interest and press release. I 'm . Indication'of previous similar events.
- n. -Knowledgeable contact.
For. security system failures, provide the' following in addition to Items a. through n.:
- o. Description of failed or malfunctioned equipment (including manu-facturer and model number).
- p. Apparent cause of each component / system failure. (For uncompensated security computer failures, state reason why event could not be compensated and list specific components affected, e.g., central processor, peripheral / terminal equipment, software.)
- q. Status of equipment prior to event, e.g., operating, being maintained, made secure, compensatory measures in place.
- r. Secondary functions affected (for multiple function components).
- s. Effect on plant safety.
15 _x__-_____-__-____-___-___- -__ . _ _ _ __ . _ - .-. . - _ - _ _ _ _ -
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- t. Unusual' conditions that may havE contributed t idilure,- e.g., q environmental extremes. 1 1 '
For threat-related incidents, provide the following in addition to Items a through n: ~ r
- u. Number of perpetrators. I
- v. Type of threat, e.g., bomb, extortion. -
- w. Means of communication, e.g., letter, telephone.
- x. Text of threat. ,
- y. Mode of' operation.
- z. Clear photocopy of threat letter and accompanying envelope if applicable.
Licensees should submit one copy each of their written reports to the U.S. Nuclear Regulatory Commission, Document Control Desk, Washington, DC 20555, the appropriate Regional Office listed in Appendix A to 10 CFR Part 73, and, if applicable, the appropriate NRC Resident Inspector. If pertinent information or errors are uncovered after the initial telephone report or the written report is submitted, the licensee should telephonically notify the NRC Operational Center of the information or errors. If the information is. uncovered after written report submittal, the licensee should submit complete revised written reports to the Document Control Desk, the Regional Office, and the NRC Resident Inspector if applicable with revisions indicated. The revised report should be a complete entity and should not contain merely the supplementary or revised information. If the written report contains protected data, e.g. , unclassified safe-guards information, the report must be appropriately marked. Furthermore, the. requirements of paragraph 73.21(g) must be met when transmitting written i Safeguards Information. 3.3. Maintenance and Submittal of a Quarterly Log. Events reportable under paragraph 73.71(c) need only be logged. In main-taining the log, it is recommended that the licensee log the information as received and then summarize and update the log entry when the event terminates. However, licensees are required to log entries within 24 hours of the discovery l 16 l
e i ; -
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of the event as required in~aragraph p 73.71(c). .Since the licensee would imme-diately; invest'ig ate all events that threatened nuclear activities or lessened
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the effectiveness of the security system as;establishe'd by safeguards regula-tions or an approved security or contingency plan, the details would generally
- be available at the , time the log entry was to be made. Log entries, therefore, l- should include as a minimum: L -
m
- a. Date and time (specify duration in military time) of event; .
- b. ~Brief (one-line) description of event;
- c. Brief (one-line) description of compensatory or corrective actions taken;
- d. Area affected, i.e. , VA, PA, owner controlled, transport, etc. ; and
- e. How detected, i.e., alarm, routine inspections, patrol, informants, etc.
Every 3 months, the licensee is required to submit to the NRC Document Control Desk, and if applicaole the appropriate Resident Inspector, one copy each of all log entries not previously submitted. The log entries need not be typed as long as they are legible, and a photocopy is acceptable. Events of similar nature logged and submitted to the NRC under paragraph l 73.71(c) may be consolidated into a single log entry if they occur repeatedly , i _ within the quarterly submittal period. Each date and time of the event should ' be specified for each occurrence. For example, if there is a repeated occur-rence of a compensated computer failure and each failure is the result of the same problem, only one log entry providing the details of a. through e. above need be made. However, with each occurrence, the date, time, and duration of the event should be recorded in the log. Each log must be retained for a period of 3 years after the last entry to that log. I i 17 ___,.,______s__ -__ _ - _ . - - - - - -- - - - - - - - - - - - - -
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e 4 APPENDIX A l l
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GLOSSARY OF TERMS l
- u. . -
~ . Note: This gloss'ry is fc M e only in~the implementation of the requirements a
of 10 CFR 73.71. I "Any failure', degradation or discovered vulnerability": The cessation of l proper functioning or performance of equipment, personnel, or procedures l' that comprise the physical protection program necessary to meet Part 73 requirements or a' discovered defect in such equipment, personnel, or procedures that ciegrades function or performance.
" Credible" threat: A threat should be considered credible when (1) physi-cal evidence supporting the threat exists, (2) information independent from the actual threat message exists which supports the threat, or (3) a speci-fic group or organization claims responsibility for the threat.
" Diversion" of SNM: Unauthorized movement of SNM by individuals authorized access to or control over the material.
" Interruption of normal operation": The cessation of utilization operation which, if accomplished, would result in substantial economic harm or cost to the licensee.
" Loss" of SNM: This term refers to (1) a failure to measure or account for material, authorized to be possessed by the licensee, by the material control and accounting system approved for the facility and not confirmed stolen or diverted or (2) an accidental (i.e., unplanned) offsite release !
or dispersal of SNM known or suspected to be ten times greater than norn' operating losses for the time frame in question whether or not the rele;4e e
. 18 1
9 L___--___-------_---- ._.
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is measured. The term " loss" implies that a search has been conducted to confirm the material loss. For fixed sites, this search should be conducted within the one h'our time-frame of deportability.
" Lost" versus " unaccounted for" re: transportation of material: The term !
" lost" covers material that is no longer in the possession of the party authorized to possess it during a specific time period and a search for the material verifies this. " Unaccounted for" refers to material in transit which has not arrived at its delivery point four hours or more after the estimated arrival time. However, a search has no't confirmed the material to be lost.
- Properly compensated: Measures including equipment, additional security personnel and specific procedures to assure that the effectiveness of the security system is not reduced by failure or other contingencies affecting the operation of the security related equipment or structures.
- Required barriers: This term means the protected area, the controlled access area, and all material access and vital area barriers.
- Safeguards events: Any incident representing an attempted, threatened, or actual breach of the safeguards system or reduction of the operational effectiveness of that system.
- Safeguards Event Log: This term refers to a compilation of log entries for the events described under Section II of Appendix G to 10 CFR Part 73.
Entries must include date and time of event, summary description of ; event, and action taken. For repeated events, the date and time should be recorded, however, the summary and action taken need only reference _ the initial event of the series of identical events. The active " safe-
. guards event log'l is not required to be maintained in one location onsite.
Its format may be typed or handwritten as long as it is legible and reproducible. Entries in a " safeguards event log" submitted to the NRC need not be in time sequential order.
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, Safeguards system: The equipment, personnel, and procedure's that comprise
[; the physical protection program necessary to meet Part 73 requirements. '
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l - - 'Significant physical damage: Physical damage to the extent- that the
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-- .' facility, equipment, transport, or' fuel ca~nnot perform its normal _ func- -
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il tion (as applied to a power reactor, a facility possessing SSNM or its iquipment, carrier equipment transporting nuclear fuel or spent nuclear ' fuel, or to the nuclear fuel or spent nuclear fuel a facility or carrier -- possesses). j 1 Tampering: When used in conjunction with Appendix G to 10 CFR Part 73 only, altering for improper purposes or in an improper manner. - Theft of SNM: The unauthorized taking of SNM for unauthorized use. Unauthorized' entry: An entry through a protected area, controlled access area, material access area, or vital area barrier or portal in one of these barriers for which proper entry procedures are not followed. (This type of event may include an individual not authorized unescorted facility access breaching a protected area barrier, or an individual authorized s unescorted access to certain areas of the facility using invalid proce-dures to gain entrance to an area to which he or she is not authorized. s
, 20 l
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- p. .
I [. J APPENDIX B SAMPLE OF LOG ENTRIES FOR 10 CFR 73.71(c) EVENTS Safeguards events reportable under S 73.71(c) need only be logged within l 24 hours of. their discovery. The copy of the log items (i.e., photocopy), submitted to the NRC every 3 months does not have to be typewritten, but must be legible. The following log items are samples only and should not be considered all-inclusive. l i LOG ENTRY EVENT DATE/ TIME DATE/ TIME EVENT RESPONSE i
- 1. 1-8-86/0140 1-8-86/0130 CAS operator received Area search initiated telephonic bomb threat at 0135 hrs, com-from unidentified male. pleted 0140 hrs, ;
Bomb reported near nothing.found, diesel generator.
- 2. 1-8-86/1245 1-8-86/1043 Penetration path Guard posted at through culvert dis- 1050 hrs, PA covered under PA fence, searched, and cul-zone #4, by security vert secured by grill !
patrol, no VA alarms by maintenance at received. 1230 hrs.
- 3. 1-9-86/1509 1-9-86/1433 Card reader failure at Guard posted at VA portal #2. 1440 hrs, with cur- ;
rent access list. i System failure cor- , rected and opera-tional at 1600 hrs.
- 4. 1-9-86/1815 1-9-86/1730 I.D. badge #342 lost Badge cancelled onsite. 1732 hrs. Badge found on employee's jacket at 1745 hrs.
- 5. 1-9-86/2055 1-9-86/2025 Security system failure, Determined caused single CPU outage. by electrical storm /
power surge. System back on line at 2028 hrs. All VA portals confirmed locked and alarmed by security. 21
'n.
LOG ENTRY _ . EVENT DATE/ TIME DATE/ TIME. EVENT RESPONSE h 1-11-86/1035 1-11-86/1025 Perimeter fence alare Area search initiated received zone #4. by security patrol at 1028 hrs. Completed 1033. Apparent cause of alarm-flock of geese grazing in area.
- 7. 1-11-86/1610' 1-11-86/1443 CCTV failure, perimeter Security patrol in zone #2 (IDS opera- place 1450 hrs. No tional). alarms received.
Camera replaced and operational at 1610.
- 8. 1-12-86/2015 . 1-12-86/2007 See #5 above. Same as #5 above.
System on-line at 2011 hrs.
- 9. 1-12-86/2240 1-12-86/2230 VA portal #6 found Area searched, no closed but unlocked by abnormalities found, security patrol, door door locked and alarm alarm operational, operational 2235 hrs.
I
,e 4
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4 22 l _.m___._ _ _ _ -_
o. I. , VALUE/ IMPACT STATEMENT A separate value/ impact statement has not been prepared for this regula-tory guide. The guide was revised to provide guidance on reporting of physical security events in accordance with paragraphs 73.71(a) through (c) of 10 CFR l Part 73. A regulatory analysis statement prepared for these proposed revisions to S 73.71 was made available in the NRC Public Document Room at the time of 1 their publication (August 27, 1985--50 FR 34708). This analysis is also appro-priate for this regulatory guide. e 1 I 2'3
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t ATTACHMENT-3 Regulatory Analysis ed
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. ~-
r . . g REGULATORY ANALYSIS
- 1. ACTION 1.1 Description
= The Commission is revising 10 CFR Part 73 to clarify and improve the reporting requirements for safeguards events. This effort includes conforming amendments to 10 CFR Parts 70, 72, 73 and 74.
1.2 Background of and Need for Proposed Action In 1973, the Commission established safeguards reporting requirements in order to be kept informed of events potentially inimical to public health and safety. These requirements solicited specific reports of unaccounted for ship-ments, incidents and attempts of theft or unlawful diversion of special nuclear
, -' material, or incidents and attempts of sabotage. It was determined, however, at a later date, that the Commission required reports of events that represent a loss of safeguards capability or are indicative of an overall plan to commit an act of theft or sabotage. The Commission was concerned that a substantial safety hazard could occur as a result of a deficiency.in the safeguards system.
In response to this concern, an amendment to 10 CFR S 73.71 was proposed in October 1979 (44 FR 60743) requiring reports of events threatening or lessening
- the effectiveness of the safeguards system. This amendment was published in January 1981-(46 FR 4858) as a new paragraph (c) to S 73.71. The purpose of paragraph (c) is to provide information concerning security system failures whereby the NRC could identify recurrent safeguards problems and generic issues.
The intention is to keep pertinent NRC Offices informed of problems at facil-ities so th'at security problems can be identified and eliminated. Since the promulgation of 6 73.71, licensees have commented that.the reporting requirements are confusing. This has led to. inconsistencies in what is reported and the level of detail provided- Without some level of uniformity ,
~ and detail, the usefulness of such; reports is limited because an adequate data base cannot be established for generic analysis. To reduce this confusion, the NRC is promulgating revisions to S 73.71 along with conforming amendments to
. 3 _
1 Attachment 3 e _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ . L. _
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- $$ 70.52r 72.52, 73.67,L and-74.11, and issuing 'a revised regulatory guide ~(5.62)-
~
to assist' licensees in determining what_should be' reported and to provide a.
~
l > format for Moing so. _ L c ;1.3 'Value Impact of Action " m 1.3.1 NRC Operations The revisionsLand associated guidance will facilitate analysis of safe-guards events by requiring standardized reporting and will improve analysis of y such events by requiring more. pertinent data to be reported. While'there will be a substantial decrease (80%) in the number of. telephonic and written follow-ff up reports,- NRC costs will increase because of the time required to analyze entries in the quarterly-submitted log. Based upon inspection of previous annual data, 600 safeguards events are made to the'NRC annually via telephone and require written follow-up reports. The estimate that an 80% decrease in these y reports will occur is based upon the inspection of actual' data. No impact to resources for NRC inspection of the program is anticipated.
- Current NRC Costs Are Estimated To Be:
a Documenting and analyzing reports (600 telephonic repcrts/yr/0.5 hr/ report x $60/hr) + (600 written reports /yr x 3 hrs / report x $60/hr)...$126K NRC Costs After Rule Revisions Are Estimated To Be: Assuming an 80% reduction in telephonic and written reporting and
~ the added requirement of log analysis (120 telephonic reports /yr/ _
'0.5 hr/ report x $60/hrC + (120 written reports /yr x 6 hrs / report x_
, $60/hr) + (12,180 log entries */yr/0.3 hr/ entry x $60/hr)...... 2.. $266K
~
Total increase.............................................. $1_40K
*This number represents the events that were previously required to be " recorded" only (75. sites x 3 events / site /wk x 52 weeks) + the 80% of 600 events previously required'to be reported within 1 hour that are now required to be logged only
. = 11,700'+ 480 = 12,180. -
2 Attachment 3
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"
- 1. 3. 2 Industry Operations
.The revisions to 10 CFR 73.71 are expected to reduce the burden on licensees due to the reduction in telephonic and written reports notwithstanding an increase in written report content and the required quarterly log submittal.
Current Cost to the Industry Assuming 600 reports made to the NRC' industry-wide on'an annual basis pursuant to S 73.71.
;.t .
' Telephonic Reports Assuming I hr/ report x 600 reports x $60/hr Industry Cost / year........................................ $36K Written Reports Assuming 24 hours / report x 600 reports x $60/ hour-Industry Cost / year ....................................... $864K Log Entries Assuming 0.3 hr/ event x 600 events x $60/hr Industry Cost / year........................................ $10.8K
" Recorded" Entries .
Assuming 75 sites average 3 events per week that are " recorded"
~
_ _ pursuant to 6 73.71 but not " logged" in the Safeguards Event' Log, I a ~ 0.3 hr/ event x 11,700 events x $60/hr
]IndustryCost/ year........................................'$210.6K Total Industry Cost / year....................................... $1121.4K-
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a -
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3 Attachment 3 I .
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New Estimated Costs to the Industry
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Telephonic Reports . Assuming an 80% reduction in telephonic reports based upon inspection of actual data, I hr/ report x 120 reports x $60/hr I nd u s t ry Co s t/ye a r. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 7. 2 K Written Reports Assuming an 80% reduction in telephonic reports based upon inspection of actual data and 32 hrs / report, 32 hrs / report x 120 reports x $60/hr I nd u s t ry C o s t/ye a r . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 23 0. 4 K Log Entries Assuming 75 sites average 3 events / week and 80% of previously telephonically reported events (480) are logged, (11,700 + 480) events x 0.3 hour event x $60./ hour I n du s t ry Co s t/ye a r . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 219. 2 K Reproduction of tog Assuming 5 log entries /page and 12,180 log entries yielcis 2,436 pages, reproduction costs of $.05/page, and .001 hr/page for
- clerical support at $19/hr. (2,436 pages x $.05/page) + (2,436 pages x .001 hr/page x $19/hr)
Industry Costs / year....................................... ..... $.15K _ i- .- l Total Industry Cost................................ .. ............. $451K - L. Annual Decrease to Industry........ ............................ ... $670.4K 1.3.3' _0ther Government Agencies Theactbnisnotexpectedtoaffectothergovernmentagencies. 4 Attachment 3 1
e' 1.3.4 The Public -
, The benefit to the public is reduced cost and better protection of nuclear power facilities because_ the NRC's ability to assess generic short-comings of security systems and thereby recommend or initiate improvement is
~ increased.
1.4 Decision on Proposed Action The benefit to be derived from this action is (1) a reduction in burden to the industry and (2) a more uniform and detailed data analysis system which will provide feedback to the industry for improving their safeguards systems. The alternative to rulemaking considered by the staff was to revise existing guidance in the areas of events to be reported and necessary content of written reports. Since the main problem. stems from the regulation itself the most appropriate solution is rule revision.
- 2. STATUTORY CONSIDERATIONS 2.1 NRC Authority The Atomic Energy Act of 1954, as amended, Section 161(B) provides author-ity for the Commission to prescribe regulations designed to protect the public health and minimize danger to life or property.
2.2 Need for Environmental Assessment This. proposed rule is the type of action described in categorical exclusion 10 CFR 51.55(c)(3). Therefore, neither an environmental impact statement nor an
~
environmental assesslment has been prepared for'this proposed rule.
- 2. 3 Relationship ~to Other' Existing or Proposed Regulations These regulations have been developed to be consistent and compatible with
, the present safety _ event repcrting requirements for power reactors (10 CFR 50,72 and 50.73) and to establish a comparable level for licensees authorized to uti-l lize or possess SNM. Evolving proposed NRC regulations nave'been considered to the extent practicable. - i i 5 Attachment 3 O e4 4 44D'
- p ATTACHMENT 4 Draft Public Announcement i
l - 1
- 6 I ._
b.. _ _ . . . _ _ _ _ _ . . _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _
]
. 1 "NRC AMENDS REPORTING REQUIREMENTS ~
FOR SAFEGUARDS EVENTS c, - The Nuclear Regulatory Commission is amending its regulations to clarify requirements which govern the reporting of safeguards events--incidents involv-ing the physical security of certain licensed nuclear facilities and activities. The purpose of these reports is to keep the NRC informed of incidents which potentially could endanger the public health and safety. They also provide an
-i information base which is useful in identifying and analyzing physical security problems which may be common to more than one facility or activity.
As amended, licensees are required to report to the NRC, by telephone and within one hour, significant events such as the theft of special nuclear material, acts of destruction against nuclear material and facilities, and the failure of major physical security systems. Written follow-up reports are required to be submitted to the NRC within 30 days. Less significant events are required to be recorded in a licensee event log and copies of the log provided to the NRC every three months. The former requirement that safeguards events be reported to the NRC by telephone within 24 hours with written follow-up reports to be submitted within five days has been dropped. In addition to the amended changes in reporting times, a new forkct for the reports is being adopted. Use of the format will standardize reports from different licensees and will improve the quantity and quality of information available to the NRC. m 1 Attachment 4
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4 W ATTACHMENT 5 Draft Congressional Letter l i 1 1 e-e' G
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DRAFT CONGRESSIONAL LETTER J-
Dear Mr. Chairman:
- Enclosed for your information is a copy of amendments to 10 CFR' Parts 70, 72, 73,'and 74 which are to be published'in the Federal Register.
' The Nuclear Regulatory Commission is amending its regulations to clarify and improve the safeguards event reporting system. The revisions will help the NRC establish a better data base for studying safeguards issues, decrease the licensee's reporting burden (number of reports made to the NRC) and decrease the licensee's cost for meeting the requirements.
Concurrent with the issuance of the amendments, the NRC staff is-issuing a revision to the companion Regulatory Guide. The amendments and the Regu-latory Guide have undergone public comment periods of 120 and 90 days, respectively. Sincerely,
Enclosure:
- 1. Federal Register Notice
- 2. Revised Regulatory Guide.
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Attachmerit 5
r s 1 . ATTACHMENT 6 Draft Weekly Staff Notes Item ese 4 m y e
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- 1 WEEKLY REPORT TO THE COMMISSION 0FFICE DE N'UCLEAR MATERIAL SAFETY AND SAFEGUARDS
~
k Fina! Rule Signed by EDO L
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On ,1987, the Executive Director for _ Operations approved amendments 10 CFR Part 73, " Physical Protection of Plants and Materials" t'o improve the clarity and effectiveness of the requirements for the reporting of safeguards events of S 73.71. The final rule also contains conforming amendments to 10 CFR Parts 70, 72, 73 and 74. i l 2 - Attachment 6
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- e. .
i ATTACHMENT 7 FRN - Proposed Rulemaking g
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e - # ^^ *# - M e e- ey W W 6 er+# 4 4'N te 'MONMMON
.aa/um reoaraa segister / Vel. So, No.186 / Tuesday. A=-..t 27.1985 / Prop-nd Rules .
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tido so, but caseranos of ooneideration ' an adegaste data baselergemede - - b,- le) An employee who has declined the. cannotbegiven anless comuments are
. analysis is lindted. For these reasear, f ~ opdoaalinsuresosmayelectitif(1)et least1yearhee elapsed almos the reesived on or bdoes this dets. - the c===hasa= le propoeles cianityng
"- i ~1 J
ofective date of his orherlest asommessasendcomumente to of theComuniasion,U.S.
- to se cra7043,7%
,F3.87.PsJs. and M.11 and lessing 3 decliestion er waiver. and (3) he er she Neclear tory Coonnission, revised guldmos to assist licensees te, Imenlebee setlefestory evidemos of Washington,DC20:53 Allention: determining whis events shouldbe?
- l. insurebauty. _
r Decketius and snvios arene. Daisver 4rep uted t ' .. ' . ....C. . - comments to: Roess 1121.1717 H Street : doingso.,angpavideadonnatBf , , NW., Washington,DC,between a:15 am
,'PARTSF2-AD0ffl0NAL.0PD00iA1. and 400 pm.
* p'. the distinction between an
* =%s potentlas tarest has near UFEINSURANCE Examtme osannants recalved and the T da e" is now moda , '
regalatoryanalysis at:heNRCPuhuc 4.In.ars. sos, paragraph (eX1)is . la the desertpuans arreportatiie) Doannant Room,1717 H Street NW., . h ofmejorand
. revised to read as follows:
Weebington,DC. . Jmoderatelosses been ahminated I srs.aor Caneseemen of d- a -m- ' ran nameen esponesAnoes coerracy: and by the descdotions of each . (t)(1) An employee who has declined I "ph Yarduaian (301) 43F-4010 or %pe.. lose.De losses are:" failures of **. the addedonalopdonallasurance may p'rinciBe A.Dwyer,(sos) 4ar-erra, . me =,3 system that could allow
- elect it if (I) at least 1 year has alspeed . Ramot3rRegulatory Reguiremente ananthertsed and undetected accese*
siam the efeceve date of his orherlast Sectica, Division of h ; A OElce and " failures that degrade the . declination or waiver, and (ii) he er she of Neclear MaterialSafety and efecevenus of the systma? Events that furnishes udsEsotary evidence of Safeguards, U.S. Noclear Regulatory must be sported are describedin a new inmabuity. #~ '
- Washington, DC 20555. Appendix G to part 73.
.. . . '.' . oupptansarrany esponasAfsose to CPR ne primaryimpact of the revised (FR Doc.m-meosNd m eies "" 73J1 establishes an event re MPorting @ onlicensees will program to inform the r ===<==taa porting of be an approxhnste aos domesseinthe -
*/ saamm o ne ana. w
* ""'""" safeguards events to perndt dady 'sumber of t% and wdtten 3.
response to incidents. The date from this reports to the NRC because.the twenty.' four hour telephonic noti 5 cation and
. ' NUCl2AR REGutA' TORY mportingprogram allows the ConstelSSON Cora= ==ian to determine th, associated foHow.ap written report si-86=--a of events to idendfy requirement has been deleted.nis
' 10 CFR Parte 70,7i,73, and 74 posdble generic problems in safeguards requirement can be deleted because the systems. revised requirements will ensure that all
' Changes to Safeguardo Reporting paragraphs (a) and(b) of 9 73J19eig dvents requiringimanediateNRC Requirements g -
Bret published in December 1973 (38 FR response wfD be reported within one. 35430).They require reports of s hour and those pertinent to NRC A23Nev: Nuclear Regulatory ' unaccounted for shipments of speciil analysis actfvities will be logged for Coounission. quarterly submittal anclear material, incidents or attempts Acviose % sed role. of theft or unlawful diversion of special & requirements of I 73J1 are suansAfrv:& Nucieer RegulaterF consistent with those of 55 scJ2 and
. nuclear attempts ofmaterial, and incidents or5053.
sabotage. Scbeequently, 'theEvents reported under Il 50s2 Commission proposes to amendits *
. regulations for the reporting of . ra'a=haian detonalmed that it alser'.-4 : and 5053 are safety-oriented in naturet safeguards events.
- Would clariry.tlie re,ne proposed porting M sts,, ca indicetive of ~ ride,s a loss - %eded of ambynardsg regiints of events security-oriented. N beto those repo proposed changes
- I 73J1 do not alter commitments made
'j i:. fer NRC ucens.ees and would impraesthe NRCsafegnards afen'evdaEWimmeE
. ct oftheft or' sabotage, lin rcoponn to k ruponre to b requirementsevent dain'basaVi(
of part
- 50. Events of a dual nature.having both squiring man nalform saf
, event
.Fports. Licensees who will affected the'Conunini'on concern that a safety and safeguards impact, do not J
.am power and nonpower reactors,bl ' substantial pubhc hazard could occe Es ' require duplicate reports, lefonnation on
. a result of a deficieheyin a given how to report events of a dual nature is tycle facilities, and some transporter.
' Beansee's sisternards program, an ' .. provided in a avised Regulatory Guida. .
.7 mPwton and exporters of special a wag.)noclIarmeterialThe
; eNRC +r' uses th, .. .. minsul=enttur10 44FR60743)'
CFE73J%wiIf S..e4%'-Yco-%Is pr ntains conforming amendswats to10
%., NPorted information to respond to irdiiiiis~edbiOctEd%sventsthat
. distinquires reports of . CFR 70.52,72.52,73.67, and 74.11 to "."
",f,. incidents and to idendfy potentially .
dueshoortak has R ' - J provide further consistency among lenaric safeguards problems.no - lessens the eHecdveness of a reporting requirements. A =a*Mk.to be deriged from this e ne Commission received a petithm
- "f.are thsielindnettom of- stion.yp/ geystem.This amendnientiiriis
. 4: W
. savingsafectedHemaseesand3he kJaimmy1981 B6 FR 4a58)in Saal ' forrulmaWy assigned Docket No.-
%which trtH resuh in. signiM4 form, as a new paragraph (c) to I 7331. " ' pRM 50-06 from the Nuclea isincie;the promal don ofic CFR.. . Backfitting and Reform C
- z. t.nNRC) and a more uIniform and detailed 6 7331,dm NRC' ,
- foundthatdie (NUBARG). As discussed ow, this mpwdag and dalstenalysis system; requirensets are fregnantlyv; proposed rule would grant a portloo of whichwiu d punidaImedback to the3 f,,;;
~
ed, that reports seliiidtied the petition.The petitioner has fuimpnwing safeguards ~. . ,- . pursuant to the regulation tack; requested that the Nuclear Regulatory b "-: ..
. . .".'. :. .. 'unifonnity, and that insufBelent deteilis Commission amend to CFR 50.54(pl:
- DATas:Sabm.it conunents by November reported for NRC analysia. Unless these 50.54(q); 50.55(e) 50.59(b); 5052(s); Part ,
- 27.1965. Coaunents received after this problems cari be corrected, the '
- 50. Appendix E, section 73J1: and the' J.;.j i date wu. be considered tf it is practical ' usefulness of these reports in developing Commission's NUREG's on Standard A 4 3: !
C*
.- . I i -
.M'N' r s Attachment 7 - p. k:
U m 44
.c '
e . Federal Register / Vol 50, No.106 / Tuesday. Angnat 27,1965 / PrW Rulee 'sogg .
.' echnicalSi 'htions with respect to =
year to s 17.s00 peryear, or a set ~ certain reporting requirements %e decrosis of over es percent.%Is is doe ~ noordkeeping ana " Security
. membersof this tiener are measures.
to the decrease in the number of reports constructing or opasstingnuclear that meet be made or sal ==8**ad by - INMN power reactors needforthe . of electricity underlicensee by afected licensees. %e costs to the NRC Accounting. Material control an'd the NRC.Utiutieslicensed by the NRC will decrease from the current cost of accounting. Nuclear materials. Penalty,
$72.000 per year to $68,000 per year. or a Reporting and reco dkeeping to operate nuclear power reactore are i
- currently subject to a variety of not deusase of 35 percent.%is is des to sya sats, Specialnodear material, l Mporting the reduction in 'afachana and written For the renams setou'!n the tsin conswetim reports which wC1resultlaless time with activities.%e petitioner preamble and nadar the authority of the suggests 'het the majority of these . spentby tbs NRCin documentingand Atomic Energy Ac.' ofif 44, as ='a-aAad analyzing the submittals. - - .the Energy NPorting requirements are valid and the he'Jon Act afig74, purpose they serve justlSes the Regulatwy Mty Ndon as amended. 8 WJ.C. 553, notim is l
. considerable time which must be hereby given that adopleo of'he
. . devoMto nnatin Based on theinformation avaSable at following*amendanni: to M Celt Parts C *, some of these ry.g asts .
them. Hmver, are.in the this stage of the ra6-tN promeding ' 70,72. 73 and 74 is contemplated. .
- opinionorduplicative. of the petitioner, Accordingly tin .
excessive and/. . Finihility Act of19e0. pART 5 70-U.S.C. DOMESTIC 006(b).and UCENSING OF in accord the Commlutonhaeby certiam thatif sPECtAL NUCf. EAR MATERIAL.
'. rW
. _- Pro'a= --'-A. this rule win not have a ~
reporting requirements df--8 la 1. na authocity citation for Part 70 is PRM 80-38 in order to promote mon be of H revised to read as fouowea efBcient use oflicanaam time and jnhould result in a reduction in burden to Asthe%Sece.at es. set tattat es resources.%Is pro rulemaking . ' afsted Mr ^ ^^ Souw transpwtas. ~~ Sta t 329. 930. 944. 963. 964, as amended. sec, responds y to section VIof the W and axpatem of strategic 2n as stat. 444. as amended (u u1C sari, 8paialnuclearmateriaMWand , so73. 220L 22:2. 2133. 22e2h secs. 20L es . - Ltition. Reporting Requirements 8 pent fuel may be affected by h rule. amanded.202.204. son as Stat tut. as taed wis to Cm 73.71.k & amended.1M4.1Ms.12e (c U.S.C Sen. section, the petitioner suggests that this- Each year out of approximately 600 sac, sets. sees). regulation be amended to provide that nputhvents, about thw come from Secdon 27 aho fund ude Pub.M-ee mquimd wdtten npets be h group which includes small entities. 80L sec. 20. s2 stat. 2sst (c U.s.C sest). . submitted by the licensee within 30 daye The NRCinvites enmments from these Section 70.21(s) also isswd under sec.122. es parties. Stat. 939 (42 UAC 2152). Sectfoc m31 alee ofinitial notification rather than within 15 days. According to the petitioner, & The proposed rule also affects . tuned udar uc. 37d. Pob.1. 95 377. as Sut. 1 would allow the licensee's staff more licensees who operate nodear power 47s (42 UAC to77k sections ro-se and m44 also tuned under sec.is4. es Stat est, as time during the critical period plants and fuel facilities under to CFR
.immediately following such occurence Parts 50 and 73.De companies that amended (c USC 22H).Section mai also tuued uder uca. see, tar. e4 Stat. 955 (c to devote to the resolution of the own these plants and facilities do not USC 22x 2227k section mas also laeoed problem itself and would mfM=,, fall with!n the scope of the definition of under sec. toe 6a Stat. 9se, as amended (c interference with daily operations. The "small entities" set forth in section
.. 'f%==61on agrees that it is desirable to 005(b) of the, Regulatory Flexibility Act U{Cgse axtend h particular reporting perio i1980. or within the definition of Small amended (c USC 2273): 1I m 3. m 19(c),
from15 to 30 days and has included .d Business Size Standards set out in m21(c) m22(a),(b).(d)-(k).70.24(s)and(b). regulations issued by the Small Business m.32(a) (3), (s), (e). (d). and (!). mae. mas . d.l.n provisions to do so in this proposed (b) and(etmute).m42(a) and tek mse,
. . ~ . - Ministration,in ts CF,R Parti:1. . . .. 70.57(b).(c),and(d).mse(s)-(g)(3),and(h)-
- f. -. rul-= =W= . 3 ~..: -. . - ,
1, EnvironmentalImgiact: Categorical Ilst of Subjects ... 7.,.,g gg;. . E. t- (I) an tuned under sec. ie:b. es stat. e4a. as l Exclusion '- w 3 77 - ~' amended (c USC 2201(b}): 1I mr.m20s 20 CBPW 70 -
* ' ' (*). and (d), m20b (c), and (ek m21(c).
5 %e NRC has determined that & .
' m24(b). 70.32(a)(ek (ck (d). (e). and (sk mae.
Ptoposed rule is the type of aetion Hazardous matenals-transportation, - ms1(cHsk 70.5e ms7 (b) and (dk msa(a)-
. ,.: described in categorical exclusion 10 Nuclear materials. Packagmg and . (gX3) and (hMI) are teemd unde uc. 2e11. es
.' -. CFR 81.22(c)(3).nerefore neither and. protection.
contabas. Pealty.'Radis x ;. . environmental impact statement nor an Reporting'and,hn .m *.-me' I I m20b Stat.s4e asmas, (d) and (e), ===mst Mad (42(!kU1C 2201(1 (b) and enviraa=-a'al assessment has been recedingkeeping requirements.. ~ - ms2. mss.70.54 mas.msa( X4k (kk and (1), MSS. and meo (b) and (c) are tuned PMpared for this proposed rule. p nudea ma
. Paperwork Reduction Statement
' 20 CG Pd 72 '.O' '-
NNh * * " * ' ** **" * ( '
- . This proposed rule amends '
' ' ' * ~ 11 T ' ' '
- 2. Section 70.52 is revised to read as' Y information collection requirements that Manpower train!Ng programs Nudear. follows: -
~
&re subject tok the Paperwork Reduction materials. Occupational safety and .1 f m52 Reports of accidental crit $ catty or -
Act of 1980 (44 U.S.C. 3501 et seq.). This health. Reporting and recordkeeping sees or thett or attempted theft of special rule has been submitted to the OfBee of requirements. Security measures. Spent nucseer matwtat. Mahagement and Budget for review and ID*I-
- cpproval of the peperwork - " -
# J - - (a) Each licensee shah notify the NRC mquimmeu. .
' 10 Cm Pm 73 T ~
Y- + ' ~ . Operations Center listed in Appendix A - of Part 73 of this chapter within one hour Regulatwy Analysis Hazardous materials-transportation, after discovery of any case of accidental
~ Incorporation by reference. Nuclear - criticality or any loss, other than normal ne costs toindustry will decrease materials. Nuclear power plants ud from the current cost'of S972.000 per operating loss, of special nuclear resctors. Penalty. Reporting and . material.
; , 34710 Federal Register / Vcl. 30 Ns.166 / Tuesday. August 27, 1985 / Proposed Rules -
Emergency Noti 5 cation Systemis C,s S J . .-m'gra(b) Each urenlum.235, or more of contained licensee who inoperativepossesses or unavailable, the one. licensee accordance with the provisions of I n.71 of this part.
*' uranium. ass,or umshaRnotify . , shall make the required noti 8cetion via * * . e e k.1 the'NRC Opers Centerlistedin commercial telephonic service or anY I
.- Annandix Aof Part ya of this chapter other dedicated telephonic system or 3. Section 73M is revised 2 read u to!),,g: l
.t : w%i noneboerafterdiscoveryof any any other method that will ensure that a
.C .'- loss or thalt or uniewflit diversion of reportla received by the HRC iW1 Meports of unassounted for we specialseclearmaterialwhfch the Operstions Caaterawithin one hour. **"*"'*' *"*P*ctos twts, or entwat licenseeis Beansed to possess or any He ===pHaa of I 73.21(gX3) apphes to "*"* **d d' **881prde meta, taddentin which an attempt has been au telephonic sporte required by this . (aX1) Eachlicenses sub) set to the -
sectica. . . . . . . . , . .provialons of Il 73.25. n.28, n.27(c). - (
- b. made
. tocomunit oris believed a theft to have been made or solawful diversion ' (c) Reports required under I n.71 n.37. 73.87(6), or n.87(g) aball motify the J **" of such material. .
need not be duplicated under the .. NRC Operations Center withianneh (c)This notiScation must be ma.de to requirements of this section. afterdiscoveryof thelossyny / the NRC Operations Center viathe shipment of SNM or sperAfuel, and Y
- 72- E .gf oti8cetionSystemif N the PAF73-PHYSICAL. PROTECTION OF within ene boar afterrr.covery ofor licensee is party to that system. lf the PL4NTS AND MATERIALS accountability for se:.a lost sh!rment. i
& EmergencFNot15 cation Systenis --
tive or unevallable, the haa- g.g.b **thMII 6% EPR . (2)This noti 8caton must be made to the NRC Operst!ans Centerlistedin 7I5 make the required noti 5 cation via comunardal telephonic service or other Part 73 is revised to reed as foDon Appendix A o'Part 73 of this chapter
^=thedt7: Secs. s:, tal, as stat om sea, se via the Eme:sency NotiLention System, ' ,v' dedicated telephonic system or any ****d*d. "e.147, M Stat. 7so (a UAC -
if the licensee is party to that system. If other method that will ensure that a W3,21st,237th we. 2m, as Stat 12c. as the EmergencyNotiscationsystemis T
,ww.
report la rece'ved by the NRC Operations Center 8 within one bour. ggq, we. 204, es Stat 1245 (c UAC inopnative or noivallable, the llansee Secuse ns7(f) te slee lashed moder e c. shell make the aquired notiScation via 201. Pab,L,95-295. M Stat 788 (42 UAC demercial blephonic service orother {W,#
%Re exemption all telephonic reports of I 73.21(g)(3) required by this applies to sa42 rete).
dedicated telephonie eystems or any section. - For the purposes of ac,22s. as Stat, esa, a,
- other mdhod that wi!! ensure that a (d) Reports requind under I 73.71 e aaaA A (u UAC 22n): 1i 73.22. n.17(at report is received by the NRC h..
need not be duplicated under the 73.35 are issued under sec.1sth, es Stat. rAa, Opentions Center
- within one hour.
requirements of this sectfon. as amended (42 UAC 2201(bD:1i 73A 73.24 n.25,73.28,73.27,73.27.n.40, n.45 The exemption of I 73.22(g)(3) app!!es to PART 72-.4.lCENSING n.46,73.50, n.ss,73.s7 are issued uder we,. all telepbcnicreports requi ed by this teti, es Stat 949, se amended (c UAC section. REQUIREMENTS FOR THE STORAGE OF SPENT FUEL AT AN INDEPENDENT 2201(I)): and 1173.20(c)t L n24(b41), (3) The licensee shall, upon request of SPENT FUEL STORAGE 73.2e(bx3). (b)te), and (kx4h n.27 i a) and ib). the NRC, maintain an open and INSTmTION - n.s7tt), n.40 (b) and (d), n.4e (g)(aj ans continuous communications channel (hX2) n.so(gx2), (3)fiu) (B) and (h), 1.ne authority diation for Part 72 is 73.55(b)(2). and (4XiUXB), n.70, n.11,73,72 with the initin! (4) The NRCtelephenic Operatiens Center. hon notiScs revised to read as foUows: an (nued under uc. teto, es Stat. sso, as must be followed within a period of Anthodry: Secs. 51. 53. 5'7, E2, ts, es, en, et. thirty (30) days by a writtim report
,%. lat. tar.183,184.187.139. 88 Stat s2n, s30, -
- 2. In i 7347, paragraphs (e)(3)(vii) and submitted to the U.S. Nucleat 932,1cs,en ass, Ha,353,954. ess, as (g)(3)(iii) an revised to read as follows: - Regulatory Nmha!on. Document cme amended, sec.2R 83 Stat 444, as amended Control Desk, Waaldngton, DC 20555,-
% . (42 USC 2071. 203. 2c77. 20E2. 2003,2005, 1 73.87 (Jconsee f!wd site oms in. transit The licensee shaB also snbmit one co *C-*7 aasa,2t11.2201.2232,2233.2254,224 2227, requeseents for tw phye6cet i.mwT~e of .
9 223e,22mh sec. 274. n Stat, ees. as amended esch to the appropriate NRC Regiona specisi w me,tertel of moderste ams - O! Bee listed in Appendix A to this part
-.. (42 UAC 2c21); eea. 2ct. as m.ndad. 2c7.
l** stretegu.vou,- . ' .-w t 20s, se Stat.1242, as amended.1244,124e (u * . * * ** .~ and if applicable the appropriate NRC m USC ss41, sac,564ek ecc.102, Pah, L 81 .[ .. Resident Inspectm. M (e) ..,
*** -ew N. (5) cJanhant supplemental 12183 Stat. s53 as amended (C UAC 4332).
Section 72.10 also isrued under Pub. L e6 G information which becomea avallable ess -(vii) Notify the NRC Center within one hour, .i Operations . ': %; . . after the initial telephonic no
-80t
,..qgg sec. tongto s2 Stat.re asst (c7UAC,<s,gs s
)a., after the the NRC Operations f'anw cr aftc the
.. g,g ,4 discovery of theloss of the sh!pment . submissinn of the written report must be yn, .
, ;." and within one hour after recovery of ce . telephonicaDy reported to the NRC c.- l72.52 neporte'of accidw encenty,, accountability for such lost shfpment in -
accordance with the provisions of Operations Centerlistedin Appendix A r
'i g . lose of specialnucsear matMat, of Part 73 of this chapter and also 1
'S - i 73.71 of thf a part. '
1 Ope) rations Centerlistedin Appendix A(a Each licensee shall notify bo NRC
--a**
**M submitted in a revised written report ty
_ of Part 73 of.this chapter within one..(8) hour* * *-* wa. the Regional QlBee, the Document V[
. n
- ControlDesk and if applicable the of discovery cf accidental cdticality or (3) t * *. -4.' " c v: appropriate Resident Inspector. Ermre any lose of special nuclear m.es.t_ -
(111) Conduct immediately a trace discovered in a written report amst b (b)nis notiBeation ruust be made to investigation of any shipment that is lost corrected in a revised report The ~
- the NRC Operations Center via the or unaccounted for after the estimated revised report must replace the previous Emertucy NotiScation System if the arrival time and notify the NRC report: therefore, the update must be a E .
O crasee is party td that system.lf the Operations Center within one hour after cornplete entity and not.contain only I _- - , the discovery of the loss of the abfpment supplernentary or revued information.
- Ca=
***'ames w w. r .u:nw, et tw me and within one hour efter recovery of or Each licensee shall *.nairnain a copy of
C"'.ar Maul so-osm secountability for such lost shipment in the written report of an event submitted g
Federal Register / Vcl So, N2.166 / Tceeday. AugMt 27. less / P:opased Rules 34723 L , ander thld sectiac as a record for o' . 4 A new Appendh G is cdded to read Fa tk purposes of see,213. es Slot. 00s, as o period of three yeere from the date of as followe: '
. **eded (42 UAc szn!,iI rut,7m.and the 7w am based endar sees. selb and sett, en OPd
- C .. SaloguesdeEmes (bXt) a h die '
Poemet = en p=wons of so crR Ts.n Est. Det see, as amended (4a UAC sant!b). asetot and is 7us.74.ss, med Fus em i > D'ovisions7&as,and2.87 ofshaR Il 73.30,73.37. soufy the NRC 2J0, n.58,
. Basseses sablest to the pewisieme lessed under sec.1sta, as asst, est as -
(b) and Ic), Operations Centerlistedin Appendix A eile CFR 73.3L 78.3r. 73.EE 75.EL 7144 and a = i-a (43 USC. 2201(oB. ~ ., ofPart 73 of this wlthis one hour . ssar shan rerset errecord, es appegetah, . ... thedenowles M " c ants. 2.Section ratt le mvised to read as . . ofCacovery of the events Lmonar se As5persedwiaWe ame!=arof foBowe:
- describedis aX1)of , dissesury, failsesed Ara w48w apser */. ,
,74g ,,,,, % m , ,, ,
- i. 73.37 Each possesses -4 *
,eeens , s,,s andcs,e ,a, r,ea, c..r.- -. .
- or me. .f ca.t ed .r m.
material (SSmi) and pubjet to ll 73.87 bas made a cmdible thent to commit er uranium 233, or plutonium shad actify l
' ~
a discover Center th one hoe after .
..J
"[
(al Sieni&ent phyesoal danese to an7i
$P" A e one hourof discomy of egylos_e, -
Part 73 thischay r ! P d=ame=y fla of the safeguards events phs max 2),(3),(b). l fastitty posseswas SENM or its equipmeot er or theft or other unlawful dimelon of' "1,and (:) of Gto this part. ~ ' senter ageiement transporting omdsar bei er special nuclear anatorial whk.h it is , (2)This motiScotion must be made in 8Past audaar fuel er le tbs anclear ful or ' licensed to possess, or any toddentin accordanos with the requirements of ePeat adear Asal a facility,ar carrier . which an attempt has been made to - paragraphs (eX2), (3), (4), and (5) of this ' poses'see:. . " commit a tisft orunle eful dimston of oudos. IU I"P** 'I "*'"'I P"*" 'I ' specialnocien* material.He (c)(1) Eachlicensee subject to the. .,
$7 8 "['b'
.. ,. provisions ofIl 73.20,73.37,73.50,7135, . machinery, components, or controle incinding- messa.d discards Owentory y; , , requhement does ist partain to . ,
.-;': 73.eth and each 11e=anaa ;-n - ' - the security systeen. "t"- - difference questitles. "n ' SSNM and sebject to ll 73.87(d), and '
(b) Amy fallare of a safeguards system or (b) This r'atiScation must be asde to
""- J noninherent vulnerability in a N 73A7(s) shah maintain a entrent los and the NRC Operations Center via the reqql the safeguards events desenbed system that could anow unauthorized or Emergeacy NotiScation System if the m paragraphs II.(a) and (b) of Appendix andetected access to a protected area, material accus area, controDed access ama. licensee is party to that system.
G to this part within 24 hours of [ discovery by alicensee emrloyee or o dtal ama. or tran8pM WMch p P IMe Emersucy Notification System 1% inoperative / t unavailable. the
. memberof thelicensee's contract security organizaticas. The licensee
.T[ $ p".,,*, ' ou s,,,y licensee shallcake the required inessum" for a particular safeguanis emt a, notification vi a commercial telephonic shall retain the log of events recorded und in this Appendix means a measum tbs.: service or ot) d dedicated telephonic under this section as a record for three is specified in a s'e curity or contingency p'an system or any other method that will ye'rs after the last entry is made in each
- or security procedure. If the partienlar log, ensure that a report is received by the safeguards event is not described in r. plan or NRC Operations Center
- within one
- 2) Every th:ee months, each licensee procedure, then a -' proper compusetwy sh(:ll submit to the NRC c.opies maeun of sneans all a suesumimple.mented hour.ne exemption of i 73.21(g){3) safegu:rdo event log entries not within to sr.inutes of an event a discovery ,, aEElie. s to all telephonic reports requbed previcussy submitted. Each licensee - - that provides a level of secur ty essentiany ~ by this section. .
~ equivaler.: to that existing befam the event (c) Reports required under i 73.71, r.nall robmit one copy each ofits log *C (c) Ary unauthorized entrin through a 1 need not be duplicated under the entr.'se to the U.S. Noclear Regulatory -engetred barrier (whether or not the event le
,,, Cr,mmission, Document Control Desk.* " property'aompenmu) . 3.W.iiW'T -. requirements of this section. %g Washington, DC 20555, and if applicable :.; n.Duner so be recorded wieus.w houn u DM *Anda. MYl ed M,..de7. L ' the appro riate NRC Resident inspector. andsoberitiedir: gaarrerlyley. ' , cf August.1ses. (d) Eac licensee shall submit to the (a) Any failm of a safegnants sysum or Fw the Nuclear Regulatry Conaimice. Commiasion the 30 day wdtten reports Yi"".t. vulasrability in a sptem that .
" Jack W. Roel n' .
and copies of the safeguards event los could allow unauthmized m andetected ., gecifyf.,,cutihmeforhrOpemtiorm . f entrise requbed under the provisions of ****
- ' this section that are of a quality which ,"4 m$$'u**,*,,',",',',",
[ Q.-{FR ,*g#I'Doc. 85-204s2 Filed ba6 48: a45 amf - - will permit legible reproduction and s 'axtrue:, port for which pmper - W' ~ au.s.o coor ne w m auru have been wtablished. ' micorgraphic processing. lf the facility is ' . (b) Any other falters of a s4 .* subject to i 50.73 of this chapter, the . system not included in peregre H.(a) pf bcenses aballprepa. the written re this appendix if the failure de FARM CREDrT ADMINISTRATION .
- on NRC Forms See and 36aA. If the. port *ff**ti*"* of the yysmsn. grades the , ,
facility is not subject to I 'io.73 of this ~ 12 CFR Parts 602,620,621 - ' f chapter. the licensee shall not use these PART'74-MATEhttAl CONThtOl'AND ~ ferms but shad prepare the written o 1 ACCOUNTING MATERIAL, OF SPECtAL NUCt. EAR ' to ShamholdersDisclosure
' f Informa report in letter format. In ef tb2r case the ,
report must include sufficient 1.ne authority dtation for Part 74 ACENCv: Farm Credit Administration /: information for NRC analysis and continues to read as follows:e ' ' '- svalu: tion. A cn o N:Propos' ed rule. N. 3,g.,y. ,. h sa s7, tet. ss2. M '
- (e) Duplicate reports are not required ' stat. s30,932. set., est 954 u amended. sec.- SUM 8&Any:%e Farm Credit for events that are also reportable in 234. as sta t. 444. as amended (42 UAC. 2cn. Ah tration (FCA), by its Federal accordance with ii 50.72 and 50.73 of zon,22on 2232. 223s 22s2) secs. 202. 20s, se Farm Credit Board (federal Board),
this chapter. , stat.1244,124a (42 UAc. 5842. sa4e). publishes for comment proposed new
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[ '* , ' S -l wAsHawovoN,0. C. 20555 . 4 \ e ['J-4+ . . . . . November 28, 1986 i MEMORANDUM.FOR: G. Wayne Kerr, Director Office of State Programs FROM: Harold R, Denton, Director Office of Nuclear Reactor Regulation
SUBJECT:
FINAL PROPERTY INSURANCE RULE This is in response to your memorandum to me, dated November 14, 1986, subject, "NRR Concurrence in Final Property Insurance Rule." We have reviewed the package on the Property Insurance Rule and find that the approach taken appears to be a workable, straightforward way to assure the finances necessary for safety and cleanup actions. In addition, this approach establishes the regulatory framework that enables such activities to be pursued on a basis and on a schedule consistent with the protection of the public health and safety. Therefore, I concur in this proposed property insurance rule. Harold R. Denton, Dire tor Office of Nuclear Reactor Regulation I I W f f l 2 O W 5 YA % f / _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ __ . . . _ _ _ . _ . _.. _ ]
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~ NUCLEAR REGULATORY COMMISSION WASHINGTON, D. C. 20655
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{ MEMORANDUM FOR:' Robert S. Wood v Licensee Relations Section Office of. State Programs
-FROM: Frank J. Congel, Chief Reliability and Risk Assessment Branch Division-of Safety Review and Oversight, NRR e
.5UBJECT: REVIEW OF FINAL PROPERTY INSURANCE RULE, E- 10 CFR 50, SECTION 50.54(w) t,; -
In response to your. memorandum of October 22, 1986, to me, subject NRR Review of Final. Property Insurance Rule, we have reviewed the draft rule and the draft Federal Register Notice, draft Regulatory Analysis, and draf t Backfit Analysis that_ accompanied it. We find that the requirements for the protection of the public health and safety, in particular with regard to cleanup for radiological protection of
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workers and the public, are satisfactory and consistent with experience with the aftemath of the TMI-2-accident.
# Following the TMI-2 accident there was no thorough quantitative evaluation of the. impact on the public health and safety of not cleaning up TMI-2 because the decision was made, basically a policy decision, that such an approach was Ill . not a viable alternative. The primary reasons were that the radioactive.
wastes.were not in forms which had been designed for long-term storage or disposal, the facility had not been designed for long-term storage or disposal, and- the site had not been selected for long-tem storage or disposal. Given another accident, it is likely that similar considerations would. apply, i.e.,
'i that it would be considered unacceptable to leave the facility in a condition in which it might pose a threat to the public health and safety. The approach in the proposed property insurance rule provides a way to assure the financing of the cost of a cleanup.
QJ Q Frank J. Congel, Chief Reliability and Risk Assessment Branch Division of Safety Review and Oversight cc: T. Speis B. Sheron J. Clifford M. Taylor L_ _ _ _ . -__ .__ _ __ --_2__ _____-________________________d}}