ML20197C398

Forwards RES Annual Independent Review Package. Recommends That NRC Continue W/Proposed Rule 10CFR50 Re Personnel Access Authorization Program & 73 on Searches of Individuals at Power Reactor Facilities

ML20197C398
Person / Time
Issue date:	05/28/1986
From:	Minogue R NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES)
To:	Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
Shared Package
ML20197C372	List: ML20197C368 ML20197C398 ML20197C417 ML20197C437 ML20197C447 ML20197C459 ML20197C466 ML20197C486 ML20197C542 ML20197C550 ML20197C558 ML20197C584 ML20197C611 ML20197C617 ML20197C623 ML20197C631 ML20197J540 ML20197K002 ML20197K192 ML20198A267 ML20198G623
References
FRN-49FR30726, RULE-PR-50, RULE-PR-73 AA36-2-002, AA36-2-2, AB17-2-02, AB17-2-2, NUDOCS 8611060121
Download: ML20197C398 (18)

Text

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s ano6(4 UNITED STATES yz .g NUCLEAR REGULATORY COMMisslON

j. j W ASHINGTON. D. C. 20555 Y j

\; ,.s j MAY 2 81986 MEMORANDUM FOR: Victor Stello, Jr.

Executive Director for Operations FROM: Robert B. Minogue, Director Office of Nuclear Regulatory Research -

SUBJECT:

C0f! TROL 0F NRC RULEMAKING: ANNUAL RES INDEPENDENT REVIEW 0F ONG0ING RULEMAKING SPONSORED BY Nt:SS Based on our annual independent review of the ongoing NMSS-sponsored rulemakings listed below, RES agrees with the recommendation of the Director, NMSS, that NRC should continue with these specific rulemakings.

1. Personnel Access Authorization Program (Parts 50, 73).

2. Searches of Individuals at Power Reactor Facilitics (Part 73).

3. Miscellaneous Amendments Concerning Physical Protection of Nuclear Power Plants (Part 73).

These rulenakings constitute the " Insider Rule Package" that would amend Parts 50 anc' 73 to (1) establish reauirements for the screening of individuals having unescorted access to nuclear power reactnrs, (2) clarify requirements for per-sonnel searches of individuals at nuclear power reactor protected area portals ,

(pat-down search issue), and (3) revise miscellaneous safeguards- related  !

requirements for access controls to nucl, ear power reactor vital areas.

In response to recommendations by the Director, NMSS, and independent recommen-dations by the Director, RES, the EDO approved continuatiori of the rulemakings in memorandums dated April 29, 1985; June 28, 1985; and October 16, M85. In addition on November 29,1985, the ED0 recommended that the Comission approve publication of the insider safeguards rules (SECY-85-381, Rulemaking Issue (Affirmation)).

Recent events that are the basis for our annual independent recommendation are as follows:

o SECY-85-381 has been under Commission consideration for voting and affirm-ation since November 29, 1985. NRC staff noted that no 8611060121 861104 PDR PR SO 49FR30726 PDR

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.o Victor Stello, Jr. -

2 significant coments relating to the insider rule package were received and recomended its publication.in final form without change. With i approval to proceed with this rulemaking, NRC staff can respond to Comission requirements in connection with SECY-85-381 as appropriate.

o After an ACRS meeting with NRC staff and the Nuclear Utility Management and Human Resources Comittee on February 14, 1986, ACRS sent a letter to the Comission stating, "In our opinion, the industry-proposed approach is to be preferred, at least on a trial basis, with option of following later with a rule in the event that should seem necessary." The NUMARC initiative is industry oversight of a program based on a Comission policy statement endorsing some access authorization guidelines. With approval to proceed with this rulemaking, NRC staff can continue working with NUMARC personnel to refine industry guidelines, if the Commission decides to accept the in.iustry initiative.

o By letter dated March o, 1986, OMB questioned the utility of portions of the insider rule package dealing with psychological assessments and behavioral observation and disapproved the infomation collection require-ments in those portions. With approval to proceed with this rulemaking, NRC staff can undertake appropriate procedures to obtain a Commission override of the OMB disapproved collection of information, if the Comis-sion decides to issue a final insider rule package and impose the infor-mation collection requirements.

In October 1985, NMSS/SG prepared for CRGR review a qualitative justification in response to 10 CFR 50.109, "Backfitting." The justification states the belief that, based on Commission research and analysis, expert opinion, and best available data, a decreased risk from insider reactor sabotage will result from adoption of the insider rule package and, hence, its promulgation will provide a substantial increase in the overall protection of the public health and safety.

An independent review of the status of this final insider rule package indicates that June 1986 for final action on the rule, as proposed by NMSS, is consistent with the goal of finalizing a rule within 2 years of its inception (these specific rulemakings were ongoing during June 1985.when the goal was estab-lished) and is dependent primarily upon the Commission's completing voting and affimation of SECY-85-381.

The complete annual RES independent review package has been sent to OEDO (Attention: DEDR0GR) and to the Director, NMSS.

I

! ' l Robert B. Minogue, Director Office of Nuclear Regulatory Research .,

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• RES ANNUAL INDEPENDENT REVIEW PACKAGE l

4'> v], 77 l

RES INDEPENDENT REVIEW 80ARD VOTING SHEET TO: M. L. ERNST, CHAIRMAN, RIRB FROM: G. A. Arlotto, Menter, RIRB TITLE OF RULEMAKING: INSIDER RULE PACKAGE, PARTS 50, 73 i

/ AGREE WITH DRAFT RES REQUEST RIRB INDEPENDENT RECOMMENDATIONS MEETING.

IN DRAFT INDEPENDENT REVIEW PACKAGE.

MODIFY DRAFT RES NOT PARTICIPATING.

INDEPENDENT RECOMMENDATIONS AS INDICATED BELOW.

COMMENTS AND SUGGESTIONS:

/ / .

/ I

\ G. A. Arlotto MEM R, RIRI)

Y s Vf x DATE

~ 1/, Y!, 7 RES INDEPENDENT REVIEW BOARD l VOTING SHEET TO: M. L. ERNST, CHAIRMAN, RIRB FROM: B. Morris, f1 ember, RIRB TITLE OF RULEMAKING: INSIDER RULE PACKAGE, PARTS 50, 73 AGREE WITH DRAFT RES REQUEST RIRB

_ MEETING.

INDEPENDENT RECOMMENDATIONS IN DRAFT INDEPENDENT REVIEW PACKAGE.

MODIFY DRAFT RES NOT PARTICIPATING.

INDEPENDENT RECOMPINDATIONS AS INDICATED BELOW. . j COMMENTS AND SUGGESTIONS:

p $sr- i B. Morris -

Member, RIRB. -

J /,./,(-

.DATE

RES INDEPENDENT REVIEW BOARD VOTING SHEET TO: M. L. ERNST, CHAIRMAN, RIRB FROM: K. R. Goller, Member, RIRB TITLE OF RULEMAKING: INSIDER RULE PACKAGE, PARTS 50, 73 AGREE WITH DRAFT RES REQUEST RIRB

/ INDEPENDENT RECOMMENDATIONS IN DRAFT INDEPENDENT REVIEW MEETING.

PACKAGE.

NOT PARTICIPATING.

li MODIFY DRAFT RES INDEPENDENT RECOMMENDATIONS I AS INDICATED BELOW.

COMMENTS AND SUGGESTIONS:

K. R. Goller MEMBER, RIRB l

E/2/PC DATE

O MEMORANDtP' FOR: Victor Stello, Jr.

Executive Director for Operations

~

FROM: Robert B. Minogue, Director Office of Nuclear Itegulatory Research StE1ECT: CONTROL OF NRC RtA.EMAKING: ANNllAL RES INDEPEhDENT REVIEV 0F ONGOING RtR.EMAKING SPONSORED BY NMSS Based on our annual independent revica of the ongoing NMSS-sponsored rulemakings l listed below, RES agrees with the rectmeiendation of the Director, INSS, that NRC should continue with these specific rulemakings.

1. Personnel Access Authorization Program (Parts 50, 73).

2. Searches of Individuals at Powe, Reector Facilities (Part 73).

! 3. Miscellaneous Amenchents Concerning Physical Protection of Nuclear Power Plants (Part 73).

I These rulemakings constitute the " Insider Rule Package" that would amend Parts 50 and 73 to (1) establish requiresaants for the screening of individuals having unescorted access to nuclear power reactors. (2) clarify requirements for per-sonnel searches of individuals at cuclear power reactor protected area portals (pat-down search issue), and (3) r vise miscellaneous safeguards- related requirements for access controls tr nuclear power reactor vital areas.

In response to recommendations by the Director, NMSS, and independent reccumnen-dations by the Director, RES, the '!DO approved continuation of the rulemakings in memorandes dated April 29, 1985; June 28, 1985; and October 16, 1985. In addition on November 29, 1985, tha EDO recommended that the Commission approve publication of the insider safeguards rules (SECY-85-381, Rulemaking Issue-  !

(Affirmation)).

Recent events that are the basis for our annual independent recommendation are l as follows:

o SECY-85-381 has been under f.oerission consideration for voting and affirm-ation since November 29, I!K15. NRC staff noted that no

• ~ " " . . .. .. . ... . . . . .

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Victor Stello, Jr. 2 sigr.ificant comunents relating to th'e insider rule package were received and recommended its publication in final forv. without change. With j approvt.1 to proceed with this rulemaking, NRC staff can respond to Constission requirements in connection with SECT-85-3B1 as appropriate.  !

r Af ter ar. ACRS meeting with NRC staff and the Nuclear Utility Managemer.t and Hurar. Resources Coerittee on Febmary 14, 1986, ACRS sent a letter to the Conrissior. stating, "In our opinion, the industry-proposed approach is to be preferred, at least on a trial basis, with option of following later with a rule in the event that should seem necessary." The NU> ARC ir.itiative is industry oversight of a program based on a Coeur.ission J pelicy statement 2ndorsing some access authorization guidelines. With  ;

approval te proceed with this rulemaking, NRC staff can continue workino  !

with KlWC personnel to refine industry guidelines, if th'e Concissicr. '

decides to accept the industry initiative.

o Py letter dated March 6,19BC, OMS questioned the utility of portions of the insider rule package dealing with psychological assessments and 1 behavioral observation and disapproved the infomation collection require- 1 ments in those pcrtions. With approval to proceed with this rulemaking, l NRC steff car undertake appropriate procedures tn obtain a CompiFsion override nf the OMB disapproved collection of informatior, if the Conris- l sior decides to issue a final insider rule package and impose the infnr-mation cellectior. requirements.

Ir Octeber 19FS, Mt'SS/SG prepared for CRGR review a qualitative justificatior in response tc 10 CFR 50.109, "Backfitting." The justification states the btlief thht, based or. Corr.ission research and analysis, expert opinion, and best available data, a decreased risk from insider reactor sabotage will result 1 from adoptier of the insider rule package and, hence, its promulgation will  ;

provide a substantial increase in the overall protection of the public health ar.d scfety.

Ar, independent review of the status of this final ir. sider rule package indicates thet Jure 1986 for fica; action on the rule, as proposed by MMSS, is consistent with the goel of finalizing a rule within 2 years of its inception (these specific rulemakings were ongoing during June 1985 when the goal was estab-lished) and is deperdent primarily upon the Cossaission's completing voting and

, affirmatier. of SECY-25-3C1.

The cocplete annuel RES independent review package has been sent to OEDO (Attenticr: DEDR0GP.) and to the Director, MMSS.

Distribution:

RES Central File - R2314 Q CIRC /CHRON JHenry HFSB RDG/SUBJ JNorberg MErnst GBurdick Robert E. Mirogue, Director U

Dross Office of Nuclear Regulatory Research RMinogue DRA0/HFSB:C*  : ADD RES :D RES:DD RES:D o,,,ce pIDRA0/HFSB* ' '***' ***********

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I significant comments relating to the insider rule package were recei ed and recommended its publication in final fonn without change. Wit)j approval to proceed with this rulemaking, NRC staff can respond M Commission requirements in connection with SECY-85-381 as appr riate.

After an ACRS meeting with NRC staff and the Nuclear Utilijf Management and Human Resources Committee on February 14, 1986, ACRS Aent a letter to the Commission stating, "In our opinion, the industrg-proposed approach is to be preferred, at least on a trial basif, with option of following later with a rule in the event that shouljt seem necessary."

The NUMARC initiative is industry oversight of a program based on a Consission policy statement endorsing some acce% authorization guidelines. With approval to proceed with thi.g' rulemaking NRC staff can continue working with NLMARC personnel ta' refine industry I guidelines, if the Cosmission decides to acdept the industry )

initiative. /

By letter dated March 6,1986, OMB qu ioned the utility of portions of the insider rule package dealing ith psychological assessments and behavioral observation and disappr ed the information collection requirements in those portions. ith approval to proceed with this ,

rulemaking, NRC staff can under ake appropriate procedures to obtain a l Connission override of the disapproved collection of inforination, if the Comission decides t issue a final insider rule package and impose the information col tion requirements.

In October 1985. W.SS/SG pr ared for CRGR review a qualitative justification in response 10 CFR 50.109, "Backfitting.' The justification states the elief that, based on Comission research and analysis, expert opinio , and best available data, a decreased risk from insider reactor sabot e will result from adoption of the insider rule package and, hence, s promulgation will provide a substantial increase in the overall protect on of the public health and safety.

An independent iew of the status of this final insider rule package indicates that une 1986 for final action on the rule, as proposed by NMSS, is consistent ith the goal of finalizing a rule within 2 years of its inception (t se specific rulemakings were ongoing during June 1985 when the goal was es ablished) and is dependent primarily upon the Comission's completing voting and affirmation of SECY-85-381.

The c plete annual RES independent review package has been sent to OEDO (Att tion: DEDROGR) and to the Director, NMSS.

HFSB Rdg/Subj Robert B. Minogue, Director

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DISTRIBUTION:

RMinogue 0$

r t Office of Nuclear Regulatory Research RES Central File R-2914 GBurdict CIRC /CHRON , [

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RES TASK LEADER EVALUATI %

WITH DIVISION DIRECTOR'S CONCURRENCE

Sumary and Current Status I

s Sumary' and Current Status Insider Safeguards Rules 1

J DATE Proposed rule package published for public 08/01/84 ,

comument l End public comunent period 03/07/85  !

Final rule package to ED0/CRGR 10/08/85 CRGR approval of draft final package 10/23/85 Final rule package to Comission 11/29/85 l l

Current Status: ACRS meeting with NLMARC and NRC staff on February 14, 1986 l resulted in ACRS memo to Commissison preferring NtMARC approach on a trial l basis. Under memo dated March 6,1986, Office of Management and Budget  !

disapproved the reporting and recordkeeping requirements of the psychological 1 assessment and behavioral observation portions only of the package. Package l 1s currently awaiting Conunission notation vote, Chairman Palladino has voted '

af firmatively for rule making.

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Regulatory Agenda Entries l

EKLOSURE 2

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TITLE:

Personnel Access Authorization Program (Part of Insider Rule Package)

CFR CITATION:

10 CFR 50; 10 CFR 73 .

l ABSTRACT: . l This rule would establish a personnel screening program for individuals <

I requiring unescorted reactor facility access, thus ptsviding increased assurance of the trustworthiness and emotional stability of a reactor I site population. Study has indicated that disoriented or disgruntled j employees (especially ones who might also be psychotic) at nuclear reactors are of primary safeguards concern because of their insider pos iti on. While the Cosumission has stated that at present it is satisfied with the level of safeguards in place at reactors, it approved publication of the proposed rule for public comment (40 FR 30726) as one means of further assuring protection of public health and safety. The public l comment period concluded March 7,1985. Extensive caimients were received i and analyzed.

Alternatives to rulemaking that were investigated, included endorsing an ANSI standard through a regulatory guide, issuing a policy statement that ,

endorses industry developed guidelines, using staff position papert, and i implementing license conditions. These alternatives unre rejected because. l some would not produce an industry stancardized program while others lacked j

. regulatory authority. -The proposed regulation will protect against the  !

• insider" threat at reactors through the use of three components: (1)a

- background investigation to determine past history, (2) a psychological assessment to determine current anotional stability, and (3) a continual hehavioral observation program to detect behavioral changes in an individual once granted unescorted access. Primary benefit to the public and licensees is an increased assurance of the trustworthiness and emotional suitability of individuals working in a nuclear reactor environment. Senefits to the MtC result from the use of a codified program that assures that a uniform approach, meeting minimum requirements, will be applied in screening reactor personnel. As a result of this requirement the average site cost for all existing or planned power reactors over their useful lives is

$2M per site.

TIMETABLE:

FRM 08/01/84 49 FR 30726 WRM Comment Period 8egin 08/01/84 WRM Comment Period End 03/07/85 Office concurrence on Final Rule completed 08/27/85 Final Rule Package to ED0/CRGR 10/08/85 Final Rule to Commission 11/29/85 Final Action 06/00/86

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TITLE:

Personnel Access Authorization Program (Part of Irasider Package) i 1

LEGAL AUTHORITY- '

42 U.S.C. 2102; 42 U.S.C. 5841 i

EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: No AGENCY CONTACT:

l Priscilla A. Dwyer Office of Nuclear Material Safety and Safeguards Washington, DC 20555 301 427-4773  !

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TITLE Searches of Individuals at Power Reactor Facilities (Part of Insider Package)

CFR CITATION:

10 CFR 73 i ABSTRACT: "

l The proposed rule would codify present interim search requirements for individuals entering the protected area of nuclear power plants. At present, all persons are subject to equipment searches for firearms, explosives and incendiary devices. However, in addition, all visitors and a random 5 percent of site employees are subject to physical pat-down searches. Under the proposed rule, physical searches would be required only when search equipment is not working properly or when the l licensee suspects that an individual is attempting to carry into the plant prohibited devices or material. Random searches were conside*ed as an alternative, but were deemed to be possibly disruptive. Sinc.e licensees already possess the necessary equipments this rule will affect only licensee procedures at negligible additional cost.

Since requirements for searches have been in effect for some time, and modifications to those requirements are needed, alternatives to this rulemaking such as revised guidance would be inappropriate in that they would not carry the force of a regulation, The impact on RC operations will occur in the area of licensing review of amended licensee security plans. Cost to the NRC is estimated to be

$58.6k in implementation costs.

TIMETABLE WRM 08/15/84 49 FR 30738 WRM Comment Period 8egin 08/15/84 49 FR 30738 WRM Comment Period End 03/07/85 Office concurrence on Final Rule completed 08/27/85 Final Rule Package to ED0/CRGR 10/08/85 Final Rule to Consission 11/29/85 Final Action 06/00/86 LEGAL AUTHORITY 42 U.S.C. 2201; 42 U.S.C. 5841 EFFECTS ON SMALL BUSINESS AND OTHER ENTITIES: No l

AGENCY CONTACT:

Priscilla A. Dwyer Office of Nuclear Material Safety and Safeguards Washington, DC 20555 301 427-4773

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TITLE:

Miscellaneous Amendments Concerning Physical Protection of Nuclear Power Plants (Part of Insider Rule Package)  :

CFR CITATION:

I

10 CFR 73 l

A85 TRACT:

The proposed rule would revise requirements at nuclear power plants for, .

! (1) access controls to vital areas, (2) the protection of certain

! physical security equipment, (3) key and lock controls, and (4)

authority to suspend safeguards measures during emergencies. (Years of operating experience revealed a need for clarification and refinement.)

The requirements will clarify policy in these areas and reduce unnecessary burden on the industry while maintaining plant protection.

! This rule is a revision of the proposed rule entitled, " Access Controls i to Nuclear Power Plant Vital Areas." Initial development of a final rule produced significant changes, particularly in the criteria for personnel access controls to vital areas, resulting in the need to publish a revised rule. This proposed rule and the other components of the insider rule package were reviewed by the NRC Safety / Safeguards Review Committee which considered a number of alternative approaches to vital area control; their recommendations have been reflected in the proposed rule.

Since requirements for protecting vital areas have been in effect for some time, and modifications to those requirements are needed, alternatives to this rulemaking such as revised guidance would be inappropriate in that they would not carry the force of a regulation.

Implementation cost for these improvements is $10,200 per site; however, a net annual savings of $15,000 per site is anticipated in the cost of industry operations because of reduced key and local control require-ments. The impact on NRC operations will occur in the area of licensing review of amended licensee security plans and Inspection and Enforcement staff support time. Initial cost to the NRC is estimated to be $175,700.

There is no significant NRC operational costs resulting from this rule.

TINETABLE:

WRM 08/01/84 49 FR 30726 WRM Comment Period Begin 08/01/84 FRN Comment Period End 04/07/85 Office concurrence on Final Rule completed 08/27/85 Final Rule Package to E00/CRGR 10/08/85 Final Rule to Commission 11/29/85 l Final Action 06/00/86 l

LEGAL AUTHORITY:

i 42 U.S.C. 2102; 42 U.S.C. 5841

! EFFECTS ON SMALL SUSIESS AND OTHER ENTITIES: No i

AGENCY CONTACT:

i Priscilla A. Owyer Office of Nuclear Material Safety and Safeguards Washington, DC 20G5 l

t (301) 427-4773 l

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i Final Rule Package '

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