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May 6, 2021 Public Meeting (Observation) Slides for RAP Back Program Presentation to Industry(003)
	ML21125A037
Person / Time
Site:	Cooper
Issue date:	05/06/2021
From:	-Neednewvalue, Mccrobie J, Mills J, Mark Resner, Rogers J, Schuster E, Schwarting J; NRC/NSIR/DPCP/RSB, Nuclear Energy Institute, US Dept of Justice, Federal Bureau of Investigation (FBI)
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	Download: ML21125A037 (38)
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RAP Back Webinar Johnny Rogers, NEI Mark Resner, NRC Jeff Schwarting, James Mills, FBI Jonie McCrobie, FBI Erik Schuster, EAT Public Bioimetrics May 6, 2021

Agenda Time Activity Speaker 1:00-1:10 pm Introduction/Opening Remarks NRC/NEI 1:10-2:10 pm Overview of Records of Arrest and FBI Rap Back Team Prosecution Program (RAP Back) 2:10-2:30 pm Lessons Learned, Implementation Cooper Software Interface with RAP Back 2;30-2:45 pm Enrollment Process NRC 2:45-3:00 pm Questions Public

Introduction

Good afternoon, welcome to the members of the industry and public who are joining for this informational session on the RAP Back application

My name is Johnny Rogers, Senior Project Manager, NEI, cohosting this presentation with me today is Mark Resner, NRC, James Mills and Joni McCrobie FBI, Jeff Schwarting Manager Access Authorization and Fitness for Duty, Cooper Station, and Erik Schuster, EAT Public Bioimetrics

I would like to offer some opening remarks and then I will turn to the NRC for a few opening remarks.

Opening Remarks, NEI

Applying the RAP Back feature to nuclear access program has been discussed for many years. Weve had presentations at our conferences and discussed at our industry Task Force meetings

After years of discussion, our pilot site, Cooper station, under the leadership of Jeff Schwarting enrolled the first nuclear personnel into RAP Back

We are here today to learn more about the functionality of RAP Back for collective industry.

Opening Remarks, NEI

RAP Back offers real time arrest reporting

This strengthens the Insider Threat Mitigation program by providing program managers arrest information that may immediately be used for maintaining trustworthiness and reliability

RAP Back provides the potential to reduce or eliminate the need to reprint individuals during reinvestigations.

NEI recognizes and appreciates Jeff Schwarting and his diligence in getting RAP Back operational at Cooper station and look forward to his operational experience.

I would like to now turn to Mark Resner, NRC for opening remarks, and then I will explain the procedure for todays meeting.

NRC Opening Remarks

Mark Resner

As you know, the nuclear community operates in a well-defined environment but it is in some respects a microcosm of the larger community as a whole.

During times of social unrest, continuing to ensure trustworthiness and reliability is especially important.

Tools such as the FBI Rap Back Program will assist the nuclear community in ensuring trustworthiness and reliability.

Overall, it enhances the access authorization program.

NRC Opening Remarks

Significantly, on March 3, 2020, the first MOU for the industry between the NRC and Cooper Nuclear Plant was signed and since that time at least 77 individuals at Cooper have been enrolled into the Rap Back program.

We would like to recognize Mr. Jeff Schwarting for his efforts on this at Cooper, the FBI Rap Back Team (Joni Mccrobie and Jimmie Mills) for their invaluable, long-standing and continued assistance in getting Rap Back off the ground floor for the nuclear community, the Nuclear Energy Institute for its support and our professional IT support at the NRC in this effort.

RAP Back Overview, NRC

FBIs Record of Arrest and Prosecution (RAP) Back Service (RAP Back) is a tool designed to assist federal, state and local agencies with the continuous vetting of individuals who hold positions of trust.

The core function of FBIs Next Generation Identification (NGI) RAP Back Service is to provide real time notification to authorized entities when a person who has fingerprints on file within NGI is arrested or has criminal activity against those fingerprints.

RAP Back Overview, NRC

RAP Back is provided by the FBI at no additional cost beyond the normal cost associated with submitting the initial fingerprint card to the FBI for criminal history checks required by NRC for its licensees granting unescorted access to nuclear power plants.

With RAP Back, fingerprints would be retained until the individual subscription is canceled by the appropriate licensee/subscriber.

Merits of RAP Back, NRC

Strengthen the agency strategic goals for safety and security.

Support the agencys programmatic security functions as intended when the Commission established the NRCs Office of Nuclear Security and Incident Response in 2002.

Strengthen the Insider Mitigation Program and be a deterrent for failures to self-report.

Potential long-term resource efficiencies by foregoing the need to complete criminal history checks of licensee employees in connection with the 3 and 5-year reinvestigation requirements for critical group and others, respectively

Key Messages, NRC

Licensee participation in RAP Back is not required for licensees to meet NRCs regulations.

The voluntary use of RAP Back within the current criminal history system would be an enhancement to the Access Authorization Program that nuclear power plant (NPP) licensees currently utilize and allow NPP licensees to receive timely notification of a change to an individuals criminal history without solely relying on individual self-reporting.

Key Messages, NRC

Once enrolled, licensees will submit new fingerprints to RAP Back. It will not be retroactively applied to prior fingerprint submittals. Existing individuals will be captured into RAP Back at the time of reinvestigation.

Once the RAP Back infrastructure is in place, it could be made available to other NRC licensees, such as fuel cycle facilities, who may choose to participate in the RAP Back Program.

Opening Remarks, Meeting Procedure

Meeting Procedure: As we move through the slides:

All participants, please remain on mute

Members of the industry, please log questions in Chat, our monitor will recognize you and unmute you to ask your question.

Please include your name, site, and the question.

Members of public, we will monitor and recognize questions in the last 15 minutes of the meeting.

Jordan Henderson, NEI is our monitor for todays meeting.

FBI Presentation

FBI presenters James Mills and Jonie McCrobie you have the floor and may begin.

Next Generation Identification (NGI) Rap Back Services Presented by:

James Z. Mills Management and Program Analyst Identity Management Unit 15

Rap Back Overview How Does This Work?

UNCLASSIFIED 16

Definitions Rap Back- A major tool for suitability and investigative purposes that provides participating agencies with electronic notifications to the Submitter based on changes in Criminal History Records Information (CHRI).

Submitting Agency or Submitter- Refers to an authorized agency who submits fingerprints to the NGI System for background searches and Rap Back subscription.

Subscribing Entity or Subscriber- Refers to entities authorized to receive CHRI.

UNCLASSIFIED 17

Requirements Requirements within the Service:

Must Have Biometrics Criminal Justice Information Services (CJIS) Connection Electronic Biometric Transmission Specification (EBTS) 10.0 Rap Back capability Authority Suitable Privacy Statements (Noncriminal Only)

Completed Testing Completed Appendix 2 (Noncriminal Only)

UNCLASSIFIED 18

Authority to Receive CHRI Rap Back does not provide any new authority The CHRI an agency has access to currently, remains the same after Rap Back participation.

Rap Back does not provide access to additional data for those entities already authorized to receive CHRI.

Rap Back DOES provide more efficient access for entities already authorized to receive CHRI from the CJIS Division.

UNCLASSIFIED 19

Noncriminal Justice Rap Back Quick Facts Effects of Rap Back Solves the re-printing for license renewal issue.

Solves the snapshot in time issue associated with one-time background checks.

UNCLASSIFIED 20

Setting the Subscription There are two basic workflows for setting NGI Rap Back subscriptions:

SEARCH, RETAIN, and SUBSCRIBE If the Subscriber does not want to review the applicants FBI record before setting the subscription.

SEARCH and RETAIN followed by SUBSEQUENT SUBSCRIPTION If the Subscriber does want to review the applicants FBI record before setting the subscription.

The Submitter must agree with the Subscribers on which works best for their populations.

Subscribers control which Identities are subscribed UNCLASSIFIED 21

Subscription Flow Category I NRC- NGI Nuclear Plant -

Submitter Subscriber Civil Civil Civil Nuclear Plant #1 Category I Subscription Requested Nuclear Plant #1 Fingerprints are Confirmation of SRE Category I SRE Nuclear Plant #1 Subscription processed at Category I Added Nuclear Plant #1 Subscription UNCLASSIFIED 22

Subscription Flow Local Law Enforcement Arrest SIB Of Arresting NGI Agency CAR Criminal Criminal Civil Civil CAR SRE Positive ID Response SRE Nuclear Plant - NRC- Submitter Subscriber Rap Back Activity Rap Back Activity Notification for Notification for Nuclear Plant #1 RBN Nuclear Plant # 1 Category I RBN Nuclear Plant #1 Category I Subscription Subscription Rap Back Activity Rap Back Activity Notification for Nuclear Plant #2 RBN Nuclear Plant #2 RBN Notification for Nuclear Plant #2 Category I Category I Subscription Subscription UNCLASSIFIED 23

Triggers Automatic Criminal - The NGI System will notify the Subscriber anytime a subscribed Identity is arrested Options Dispositions - Including Expunge/Partial Expungement Warrant Entry/Deletion Sex Offender Registry Entry/Deletion Death Notices - With Prints/Without Prints UNCLASSIFIED 24

Subscription Expiration The Rap Back Expiration Date (RBXD) is the date a subscription must be validated based on the chosen Privacy Risk Mitigation Strategy.

Expiration dates may be extended by selecting the Replace maintenance indicator when submitting a Rap Back Maintenance Request (RBMNT).

UNCLASSIFIED 25

Maintenance Transactions The Rap Back Maintenance Request (RBMNT) is a transaction that allows for changes to Rap Back Subscriptions.

The Rap Back Maintenance Indicator (RBMI) determines the type of maintenance requested.

Replace, Cancel, Uncancel, Append, Delete UNCLASSIFIED 26

Validation / Expiration Processing Privacy Risk Mitigation Strategies drive validation.

Validation is accomplished via mandatory expiration dates.

To assist in validation, the CJIS Division will provide:

Monthly validation / expiration lists through Law Enforcement Enterprise Portal (LEEP) portal.

Lists of canceled subscriptions for each month through the LEEP portal.

10-day Rap Back Renewal Reminders through EBTS notifications.

UNCLASSIFIED 27

Training and Auditing The CJIS Division will provide:

NGI Noncriminal Justice Policy and Implementation Guides Submitter/CJIS Agreement (Appendix 2)

PowerPoint Presentations & Teleconferences Submitters must train Subscribers.

Subscribers must understand NGI Rap Back requirements Subscribers must establish internal processes to support NGI Rap Back requirements Rap Back will be included in the CJIS Division audit cycles.

UNCLASSIFIED 28

Contact Information James Z. Mills Management and Program Analyst Identity Management Unit Work: (304) 625-9726 E-mail: jzmills@fbi.gov rap_back@fbi.gov 29 UNCLASSIFIED 15

Cooper Station Presentation, Jeff Schwarting, Cross Match Representative Erik Schuster

FBI Records Check, RAP Back

32 Licensee Enrollment Process for Rap Back Required Documentation:

Licensee are required to establish a Memorandum of Understanding (MOU) with the U.S.

Nuclear Regulatory Commission, Office of Nuclear Security and Incident Response regarding the agreed responsibilities of the parties for the submission of noncriminal justice fingerprints to be retained in the Federal Bureau of Investigations (FBI) Next Generation Identification's (NGl) Rap Back Service.

The NRC and the respective licensee enter into this MOU under the authority of 42 U.S.

Code § 2169 - Fingerprinting for criminal history record checks.

A formal request from the respective licensee is required as it is a voluntary program.

Please contact the Division of Physical and Cyber Security Policy, Attn: Criminal History Program (RAP Back Enrollment), Mail Stop T-07D04M, 11545 Rockville Pike, Rockville, MD 20852.

Licensee Responsibilities Licensees shall:

1. Update their consent form for fingerprinting using the language provided by the NRC before any submissions of fingerprints into the Rap Back Service.

2. Properly collect an individual's fingerprints and use ORI XXXXX to submit all fingerprints to the Rap Back Service [using the NRC's Electronic Information Exchange or sending them to the NRC's Criminal History Program in the Mail.

3. Ensure that all fingerprint submissions are properly and adequately completed.

4. Identify the subscription and expiration date of each individual's fingerprints. The Privacy Risk Mitigation Strategy requires review and validation of all subscriptions at least every five years.

Licensee Responsibilities (continued)

5. Designation of two (2) Points of Contact. As a condition for participating in the FBl NGI Rap Back Service, the licensee shall designate two individuals who will serve as Reviewing Officials for the licensee.

6. Licensee shall properly protect individual's personally identifiable information and fingerprints and not disclose it to anyone without a need-to-know under the licensees system of records.

NRC Responsibilities The NRC will:

1. Process all fingerprints received for submittal to the FBI.

2. Receive all Rap Back Service notifications, contact appropriate licensee and conduct verification process regarding the individual before providing Rap Back Service notifications to ensure the licensee still has a need-to-know for a particular individual.

3. Upon notification from the appropriate licensee, update individual's expiration date or renew expiration date of individual, as appropriate.

Questions From the Public?

Thank you for attending the webinar today.

jdr@nei.org 202-329-4081

ML21125A037

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