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| {{Adams | | {{Adams |
| | number = ML052870511 | | | number = ML080940299 |
| | issue date = 04/30/2003 | | | issue date = 04/03/2008 |
| | title = 2005/04/30-NRC Regulatory Issue Summary 2003-08 Protection of Safeguards Information from Unauthorized Disclosure | | | title = Summary of Safeguards Information Requirements, Attachment 1 to NRC Regulatory Issue Summary 2003-08: Protection of Safeguards Information from Unauthorized Disclosure |
| | author name = Beckner W D, Miller C L | | | author name = Munday J |
| | author affiliation = NRC/NMSS/IMNS, NRC/NRR/DRIP | | | author affiliation = NRC/RGN-II/DRS/PSB2 |
| | addressee name = | | | addressee name = |
| | addressee affiliation = | | | addressee affiliation = |
| | docket = WM-00011 | | | docket = 05000390, 05000391 |
| | license number = PRE | | | license number = CPPR-0092, NPF-090 |
| | contact person = SECY RAS | | | contact person = |
| | case reference number = ASLBP 04-829-01-PAPO, HLW-PAP0-000150, PAPO-00 | | | case reference number = RIS-03-008 |
| | document report number = RIS-03-008
| | | document type = Report, Technical |
| | package number = ML052870505
| | | page count = 4 |
| | document type = NRC Regulatory Issue Summary | |
| | page count = 8 | |
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| See also: [[followed by::RIS 2003-08]]
| | {{#Wiki_filter: SUMMARY OF SAFEGUARDS INFORMATION REQUIREMENTS |
| | I. AUTHORITY |
| | The Atomic Energy Act of 1954, as amended, 42 U.S.C. §§ 2011 et seq. (Act), grants the Nuclear Regulatory Commission broad and unique authority to prohibit the unauthorized disclosure of Safeguards Information upon a determination that the unauthorized disclosure of such information could reasonably be expected to have a significant adverse effect on the health and safety of the public or the common defense and security by significantly increasing the likelihood of theft, diversion, or sabotage of materials or facilities subject to NRC jurisdiction. |
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| =Text=
| | Section 147 of the Act, 42 U.S.C. § 2167. |
| {{#Wiki_filter:
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| [[Issue date::April 30, 2003]]
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| NRC REGULATORY ISSUE SUMMARY 2003-08PROTECTION OF FROM UNAUTHORIZED DISCLOSURE ADDRESSEESAll holders of operating licenses for nuclear power reactors, decommissioning reactor facilities,independent spent fuel storage installations, research and test reactors, large panoramic and underwater irradiators, and fuel cycle facilities.INTENTThe U.S. Nuclear Regulatory Commission (NRC) is issuing this regulatory issue summary (RIS)and the attached Summary of Safeguards Information Requirements to inform addressees of the importance of protecting Safeguards Information from inadvertent release and unauthorized disclosur The need to protect sensitive security information from inadvertent release and unauthorized disclosure which might compromise the security of nuclear facilities is heightened since the events of September 11, 200 Addressees, including all cognizant personnel, have a continuing obligation to be mindful of their responsibilities in protecting such security informatio Although many addressees have extensive experience in complying with applicable regulations related to handling and protection of Safeguards Information, additional licensees and individuals with limited or no experience in this area may now or soon will be covered by these requirement This RIS is intended to serve as a consolidated source of information to reinforce the overall knowledge of Safeguards Information requirements as well as to highlight the serious consequences for failure to control and protect it.Licensees are encouraged to broadly disseminate this information to affected employees and topost the attached Summary of Safeguards Information Requirements in areas where employees who handle Safeguards Information are locate BACKGROUNDSeveral recent events involving published articles or comments to the media demonstrate theneed for the NRC to reemphasize the importance of protecting Safeguards Information from inadvertent release and unauthorized disclosur The release of this information, for example, could result in harm to the public health and safety and the Nations common defense and security, as well as damage to the Nations critical infrastructure, including nuclear power plants and other facilities licensed and regulated by the NRC. ML031150743 RIS 2003-08Page 2 of 4SUMMARY OF ISSUESafeguards Information is a special category of sensitive unclassified information authorized bySection 147 of the Atomic Energy Act of 1954, as amended (the Act), to be protecte While Safeguards Information is considered sensitive unclassified information, it is handled and protected more like classified confidential information than like other sensitive unclassified information (e.g., privacy and proprietary information). Access to Safeguards Information is controlled by a valid need-to-know and an indication of trustworthiness normally obtained through a background chec The criteria for designating special nuclear material and power reactor information as Safeguards Information and associated restrictions on access to and protection of Safeguards Information are codified in Section 73.21 of Title 10 of the Code ofFederal Regulations (10 CFR 73.21). Part 73 applies to licensees of operating power reactors,research and test reactors, decommissioning facilities, facilities transporting irradiated reactor fuel, fuel cycle facilities, and spent fuel storage installation Examples of the types of information designated as Safeguards Information include the physical security plan for a nuclear facility or site possessing special nuclear material, the design features of the physical protection system, operational procedures for the security organization, improvements or upgrades to the security system, and vulnerabilities or weaknesses not yet corrected, and such other information as the Commission may designate by orde An example of additional information designated by order is the January 7, 2003 order to operating power reactor licensees concerning access authorization program That order made the details of NRCs enhanced access authorization requirements and licensee response to these requirements Safeguards Informatio Another example is the April 29, 2003 order to operating power reactor licensees concerning security force training requirements.In addition to the licensees subject to the Safeguards Information requirements of Part 73, andthe types of information designated as Safeguards Information under those regulations, the Commission has authority under Section 147 to designate, by regulation or order, other types of information as Safeguards Informatio For example, Section 147 allows the Commission to designate . . . a licensees or applicants detailed . . . security measures (including security plans,procedures and equipment) for the physical protection of source material or byproduct material, by whomever possessed, whether in transit or at fixed sites, in quantities determined by the Commission to be significant to the public health and safety or the common defense and security . . . to be Safeguards Informatio The Commission also may, by order, impose SafeguardsInformation handling requirements on these other licensee An example of this type of order is the March 25, 2002 order to Honeywell International, a uranium conversion facilit Violations of Safeguards Information handling requirements, whether those of Part 73 or those imposed by order, are equally subject to the applicable civil and criminal sanctions, as discussed below and in the attached Summary of Safeguards Information Requirement Employees, past or present, and all persons who have had access to Safeguards Informationhave a continuing obligation to protect Safeguards Information against inadvertent release and unauthorized disclosur The NRC staff and licensees have discovered several cases where Safeguards Information was inadvertently included in uncontrolled plant documents and documents intended for distribution to the publi Documents or other forms of communication RIS 2003-08Page 3 of 4that include discussions about plant security should be reviewed carefully to ensure thatSafeguards Information is not physically included or that plant security is not otherwise being compromise Attachment 1 to this RIS further explains licensee and individual responsibilities under current regulations, issued Orders, and future Orders regarding the protection of Safeguards Information, and addresses penalties for inadequate protection and unauthorized disclosure.Licensees are reminded that information designated as Safeguards Information must bewithheld from public disclosure and must be physically controlled and protecte Physical protection requirements include (1) secure storage, (2) document marking, (3) access restricted to authorized individuals, (4) limited reproduction, (5) protected transmission, and (6) enhanced automatic data processing system control Changes are being proposed to NRC regulations applicable to Safeguards Information as a result of ongoing evaluation Personnel security controls, including background checks and other means, are in effect for individuals authorized access to Safeguards Information, as is the strict adherence to the need-to-know principl Inadequate protection of Safeguards Information, including inadvertent release andunauthorized disclosure, may result in civil and/or criminal penaltie The Act explicitly provides in Section 147a that any person, whether or not a licensee of the Commission, who violates any regulations adopted under this section shall be subject to the civil monetary penalties of Section 234 of the Ac Furthermore, willful violation of any regulation or order governing Safeguards Information is a felony subject to criminal penalties in the form of fines or imprisonment, or both, as prescribed in Section 223 of the Ac The specific penalties associated with such violations will be determined by the staff in its implementation of the NRC Enforcement Policy, and the discretion of the Commission based on the details and significance of any violatio Statutory maximum penalties are addressed in Attachment 1. The NRC will continue to evaluate its requirements, policies and guidance concerning theprotection and unauthorized disclosure of Safeguards Informatio Licensees and other stakeholders will be informed of proposed revisions or clarifications. BACKFIT DISCUSSIONThe RIS and the attachment do not request any action or written response; therefore, the staffdid not perform a backfit analysis.FEDERAL REGISTER NOTIFICATIONA notice of opportunity for public comment on this RIS was not published in the FederalRegiste RIS 2003-08Page 4 of 4PAPERWORK REDUCTION ACT STATEMENTThis RIS does not request any information collection and, therefore, is not subject to thePaperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). If you have any questions about this matter, please contact the person listed below./RA//RA/Charles L. Miller, Director William D. Beckner, Program Director Division of Industrial andOperating Reactor Improvements Program Medical Nuclear SafetyDivision of Regulatory Improvement Programs Office of Nuclear Materials SafetyOffice of Nuclear Reactor Regulation and SafeguardsContact: Bernard Stapleton, NSIR(301) 415-2432 E-mail: bws2@nrc.gov
| | For licensees and any other person, whether or not a licensee (primarily 10 C.F.R. Part 50 |
| | reactor licensees, 10 C.F.R. Part 70 licensees for special nuclear material, and their employees and contractors) subject to the requirements in 10 C.F.R. Part 73, Safeguards Information is defined by NRC regulation as follows: |
| | Safeguards Information means information not otherwise classified as National Security Information or Restricted Data which specifically identifies a licensee's or applicant's detailed, (1) security measures for the physical protection of special nuclear material, or (2) security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilities. |
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| ===Attachments:===
| | 10 C.F.R. § 73.2. |
| Summary of Safeguards Information Requirements List of Recently Issued NRC Regulatory Issue Summaries Attachment 1RIS 2003-08 Page 1 of 4SUMMARY OF REQUIREMENTS AUTHORITYThe Atomic Energy Act of 1954, as amended, 42 U.S.C. §§ 2011 et seq. (Act), grants theNuclear Regulatory Commission broad and unique authority to prohibit the unauthorized disclosure of Safeguards Information upon a determination that the unauthorized disclosure of such information could reasonably be expected to have a significant adverse effect on the health and safety of the public or the common defense and security by significantly increasing the likelihood of theft, diversion, or sabotage of materials or facilities subject to NRC jurisdiction.
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| Section 147 of the Act, 42 U.S.C. § 216 For licensees and any other person, whether or not a licensee (primarily 10 C.F.R. Part 50reactor licensees, 10 C.F.R. Part 70 licensees for special nuclear material, and their employees and contractors) subject to the requirements in 10 C.F.R. Part 73, Safeguards Information is defined by NRC regulation as follows:Safeguards Information means information not otherwise classified as NationalSecurity Information or Restricted Data which specifically identifies a licensee's or applicant's detailed, (1) security measures for the physical protection of special nuclear material, or (2) security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilitie C.F.R. § 73.2.
| | Specific requirements for the protection of Safeguards Information are contained in |
| | 10 C.F.R. § 73.21. Access to Safeguards Information is limited as follows: |
| | (c) Access to Safeguards Information. (1) Except as the Commission may otherwise authorize, no person may have access to Safeguards Information unless the person has an established "need to know" for the information and is: |
| | (i) An employee, agent, or contractor of an applicant, a licensee, the Commission, or the United States Government. However, an individual to be authorized access to Safeguards Information by a nuclear power reactor applicant or licensee must undergo a Federal Bureau of Investigation criminal history check to the extent required by 10 CFR 73.57; |
| | (ii) A member of a duly authorized committee of the Congress; |
| | (iii) The Governor of a State or designated representatives; |
| | (iv) A representative of the International Atomic Energy Agency (IAEA) engaged in activities associated with the U.S./IAEA Safeguards Agreement who has been certified by the NRC; |
| | Enclosure 3 (v) A member of a state or local law enforcement authority that is responsible for responding to requests for assistance during safeguards emergencies; or (vi) An individual to whom disclosure is ordered pursuant to § 2.744(e) of this chapter [10 CFR 2.744(e)]. |
| | (2) Except as the Commission may otherwise authorize, no person may disclose Safeguards Information to any other person except as set forth in paragraph (c)(1) of this section. |
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| Specific requirements for the protection of Safeguards Information are contained in10 C.F.R. § 73.2 Access to Safeguards Information is limited as follows:(c)Access to Safeguards Informatio (1) Except as the Commission mayotherwise authorize, no person may have access to Safeguards Information unless the person has an established "need to know" for the information and is: (i) An employee, agent, or contractor of an applicant, a licensee, theCommission, or the United States Governmen However, an individual to be authorized access to Safeguards Information by a nuclear power reactor applicant or licensee must undergo a Federal Bureau of Investigation criminal history check to the extent required by 10 CFR 73.57; (ii) A member of a duly authorized committee of the Congress; (iii) The Governor of a State or designated representatives; (iv) A representative of the International Atomic Energy Agency (IAEA) engagedin activities associated with the U.S./IAEA Safeguards Agreement who has been certified by the NRC; Attachment 1RIS 2003-08 Page 2 of 4 (v) A member of a state or local law enforcement authority that is responsible forresponding to requests for assistance during safeguards emergencies; or(vi) An individual to whom disclosure is ordered pursuant to § 2.744(e) of thischapter [10 CFR 2.744(e)]. (2) Except as the Commission may otherwise authorize, no person may discloseSafeguards Information to any other person except as set forth in paragraph (c)(1) of this sectio C.F.R. § 73.21(c).
| | 10 C.F.R. § 73.21(c). |
| | The need to know requirement is specified by NRC regulation as follows: |
| | Need to know means a determination by a person having responsibility for protecting Safeguards Information that a proposed recipient's access to Safeguards Information is necessary in the performance of official, contractual, or licensee duties of employment. |
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| The need to know requirement is specified by NRC regulation as follows:Need to know means a determination by a person having responsibility forprotecting Safeguards Information that a proposed recipient's access to Safeguards Information is necessary in the performance of official, contractual, or licensee duties of employment.10 C.F.R. § 73.2.
| | 10 C.F.R. § 73.2. |
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| Thus, unless otherwise authorized by the Commission, NRC regulations limit access toSafeguards Information to certain specified individuals who have been determined to have a need to know, i.e., specified individuals whose access has been determined to be necessary in the performance of official, contractual or licensee duties of employmen Furthermore, except as otherwise authorized by the Commission, no person may discloseSafeguards Information to any other person unless that other person is one of the specified persons listed in 10 C.F.R. § 73.21(c)(1) and that person also has a need to know. | | Thus, unless otherwise authorized by the Commission, NRC regulations limit access to Safeguards Information to certain specified individuals who have been determined to have a need to know, i.e., specified individuals whose access has been determined to be necessary in the performance of official, contractual or licensee duties of employment. |
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| 10 C.F.R. § 73.21(c)(2). These regulations and prohibitions on unauthorized disclosure of Safeguards Information are applicable to all licensees and all individuals:This part [10 C.F.R. Part 73] prescribes requirements for the protection ofSafeguards Information in the hands of any person, whether or not a licensee of the Commission, who produces, receives, or acquires Safeguards Information.10 C.F.R. § 73.1(b)(7).
| | Furthermore, except as otherwise authorized by the Commission, no person may disclose Safeguards Information to any other person unless that other person is one of the specified persons listed in 10 C.F.R. § 73.21(c)(1) and that person also has a need to know. |
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| The Commissions statutory authority to protect and prohibit the unauthorized disclosure ofSafeguards Information is even broader than is reflected in these regulation Section 147 of the Act grants the Commission explicit authority to issue such orders, as necessary to prohibit the unauthorized disclosure of safeguards information . . . . This authority extends to information concerning special nuclear material, source material, and byproduct material, as well as production and utilization facilitie Attachment 1RIS 2003-08 Page 3 of 4The Act explicitly provides: Any person, whether or not a licensee of the Commission, whoviolates any regulations adopted under this section shall be subject to the civil monetarypenalties of Section 234 of this Ac Section 147a of the Ac Section 234a of the Act provides for a civil monetary penalty not to exceed $120,000 for each violatio See10 C.F.R. § 2.205(j) (2003). Furthermore, a willful violation of any regulation or order governing Safeguards Information is a felony subject to criminal penalties in the form of fines or imprisonment, or both. See Sections 147b and 223a of the Act. The NRC Enforcement Policy outlines potential NRC actions against both licensees andindividuals for violations of the regulations and Orders using criteria that evaluate both the details and severity of the violatio I DISCUSSIONAll licensees and all other persons who now have, or in the future may have, access toSafeguards Information must comply with all applicable requirements delineated in regulations and Orders governing the handling and unauthorized disclosure of Safeguards Informatio As stipulated in 10 C.F.R. § 73.21(a), licensees and persons who produce, receive or acquire Safeguards Information are required to ensure that Safeguards Information is protected against unauthorized disclosur To meet this requirement, licensees and persons subject to 10 C.F.R. § 73.21(a) shall establish and maintain an information protection system governing the proper handling and unauthorized disclosure of Safeguards Informatio All licensees should be aware that since the requirements of 10 C.F.R. § 73.21(a) apply to all persons who receive Safeguards Information, they apply to all contractors whose employees may have access to Safeguards Information and they must either adhere to the licensees policies and procedures on Safeguards Information or develop, maintain and implement their own information protection system, but the licensees remain responsible for the conduct of their contractor The elements of the required information protection system are specified in 10 C.F.R. § 73.21(b) through (i). The information protection system must address, at a minimum, the following: the general performance requirement that each person who produces, receives, or acquires Safeguards Information shall ensure that Safeguards Information is protected against unauthorized disclosure; protection of Safeguards Information at fixed sites, in use and in storage, and while in transit; inspections, audits and evaluations; correspondence containing Safeguards Information; access to Safeguards Information; preparation, marking, reproduction and destruction of documents; external transmission of documents; use of automatic data processing systems; and removal of the Safeguards Information category.As noted above, in addition to the responsibility of each licensee to ensure that all of itsemployees, contractors and subcontractors, and their employees comply with applicable requirements, all contractors, subcontractors, and individual employees also are individually responsible for complying with applicable requirements and all are subject to civil and criminal sanctions for failures to compl The NRC considers that violations of the requirements applicable to the handling of Safeguards Information are a serious breach of adequate protection of the public health and safety and the common defense and security of the United State Attachment 1RIS 2003-08 Page 4 of 4As a result, the staff intends to use the NRC Enforcement Policy, including the discretion toincrease penalties for violations, to determine appropriate sanctions against licensees andindividuals who violate these requirement In addition, the Commission may use its discretion, based on the severity of the violation, to further increase the penalty for any violation up to the statutory maximu Willful violations of these requirements will also be referred to the Department of Justice for a determination of whether criminal penalties will be pursued. | | 10 C.F.R. § 73.21(c)(2). These regulations and prohibitions on unauthorized disclosure of Safeguards Information are applicable to all licensees and all individuals: |
| | This part [10 C.F.R. Part 73] prescribes requirements for the protection of Safeguards Information in the hands of any person, whether or not a licensee of the Commission, who produces, receives, or acquires Safeguards Information. |
| | |
| | 10 C.F.R. § 73.1(b)(7). |
| | The Commissions statutory authority to protect and prohibit the unauthorized disclosure of Safeguards Information is even broader than is reflected in these regulations. Section 147 of the Act grants the Commission explicit authority to issue such orders, as necessary to prohibit the unauthorized disclosure of safeguards information . . . . This authority extends to information concerning special nuclear material, source material, and byproduct material, as well as production and utilization facilities. |
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| | Enclosure 3 The Act explicitly provides: Any person, whether or not a licensee of the Commission, who violates any regulations adopted under this section shall be subject to the civil monetary penalties of Section 234 of this Act. Section 147a of the Act. Section 234a of the Act provides for a civil monetary penalty not to exceed $120,000 for each violation. See |
| | 10 C.F.R. § 2.205(j) (2003). Furthermore, a willful violation of any regulation or order governing Safeguards Information is a felony subject to criminal penalties in the form of fines or imprisonment, or both. See Sections 147b and 223a of the Act. |
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| | The NRC Enforcement Policy outlines potential NRC actions against both licensees and individuals for violations of the regulations and Orders using criteria that evaluate both the details and severity of the violation. |
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| | II. DISCUSSION |
| | All licensees and all other persons who now have, or in the future may have, access to Safeguards Information must comply with all applicable requirements delineated in regulations and Orders governing the handling and unauthorized disclosure of Safeguards Information. As stipulated in 10 C.F.R. § 73.21(a), licensees and persons who produce, receive or acquire Safeguards Information are required to ensure that Safeguards Information is protected against unauthorized disclosure. To meet this requirement, licensees and persons subject to |
| | 10 C.F.R. § 73.21(a) shall establish and maintain an information protection system governing the proper handling and unauthorized disclosure of Safeguards Information. All licensees should be aware that since the requirements of 10 C.F.R. § 73.21(a) apply to all persons who receive Safeguards Information, they apply to all contractors whose employees may have access to Safeguards Information and they must either adhere to the licensees policies and procedures on Safeguards Information or develop, maintain and implement their own information protection system, but the licensees remain responsible for the conduct of their contractors. The elements of the required information protection system are specified in |
| | 10 C.F.R. § 73.21(b) through (i). The information protection system must address, at a minimum, the following: the general performance requirement that each person who produces, receives, or acquires Safeguards Information shall ensure that Safeguards Information is protected against unauthorized disclosure; protection of Safeguards Information at fixed sites, in use and in storage, and while in transit; inspections, audits and evaluations; correspondence containing Safeguards Information; access to Safeguards Information; preparation, marking, reproduction and destruction of documents; external transmission of documents; use of automatic data processing systems; and removal of the Safeguards Information category. |
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| | As noted above, in addition to the responsibility of each licensee to ensure that all of its employees, contractors and subcontractors, and their employees comply with applicable requirements, all contractors, subcontractors, and individual employees also are individually responsible for complying with applicable requirements and all are subject to civil and criminal sanctions for failures to comply. The NRC considers that violations of the requirements applicable to the handling of Safeguards Information are a serious breach of adequate protection of the public health and safety and the common defense and security of the United States. |
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| | Enclosure 3 As a result, the staff intends to use the NRC Enforcement Policy, including the discretion to increase penalties for violations, to determine appropriate sanctions against licensees and individuals who violate these requirements. In addition, the Commission may use its discretion, based on the severity of the violation, to further increase the penalty for any violation up to the statutory maximum. Willful violations of these requirements will also be referred to the Department of Justice for a determination of whether criminal penalties will be pursued. |
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| | Enclosure 3 |
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| | {{RIS-Nav}} |
Summary of Safeguards Information Requirements, Attachment 1 to NRC Regulatory Issue Summary 2003-08: Protection of Safeguards Information from Unauthorized DisclosureML080940299 |
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Site: |
Watts Bar ![Tennessee Valley Authority icon.png](/w/images/c/ce/Tennessee_Valley_Authority_icon.png) |
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Issue date: |
04/03/2008 |
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From: |
Joel Munday NRC/RGN-II/DRS/PSB2 |
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To: |
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References |
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RIS-03-008 |
Preceding documents: |
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Download: ML080940299 (4) |
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Category:Report
MONTHYEARCNL-24-016, Supplement to Application to Modify the Technical Specification Surveillance Requirement 3.9.5.1 (WBN-TS-21-14)2024-01-10010 January 2024 Supplement to Application to Modify the Technical Specification Surveillance Requirement 3.9.5.1 (WBN-TS-21-14) ML23346A1382024-01-0303 January 2024 Regulatory Audit Summary Related to Request to Increase the Number of Tritium Producing Burnable Absorber Rods ML23192A4472023-07-31031 July 2023 Staff Assessment of Updated Seismic Hazards at TVA Sites Following the NRC Process for the Ongoing Assessment of Natural Hazards Information WBL-23-018, Revised Pressure and Temperature Limits Report (PTLR)2023-04-10010 April 2023 Revised Pressure and Temperature Limits Report (PTLR) CNL-23-002, Application to Revise Watts Bar Nuclear Plant Units 1 and 2 Technical Specifications to Change the Number of Tritium Producing Burnable Absorber Rods (WBN-TS-21-02) and Proposed Revision to Reactor Vessel Surveillance Capsule Removal Sche2023-03-20020 March 2023 Application to Revise Watts Bar Nuclear Plant Units 1 and 2 Technical Specifications to Change the Number of Tritium Producing Burnable Absorber Rods (WBN-TS-21-02) and Proposed Revision to Reactor Vessel Surveillance Capsule Removal Schedu WBL-22-034, Update to Fire Protection Report Figures Redacted2022-08-0101 August 2022 Update to Fire Protection Report Figures Redacted WBL-21-057, Cycle 4 Mid-Cycle Outage Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-12-16016 December 2021 Cycle 4 Mid-Cycle Outage Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report CNL-21-018, Application to Adopt TSTF-205-A, Revision of Channel Calibration, Channel Functional Test, and Related Definitions, and TSTF-563-A, Revise Instrument Testing Definitions to Incorporate the Surveillance .2021-12-0909 December 2021 Application to Adopt TSTF-205-A, Revision of Channel Calibration, Channel Functional Test, and Related Definitions, and TSTF-563-A, Revise Instrument Testing Definitions to Incorporate the Surveillance . WBL-21-056, Revised Pressure and Temperature Limits Report (PTLR)2021-12-0909 December 2021 Revised Pressure and Temperature Limits Report (PTLR) ML21244A3452021-09-20020 September 2021 Proposed Alternative IST RR 9 to the Requirements of the ASME OM Code for Test Plan Group 6 Relief Valves CNL-21-055, Revision to Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-07-20020 July 2021 Revision to Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report CNL-21-040, Supplement to Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002)2021-03-23023 March 2021 Supplement to Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002) ML21060A9132021-03-17017 March 2021 Final Environmental Assessment and Finding of No Significant Impact for Initial and Updated Decommissioning Funding Plans for Watts Bar ISFSI CNL-21-011, Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002)2021-02-25025 February 2021 Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002) WBL-21-006, Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-02-11011 February 2021 Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report WBL-20-066, Revised Pressure and Temperature Limits Report (PTLR)2020-12-16016 December 2020 Revised Pressure and Temperature Limits Report (PTLR) CNL-20-102, 10 CFR 71.95 Report for 3-60B Casks User2020-12-16016 December 2020 10 CFR 71.95 Report for 3-60B Casks User CNL-20-074, Submittal of Additional Supplement to License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06)2020-08-28028 August 2020 Submittal of Additional Supplement to License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06) WBL-20-004, Analysis of Capsule U from Watts Bar Unit 2 Reactor Vessel Radiation Surveillance Program2020-04-16016 April 2020 Analysis of Capsule U from Watts Bar Unit 2 Reactor Vessel Radiation Surveillance Program CNL-19-082, License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06)2019-10-10010 October 2019 License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06) L-19-034, Wafts Bar Nuclear Plant, Unit 1 - Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report2019-06-18018 June 2019 Wafts Bar Nuclear Plant, Unit 1 - Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report L-19-026, Revised Pressure and Temperature Limits Report (PTLR)2019-04-0404 April 2019 Revised Pressure and Temperature Limits Report (PTLR) ML19039A0492019-02-0808 February 2019 Amd 1 to USAR Chapter 9 Auxiliary System NRC Additional Redactions ML19003A5692019-01-16016 January 2019 Review of the Fall 2017 Steam Generator Tube Inspection Report ML18242A0382018-08-30030 August 2018 Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report CNL-18-092, Application to Revise the Technical Specifications to Adopt TSTF-266-A, Revision 3, Eliminate the Remote Shutdown System Table of Instrumentation and Controls (WBN-TS-18-02)2018-08-0101 August 2018 Application to Revise the Technical Specifications to Adopt TSTF-266-A, Revision 3, Eliminate the Remote Shutdown System Table of Instrumentation and Controls (WBN-TS-18-02) CNL-18-007, Seismic Probabilistic Risk Assessment Supplemental Information2018-04-10010 April 2018 Seismic Probabilistic Risk Assessment Supplemental Information ML17356A2692017-12-20020 December 2017 Construction Lessons Learned Report ML17313A1282017-11-0909 November 2017 Revised Pressure and Temperature Limits Report (PTLR) CNL-17-134, Transmittal of WCAP-18191-NP, Watts Bar Unit 2 Heatup and Cooldown Limit Curves for Normal Operation and Supplemental Reactor Vessel Integrity Evaluations2017-10-13013 October 2017 Transmittal of WCAP-18191-NP, Watts Bar Unit 2 Heatup and Cooldown Limit Curves for Normal Operation and Supplemental Reactor Vessel Integrity Evaluations ML17272A0192017-09-29029 September 2017 Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report ML17263A1162017-09-20020 September 2017 Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report ML17209A5542017-07-28028 July 2017 Cycle 14 Steam Generator Tube Inspection Report CNL-17-050, Submission of Technical Reports to Support a Public Meeting Regarding the Transition to the Reactor Oversight Process for the Mitigating Systems Performance Index2017-05-30030 May 2017 Submission of Technical Reports to Support a Public Meeting Regarding the Transition to the Reactor Oversight Process for the Mitigating Systems Performance Index ML16215A1042016-08-0202 August 2016 Technical Specification (TS) 5.9.8 - Post Accident Monitoring System Report ML16113A0202016-04-22022 April 2016 Submittal of Title 10, Code of Federal Regulations 50.59 Summary Report CNL-16-038, Application to Revise Technical Specification 4.2.1, Fuel Assemblies and Radioactive Waste System Design Basis Source Term Supplement to Response to NRC Request for Additional Information2016-03-31031 March 2016 Application to Revise Technical Specification 4.2.1, Fuel Assemblies and Radioactive Waste System Design Basis Source Term Supplement to Response to NRC Request for Additional Information CNL-16-034, TMI Task Action I.D.1 Commitment Closure Regarding Control Room Design Review Special Program2016-02-19019 February 2016 TMI Task Action I.D.1 Commitment Closure Regarding Control Room Design Review Special Program CNL-15-263, Application to Revise Technical Specification 4.2.1, Fuel Assemblies (WBN-TS-15-03) - Supplemental Information Related to the Onsite Regulatory Audit at Pacific Northwest National Laboratory2015-12-29029 December 2015 Application to Revise Technical Specification 4.2.1, Fuel Assemblies (WBN-TS-15-03) - Supplemental Information Related to the Onsite Regulatory Audit at Pacific Northwest National Laboratory CNL-15-204, Response to NRC Question Regarding the Revised Containment Analysis, Including Enclosure 3, WCAP-17834-NP, Revision 2, Wcobra/Trac Long Term LOCA M&E and Containment Integrity Analysis and Enclosure 4, Affidavit2015-09-21021 September 2015 Response to NRC Question Regarding the Revised Containment Analysis, Including Enclosure 3, WCAP-17834-NP, Revision 2, Wcobra/Trac Long Term LOCA M&E and Containment Integrity Analysis and Enclosure 4, Affidavit CNL-15-165, Submittal of Electromagnetic Interference (EMI) Survey Results2015-08-20020 August 2015 Submittal of Electromagnetic Interference (EMI) Survey Results CNL-15-143, the Tennessee Valley Authority (TVA) Nuclear Power Group Commercial Grade Dedication Recovery Project - Closure Report2015-07-31031 July 2015 the Tennessee Valley Authority (TVA) Nuclear Power Group Commercial Grade Dedication Recovery Project - Closure Report CNL-15-131, Individual Plant Examination of External Events (IPEEE) Report, Revision 32015-07-15015 July 2015 Individual Plant Examination of External Events (IPEEE) Report, Revision 3 CNL-15-106, 3, Sequoyah and Watts Bar, Units 1 & 2 - Provides Service List Update for Routine Information2015-07-0808 July 2015 3, Sequoyah and Watts Bar, Units 1 & 2 - Provides Service List Update for Routine Information CNL-15-097, Flood Hazard Reevaluation Report for Watts Bar Plant, Response to NRC Request for Information Per 10CFR50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accident2015-06-16016 June 2015 Flood Hazard Reevaluation Report for Watts Bar Plant, Response to NRC Request for Information Per 10CFR50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accident ML15121A6562015-05-0101 May 2015 NRC Region II - CIB1 Watts Bar 2 Ip&S 194 Additional Questions Request List CNL-15-039, Severe Accident Management Alternatives for Reactor Coolant Pump Seals2015-04-10010 April 2015 Severe Accident Management Alternatives for Reactor Coolant Pump Seals CNL-15-043, Flood Hazard Reevaluation Report for Watts Bar, Response to NRC Request for Information Per Title 10 of CFR 50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Acc2015-03-25025 March 2015 Flood Hazard Reevaluation Report for Watts Bar, Response to NRC Request for Information Per Title 10 of CFR 50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accid ML15030A5082015-01-30030 January 2015 Tritium Production Program, Updated Plans for Cycle 13 Operation and Updated Evaluation of the Radiological Impacts of Tritium Permeation Into the Reactor Coolant System CNL-14-212, Expedited Seismic Evaluation Process Report (CEUS Sites) Response to NRC Request for Information Pursuant to 10 CFR 50.54(f) Re Recommendation 2.1 of the Near-Term Task Force Review of Insights from Fukushima Dai-ichi Accident2014-12-30030 December 2014 Expedited Seismic Evaluation Process Report (CEUS Sites) Response to NRC Request for Information Pursuant to 10 CFR 50.54(f) Re Recommendation 2.1 of the Near-Term Task Force Review of Insights from Fukushima Dai-ichi Accident 2024-01-03
[Table view] Category:Technical
MONTHYEARCNL-24-016, Supplement to Application to Modify the Technical Specification Surveillance Requirement 3.9.5.1 (WBN-TS-21-14)2024-01-10010 January 2024 Supplement to Application to Modify the Technical Specification Surveillance Requirement 3.9.5.1 (WBN-TS-21-14) ML23192A4472023-07-31031 July 2023 Staff Assessment of Updated Seismic Hazards at TVA Sites Following the NRC Process for the Ongoing Assessment of Natural Hazards Information WBL-23-018, Revised Pressure and Temperature Limits Report (PTLR)2023-04-10010 April 2023 Revised Pressure and Temperature Limits Report (PTLR) CNL-23-002, Application to Revise Watts Bar Nuclear Plant Units 1 and 2 Technical Specifications to Change the Number of Tritium Producing Burnable Absorber Rods (WBN-TS-21-02) and Proposed Revision to Reactor Vessel Surveillance Capsule Removal Sche2023-03-20020 March 2023 Application to Revise Watts Bar Nuclear Plant Units 1 and 2 Technical Specifications to Change the Number of Tritium Producing Burnable Absorber Rods (WBN-TS-21-02) and Proposed Revision to Reactor Vessel Surveillance Capsule Removal Schedu WBL-21-057, Cycle 4 Mid-Cycle Outage Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-12-16016 December 2021 Cycle 4 Mid-Cycle Outage Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report CNL-21-018, Application to Adopt TSTF-205-A, Revision of Channel Calibration, Channel Functional Test, and Related Definitions, and TSTF-563-A, Revise Instrument Testing Definitions to Incorporate the Surveillance .2021-12-0909 December 2021 Application to Adopt TSTF-205-A, Revision of Channel Calibration, Channel Functional Test, and Related Definitions, and TSTF-563-A, Revise Instrument Testing Definitions to Incorporate the Surveillance . WBL-21-056, Revised Pressure and Temperature Limits Report (PTLR)2021-12-0909 December 2021 Revised Pressure and Temperature Limits Report (PTLR) CNL-21-055, Revision to Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-07-20020 July 2021 Revision to Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report CNL-21-040, Supplement to Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002)2021-03-23023 March 2021 Supplement to Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002) CNL-21-011, Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002)2021-02-25025 February 2021 Expedited Application for Approval to Use a Growth Rate Temperature Adjustment When Implementing the Generic Letter 95-05 Analysis for the (WBN TS-391-21-002) WBL-21-006, Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report2021-02-11011 February 2021 Refueling Outage 3 Generic Letter 95-05 Voltage-Based Alternate Repair Criteria Final Report CNL-20-102, 10 CFR 71.95 Report for 3-60B Casks User2020-12-16016 December 2020 10 CFR 71.95 Report for 3-60B Casks User WBL-20-066, Revised Pressure and Temperature Limits Report (PTLR)2020-12-16016 December 2020 Revised Pressure and Temperature Limits Report (PTLR) CNL-20-074, Submittal of Additional Supplement to License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06)2020-08-28028 August 2020 Submittal of Additional Supplement to License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06) WBL-20-004, Analysis of Capsule U from Watts Bar Unit 2 Reactor Vessel Radiation Surveillance Program2020-04-16016 April 2020 Analysis of Capsule U from Watts Bar Unit 2 Reactor Vessel Radiation Surveillance Program CNL-19-082, License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06)2019-10-10010 October 2019 License Amendment Request for Measurement Uncertainty Recapture Power Uprate (WBN-TS-19-06) L-19-034, Wafts Bar Nuclear Plant, Unit 1 - Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report2019-06-18018 June 2019 Wafts Bar Nuclear Plant, Unit 1 - Technical Specification (TS) 5.9.8 - Post Accident Monitoring System (Pams) Report L-19-026, Revised Pressure and Temperature Limits Report (PTLR)2019-04-0404 April 2019 Revised Pressure and Temperature Limits Report (PTLR) ML19039A0492019-02-0808 February 2019 Amd 1 to USAR Chapter 9 Auxiliary System NRC Additional Redactions ML17356A2692017-12-20020 December 2017 Construction Lessons Learned Report CNL-17-134, Transmittal of WCAP-18191-NP, Watts Bar Unit 2 Heatup and Cooldown Limit Curves for Normal Operation and Supplemental Reactor Vessel Integrity Evaluations2017-10-13013 October 2017 Transmittal of WCAP-18191-NP, Watts Bar Unit 2 Heatup and Cooldown Limit Curves for Normal Operation and Supplemental Reactor Vessel Integrity Evaluations CNL-17-050, Submission of Technical Reports to Support a Public Meeting Regarding the Transition to the Reactor Oversight Process for the Mitigating Systems Performance Index2017-05-30030 May 2017 Submission of Technical Reports to Support a Public Meeting Regarding the Transition to the Reactor Oversight Process for the Mitigating Systems Performance Index CNL-15-204, Response to NRC Question Regarding the Revised Containment Analysis, Including Enclosure 3, WCAP-17834-NP, Revision 2, Wcobra/Trac Long Term LOCA M&E and Containment Integrity Analysis and Enclosure 4, Affidavit2015-09-21021 September 2015 Response to NRC Question Regarding the Revised Containment Analysis, Including Enclosure 3, WCAP-17834-NP, Revision 2, Wcobra/Trac Long Term LOCA M&E and Containment Integrity Analysis and Enclosure 4, Affidavit CNL-15-143, the Tennessee Valley Authority (TVA) Nuclear Power Group Commercial Grade Dedication Recovery Project - Closure Report2015-07-31031 July 2015 the Tennessee Valley Authority (TVA) Nuclear Power Group Commercial Grade Dedication Recovery Project - Closure Report CNL-15-097, Flood Hazard Reevaluation Report for Watts Bar Plant, Response to NRC Request for Information Per 10CFR50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accident2015-06-16016 June 2015 Flood Hazard Reevaluation Report for Watts Bar Plant, Response to NRC Request for Information Per 10CFR50.54(f) Regarding Recommendations 2.1, 2.3 and 9.3 of the Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accident CNL-15-039, Severe Accident Management Alternatives for Reactor Coolant Pump Seals2015-04-10010 April 2015 Severe Accident Management Alternatives for Reactor Coolant Pump Seals ML15030A5082015-01-30030 January 2015 Tritium Production Program, Updated Plans for Cycle 13 Operation and Updated Evaluation of the Radiological Impacts of Tritium Permeation Into the Reactor Coolant System ML14100A0392014-04-0202 April 2014 Submittal of Pre-Operational Test Instruction CNL-14-038, Tennessee Valley Authority'S Seismic Hazard & Screening Report (CEUS Sites), Response to NRC Request for Information Pursuant to 10 CFR 50.54(f) Recommendation 2.1 of Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Acc2014-03-31031 March 2014 Tennessee Valley Authority'S Seismic Hazard & Screening Report (CEUS Sites), Response to NRC Request for Information Pursuant to 10 CFR 50.54(f) Recommendation 2.1 of Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accid ML13338A6832013-11-26026 November 2013 Mega-Tech Services, LLC Technical Evaluation Report Regarding the Overall Integrated Plan for Watts Bar Nuclear Plant, Units 1 and 2, TAC MF0950 and MF1177 ML13196A3762013-07-0909 July 2013 Submittal of Pre-op Test Instructions ML13206A0042013-06-24024 June 2013 Methodology for Evaluating the Potential for Multiple Dam Failures Due to Seismic Events ML13115A0362013-04-11011 April 2013 Engineering Information Record 51-9198783-000, Watts Bar WBN1C11 SG Inspection 180-Day Report ML13148A0142013-04-0404 April 2013 Preoperational Test, 2-PTI-068-13, Rev. 1, Shutdown from Outside the Main Control Room. ML13162A3102013-04-0303 April 2013 2-PTI-002-01, Rev 000, Condensate System. ML13081A0022013-03-13013 March 2013 Revised Watts Bar Nuclear Plant Unit 1/Unit 2 As-Designed Fire Protection Report. Part 1 of 2 ML13081A0032013-03-13013 March 2013 Revised Watts Bar Nuclear Plant Unit 1/Unit 2 As-Designed Fire Protection Report. Part 2 of 2 ML13162A3112013-02-25025 February 2013 2-PTI-026-01, Rev 000, High Pressure Fire Protection. ML13050A3982013-01-31031 January 2013 2-PTI-072-01, Rev 000, Containment Spray Pump Value Logic Test. ML13044A1142013-01-31031 January 2013 Multiple Spurious Operation Evaluation Report R1976-20-01, Dated January 2013, Revision 2 ML13162A3122012-11-16016 November 2012 2-PTI-003A-03, Rev 000, Main Feedwater System Functional Test. ML12298A0592012-10-18018 October 2012 Submittal of 2-PTI-099-05, Rev 0, Overpower Delta-T & Overtemperature Delta-T Turbine Runback. ML13050A3972012-08-20020 August 2012 2-PTI-068-04, Rev 000, Pressurizer Relief Tank. ML12236A1652012-07-19019 July 2012 Application to Revise Watts Bar Nuclear Plant (WBN) Unit 1 Updated Final Safety Analysis Report Regarding Changes to Hydrologic Analysis (WBN-UFSAR-12-01) ML12215A3382012-02-29029 February 2012 Enclosure 2, WCAP-17309-NP, Rev. 1, Watts Bar, Unit 2 Evaluation for Tube Vibration Induced Fatigue ML12073A3922012-02-29029 February 2012 WNA-VR-00283-WBT-NP, Rev. 7, Nuclear Automation Watts Bar Unit 2 NSSS Completion Program I&C Projects Iv&V Summary Report for the Post Accident Monitoring System. Attachment 2 ML12073A2252012-02-28028 February 2012 Attachment 6, TVA Calculation WBPEVAR8807025, Revision 8, Bypassed and Inoperable Status Indication Logic Input Indications (Letter Item 4) ML12073A3592012-02-28028 February 2012 WBT-D-3769 Np, Common Q Pams Secure Development and Operational Environment Sser 23 Appendix Hh Action Item 98 Requests for Additional Information ML12034A1662012-01-31031 January 2012 WBT-D-3753 NP-Enclosure - Clarification of Dielectric Withstand Testing in Response to WNA-CN-00157-WBT ML12069A3272012-01-19019 January 2012 Attachment 17 - Ametek Report No. TR-1136, Qualification Documentation Review Package for Ametek Aerospace Gulton-Statham Products Nuclear Qualified Pressure Transmitter Series Enveloping --- Gage Pressure Transmitter Series Pg 3200, Differ 2024-01-10
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SUMMARY OF SAFEGUARDS INFORMATION REQUIREMENTS
I. AUTHORITY
The Atomic Energy Act of 1954, as amended, 42 U.S.C. §§ 2011 et seq. (Act), grants the Nuclear Regulatory Commission broad and unique authority to prohibit the unauthorized disclosure of Safeguards Information upon a determination that the unauthorized disclosure of such information could reasonably be expected to have a significant adverse effect on the health and safety of the public or the common defense and security by significantly increasing the likelihood of theft, diversion, or sabotage of materials or facilities subject to NRC jurisdiction.
Section 147 of the Act, 42 U.S.C. § 2167.
For licensees and any other person, whether or not a licensee (primarily 10 C.F.R. Part 50
reactor licensees, 10 C.F.R. Part 70 licensees for special nuclear material, and their employees and contractors) subject to the requirements in 10 C.F.R. Part 73, Safeguards Information is defined by NRC regulation as follows:
Safeguards Information means information not otherwise classified as National Security Information or Restricted Data which specifically identifies a licensee's or applicant's detailed, (1) security measures for the physical protection of special nuclear material, or (2) security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilities.
10 C.F.R. § 73.2.
Specific requirements for the protection of Safeguards Information are contained in
10 C.F.R. § 73.21. Access to Safeguards Information is limited as follows:
(c) Access to Safeguards Information. (1) Except as the Commission may otherwise authorize, no person may have access to Safeguards Information unless the person has an established "need to know" for the information and is:
(i) An employee, agent, or contractor of an applicant, a licensee, the Commission, or the United States Government. However, an individual to be authorized access to Safeguards Information by a nuclear power reactor applicant or licensee must undergo a Federal Bureau of Investigation criminal history check to the extent required by 10 CFR 73.57;
(ii) A member of a duly authorized committee of the Congress;
(iii) The Governor of a State or designated representatives;
(iv) A representative of the International Atomic Energy Agency (IAEA) engaged in activities associated with the U.S./IAEA Safeguards Agreement who has been certified by the NRC;
Enclosure 3 (v) A member of a state or local law enforcement authority that is responsible for responding to requests for assistance during safeguards emergencies; or (vi) An individual to whom disclosure is ordered pursuant to § 2.744(e) of this chapter [10 CFR 2.744(e)].
(2) Except as the Commission may otherwise authorize, no person may disclose Safeguards Information to any other person except as set forth in paragraph (c)(1) of this section.
10 C.F.R. § 73.21(c).
The need to know requirement is specified by NRC regulation as follows:
Need to know means a determination by a person having responsibility for protecting Safeguards Information that a proposed recipient's access to Safeguards Information is necessary in the performance of official, contractual, or licensee duties of employment.
10 C.F.R. § 73.2.
Thus, unless otherwise authorized by the Commission, NRC regulations limit access to Safeguards Information to certain specified individuals who have been determined to have a need to know, i.e., specified individuals whose access has been determined to be necessary in the performance of official, contractual or licensee duties of employment.
Furthermore, except as otherwise authorized by the Commission, no person may disclose Safeguards Information to any other person unless that other person is one of the specified persons listed in 10 C.F.R. § 73.21(c)(1) and that person also has a need to know.
10 C.F.R. § 73.21(c)(2). These regulations and prohibitions on unauthorized disclosure of Safeguards Information are applicable to all licensees and all individuals:
This part [10 C.F.R. Part 73] prescribes requirements for the protection of Safeguards Information in the hands of any person, whether or not a licensee of the Commission, who produces, receives, or acquires Safeguards Information.
10 C.F.R. § 73.1(b)(7).
The Commissions statutory authority to protect and prohibit the unauthorized disclosure of Safeguards Information is even broader than is reflected in these regulations. Section 147 of the Act grants the Commission explicit authority to issue such orders, as necessary to prohibit the unauthorized disclosure of safeguards information . . . . This authority extends to information concerning special nuclear material, source material, and byproduct material, as well as production and utilization facilities.
Enclosure 3 The Act explicitly provides: Any person, whether or not a licensee of the Commission, who violates any regulations adopted under this section shall be subject to the civil monetary penalties of Section 234 of this Act. Section 147a of the Act. Section 234a of the Act provides for a civil monetary penalty not to exceed $120,000 for each violation. See
10 C.F.R. § 2.205(j) (2003). Furthermore, a willful violation of any regulation or order governing Safeguards Information is a felony subject to criminal penalties in the form of fines or imprisonment, or both. See Sections 147b and 223a of the Act.
The NRC Enforcement Policy outlines potential NRC actions against both licensees and individuals for violations of the regulations and Orders using criteria that evaluate both the details and severity of the violation.
II. DISCUSSION
All licensees and all other persons who now have, or in the future may have, access to Safeguards Information must comply with all applicable requirements delineated in regulations and Orders governing the handling and unauthorized disclosure of Safeguards Information. As stipulated in 10 C.F.R. § 73.21(a), licensees and persons who produce, receive or acquire Safeguards Information are required to ensure that Safeguards Information is protected against unauthorized disclosure. To meet this requirement, licensees and persons subject to
10 C.F.R. § 73.21(a) shall establish and maintain an information protection system governing the proper handling and unauthorized disclosure of Safeguards Information. All licensees should be aware that since the requirements of 10 C.F.R. § 73.21(a) apply to all persons who receive Safeguards Information, they apply to all contractors whose employees may have access to Safeguards Information and they must either adhere to the licensees policies and procedures on Safeguards Information or develop, maintain and implement their own information protection system, but the licensees remain responsible for the conduct of their contractors. The elements of the required information protection system are specified in
10 C.F.R. § 73.21(b) through (i). The information protection system must address, at a minimum, the following: the general performance requirement that each person who produces, receives, or acquires Safeguards Information shall ensure that Safeguards Information is protected against unauthorized disclosure; protection of Safeguards Information at fixed sites, in use and in storage, and while in transit; inspections, audits and evaluations; correspondence containing Safeguards Information; access to Safeguards Information; preparation, marking, reproduction and destruction of documents; external transmission of documents; use of automatic data processing systems; and removal of the Safeguards Information category.
As noted above, in addition to the responsibility of each licensee to ensure that all of its employees, contractors and subcontractors, and their employees comply with applicable requirements, all contractors, subcontractors, and individual employees also are individually responsible for complying with applicable requirements and all are subject to civil and criminal sanctions for failures to comply. The NRC considers that violations of the requirements applicable to the handling of Safeguards Information are a serious breach of adequate protection of the public health and safety and the common defense and security of the United States.
Enclosure 3 As a result, the staff intends to use the NRC Enforcement Policy, including the discretion to increase penalties for violations, to determine appropriate sanctions against licensees and individuals who violate these requirements. In addition, the Commission may use its discretion, based on the severity of the violation, to further increase the penalty for any violation up to the statutory maximum. Willful violations of these requirements will also be referred to the Department of Justice for a determination of whether criminal penalties will be pursued.
Enclosure 3
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RIS 2003-01, Examination of Dissimilar Metal Welds, Supplement 10 to Appendix Viii of Section XI of the ASME Code | 21 January 2003 | Enforcement Discretion Brachytherapy Dissimilar Metal Weld Backfit | RIS 2003-02, Withdrawn NRC Regulatory Issue Summary 2003-002: Importance of Giving NRC Advance Notice of Intent to Pursue License Renewal | 3 February 2003 | Brachytherapy Backfit | RIS 2003-04, Withdrawn NRC Regulatory Issue Summary 2003-004 Use of Effective Dose Equivalent in Place of Deep Dose Equivalent in Dose Assessments | 13 February 2003 | Deep Dose Equivalent Backfit | RIS 2003-08, Summary of Safeguards Information Requirements, Attachment 1 to NRC Regulatory Issue Summary 2003-08: Protection of Safeguards Information from Unauthorized Disclosure | 3 April 2008 | | RIS 2003-08, Enclosure 1 - NRC Regulatory Issue Summary 2003-08: Protection of Safeguards Information from Unauthorized Disclosure | 30 April 2003 7 November 2005 3 April 2008 | Backfit | RIS 2003-08, 2005/04/30-NRC Regulatory Issue Summary 2003-08 Protection of Safeguards Information from Unauthorized Disclosure | 30 April 2003 | Backfit | RIS 2003-08, Protection of Safeguards Information from Unauthorized Disclosure | 30 April 2003 7 November 2005 3 April 2008 | Backfit | RIS 2003-09, Environmental Qualification of Low-Voltage Instrumentation and Control Cables | 2 May 2003 | Probabilistic Risk Assessment Backfit | RIS 2003-10, Licensed Operator Requalifiction Training: Written Examination Frequency | 13 June 2003 | Backfit | RIS 2003-13, NRC Review of Responses to Bulletin 2002-01, Reactor Pressure Vessel Head Degradation and Reactor Coolant Pressure Boundary Integrity. | 29 July 2003 | Boric Acid High Radiation Area VT-2 Pressure Boundary Leakage Through-Wall Leak Dissimilar Metal Weld Backfit | RIS 2003-14, Withdrawn NRC RIS-2003-014: Preparation and Scheduling of Operator Licensing Examinations | 27 August 2003 | Generic Fundamentals Examination Backfit | RIS 2003-16, Withdrawn NRC Regulatory Issue Summary 2003-016: NRC Threat Advisory and Protective Measures System | 7 October 2003 | Backfit | RIS 2003-17, Complying with 10 CFR 35.59, Recentness of Training, For Board-Certified Individuals Whose Training and Experience Were Completed More than 7 Years Ago | 3 October 2003 | | RIS 2003-17, Complying with 10 CFR 35.59, Recentness of Training, for Board-Certified Individuals Whose Training and Experience Were Completed More than 7 Years Ago | 3 October 2003 | | RIS 2003-18, Use of Nuclear Energy Institute (NEI) 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003 | 13 July 2004 | Backfit | RIS 2003-18, Use of NEI 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003 | 8 October 2003 13 July 2004 | Backfit |
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