ML103560320

Enclosure - NRC Comments on NEI 05-10 Security Frequently Asked Questions Process, Rev 3

ML103560320
Person / Time
Site:	Nuclear Energy Institute
Issue date:	07/19/2011
From:	Michael Layton Division of Security Policy
To:	Earls C Nuclear Energy Institute
Roundtree, Amy - NSIR/DSP/RSRLB
Shared Package
ML103560357	List: ML103560299 ML103560320
References
NSIR 10-1005, NEI 05-10, Rev 3
Download: ML103560320 (20)

Text

NEI 05-10 [Revision 3]

Security Frequently Asked Questions Process March 2010

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NEI 05-10 [Revision 3]

Nuclear Energy Institute Security Frequently Asked Questions Process March 2010 Nuclear Energy Institute, 1776 I Street N. W., Suite 400, Washington D.C. (202.739.8000)

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ACKNOWLEDGEMENTS NEI wishes to acknowledge the efforts of the NEI Security Frequently Asked Questions Task Force members, as well as industry and U.S. Nuclear Regulatory Commission contributors involved in developing this document.

NOTICE Neither NEI, nor any of its employees, members, supporting organizations, contractors, or consultants make any warranty, expressed or implied, or assume any legal responsibility for the accuracy or completeness of, or assume any liability for damages resulting from any use of, any information apparatus, methods, or process disclosed in this report or that such may not infringe privately owned rights.

Nuclear Energy Institute, 1776 I Street N. W., Suite 400, Washington D.C. (202.739.8000)

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NEI 05-10 (Revision 3)

March 2010 TABLE OF CONTENTS 1 INTRODUCTION ........................................................................................................................... 1 Field Code Changed 2 SFAQ CRITERIA ........................................................................................................................... 1 Field Code Changed 3 MAKEUP OF SECURITY QUESTION PANELS .................................................................. 33322 Field Code Changed 4 REGULATORY PROCESS INTERFACE ............................................................................. 33322 Field Code Changed 5 SFAQ DOCUMENTATION AND SAFEGUARDS CONSIDERATIONS .............................. 33322 Field Code Changed 6 SFAQ LOG AND STATUS TRACKING ............................................................................... 44433 Field Code Changed 7 CONSENSUS AND APPROVAL AND APPEALS .............................................................. 44433 Field Code Changed 8 WITHDRAWAL, TRANSMITTAL, AND MODIFICATION .................................................. 44433 Field Code Changed 9 SFAQ IMPLEMENTATION ................................................................................................. 66633 Field Code Changed 10 PROCESS OUTLINE ........................................................................................................... 66644 Field Code Changed 1011 ................................................................................................................... PROCESS FLOWCHART 1010977 Field Code Changed 1112 ........................................................................................................................................ SFAQ FORM 11111088 Field Code Changed

NEI 05-10 (Revision 3) Formatted: Right March 2010

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NEI 05-10 (Revision 3)

March 2010 SECURITY FREQUENTLY ASKED QUESTIONS PROCESS 1 INTRODUCTION The purpose of the Security Frequently Asked Question (SFAQ) process is to provide an organized forum for licensees and the NRC to resolve generic questions concerning the implementation of security requirements in a collaborative and coordinated context. This process is intended to support the resolution of licensees questions in a timely and effective manner and support the NRCs exercising of its regulatory responsibility in the most efficient and direct manner possible.

It is clear that thisThe SFAQ process cannot be used to change any regulatory requirements promulgated through rules or orders. ItsThe intent of this process is to clarify existing guidance and to assist in addressing implementation questions related to security programs under 10 CFR Part 73.

2 SFAQ CRITERIA ToFor a question to be considered as anunder the SFAQ, a process, the question must be generic (i.e., have the potential to affect more than one plant without consideration or evaluation of site specific information). Potential SFAQs could include questions where the regulatory guidance may not be sufficiently clear, absent,licensees or where consistency in applicationthe NRC believe there would be a benefit both the NRC and licensees.

for providing additional clarification of a requirement. In order to determine whether a question should be considered as anunder the SFAQ process, the initiating panel (industry or NRC) shall apply the following criteria:

1. The question must be sufficiently generic. (Does it affect more than one plant without consideration or evaluation of site specific information?)

2. The question does not involve unresolved inspection issues, enforcement actions, allegations, or other situations covered by existing regulatory processes. The SFAQ process may be used to disseminate information regarding resolved inspection issues, enforcement actions, allegations, or other situations covered by existing regulatory processes.

3. The resolution of the question should facilitate consistent implementation of industry or NRC security guidance.

If all the criteria are met, then an SFAQ isa question may be appropriate for resolution utilizing the SFAQ process.

A bias toward initially screening in and discussing a question is appropriate for cases where conformance with the above criteria is unclear.

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NEI 05-10 (Revision 3) Formatted: Right March 2010 In those cases where it is not clear that a question meets all of the above criteria, the initiating panel should include the question in the SFAQ process for independent initial screening by each panel (Industry and NRC). and resolution by the Joint Panel (industry and NRC).

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NEI 05-10 (Revision 3)

March 2010 3 MAKEUP OF SECURITY QUESTION PANELS The Industry Security Question Panel (hereafter referred to as the Industry Panel) will consist of representatives from the commercial nuclear power industry and at least one NEI representative.

The Industry Panel members shall consist of management personnel experienced in security matters and represent the commercial nuclear industry.

NEI senior management shall designate an NEI representative who will function as the Industry Panel Chair. The Industry Panel Chair will also arrange meetings and provide administrative support for the communication and transmittal of SFAQ status and resolution.

The licensee originating an SFAQ may be invited to provide a representative to present and describe the SFAQ at the meetings where the SFAQ is discussed.

NRC management will designate a corresponding review panel (hereafter referred to as the NRC Panel) and the NRC Panel Chairman.

Within this document, the collective group of the Industry Panel and NRC Panel shall be referred to as the Joint Panel.

4 REGULATORY PROCESS INTERFACE The SFAQ process is intended to provide clear answers to generic questions that could affect industry implementation of security requirements. Frequently, generic questions are identified through the NRC Inspection and Enforcement process. It is important that the respective roles of each process be maintained. For the specific licensee(s) for which unresolved inspection issues or violations are involved, the inspection and enforcement process (including the licensees option to appeal the NRCs decision) will take precedence and should proceed independently of the resolution of any related SFAQ. The SFAQ process must focus on a the generic question and avoid site-specific factors that might distort the understanding of the resolution.

5 SFAQ DOCUMENTATION AND SAFEGUARDS CONSIDERATIONS Many of the questions dealing with nuclear power plant security may involve Safeguards Information (SGI). Any person allowed access to SFAQs containing SGI must have an established need to know for the information and meet the requirements of 10 CFR 73.21.

Any SGI material associated with the SFAQ must be stored, transmitted and distributed in accordance with the requirements of 10 CFR 73.21 and other applicable NRC requirements.

Non-SGI questions and related material will be handled in accordance with NRC Regulatory Issue Summary 2005-26, Control Of Sensitive Unclassified Non-Safeguards Information Related To Nuclear Power Reactors,, and with 10 CFR 2.390 - Exempt from Public Disclosure,Inspections, Exemptions, Requests for Withholding, as applicable.

Any SGI material associated with the SFAQ must be stored, transmitted and distributed according to 10 CFR 73.21 requirements.

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NEI 05-10 (Revision 3) Formatted: Right March 2010 6 SFAQ LOG AND STATUS TRACKING In order to facilitate efficient tracking, review, and closure of SFAQs, the Industry Panel Chair will maintain a non-Safeguards log of all SFAQs (SGI and non-SGI). SFAQs generated by the NRC Panel will be provided to the Industry Panel Chairman to be logged and tracked. The non-SGI log will show basic information such as unique tracking number, date initiated, initiator, and current status. This log will be available to each Panel Chairman and updated on a periodic basis.

Both Panel Chairs will maintain a file of in-process and completed SFAQs.

7 CONSENSUS AND APPROVAL AND APPEALS Members of the Industry Panel and the NRC Panel will form a Joint Panel and work together to attain Separately, each panel will meet and examine the questions (SFAQs) that have been accepted for consideration, developing a response that is documented on the form. Then, the two panels will meet, on an as needed base. The objective of the meeting is to share and/or present each panels views of SFAQs submitted. The objective of the Joint Panel is to facilitate the timely, clear resolution of SFAQs. The joint panel will work together to reach a mutual understanding of the issue for the NRC to reach a resolution of the SFAQ. to arrive at a consensus resolution of the SFAQ for NRC consideration. When the panels agree on an SFAQ, it is provided to the Final approval of SFAQ answers are the responsibility of the NRC Deputy Director - Division of Nuclear Security. The Joint Panel will strive to provide a draft answer acceptable to both Panels. Policy (DSP) for final approval. Where agreementconsensusmutual understandingthe panels do not agree, cannot be reached, the Panels (Industry and/or NRC) each Formatted: Not Highlight panel may submit alternative answers and comments regarding other options under consideration Formatted: Not Highlight with written rationale for final approval. This information shall be provided to the NRC Formatted: Not Highlight Director - DSP- Division of Nuclear Security and with copies provided to both Panelspanels.

Upon reaching a decision between alternate proposed SFAQ responses, the NRC Director - -

DSPDivision of Nuclear Security will provide a response notingback to both panels setting forth the rationale for rejecting the unacceptedchosen option to both Panels..

When mutual understanding consensus can notcannot be reached between If the industry Formatted: Not Highlight disagrees with the decision of the and the NRCNRC-Director-DSP, the industry has the right to Formatted: Not Highlight appeal the decision as outlined in section 10, step 5. Formatted: Not Highlight 8 WITHDRAWAL, TRANSMITTAL, AND MODIFICATION An SFAQ may be withdrawn by the initiating Panel at any time prior to final disposition.

Once an SFAQ response/solution has been approved by NRC it is distributed by NEI and the NRC using approved means. In addition, the NEI representative will update the SFAQ Log.

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NEI 05-10 (Revision 3)

March 2010 In the event that any approved SFAQ resolution is subsequently determined to require revision, the revised SFAQ must be reprocessed.

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NEI 05-10 (Revision 3) Formatted: Right March 2010 9 SFAQ IMPLEMENTATION SFAQs that involve generic changes to the NEI 03-12 template language should be revised Formatted: Normal immediately through the licensees security plans if required to demonstrate compliance with NRC regulations. SFAQs that affect the site specific information provided as bracketed text within NEI 03-12 should be changed through the licensees security plans as necessary. Utilities should make any necessary changes to their Security Plan, (PSP), Training and Qualification Plan and(T&Q), Contingency Plan (SCP), and Cyber Security Plan (CSP) consistent with the implementation date agreed upon by the industry and NRC. The NRC will be notified of the changes in accordance with the requirements of 10 CFR 50.54(p).

The following statement should be considered in the accepted SFAQs that affect NEI 03-12 black text: Licensees submitting their security plans using the NRC endorsed NEI 03-12 revision [#] template should revise the endorsed text in section [] of the [PSP, T&Q, SCP as appropriate] by [provide direction on text to be revised, replaced, inserted, and when it should be revisedetc]. ].

The change to the NRC endorsed NEI 03-12 revision [#] language should be listed on the Table of Deviations from NEI 03-12 rev.revision [#] Text which has been provided by NEI to accompany each plan submittal. The justification that should be provided on the table is Language revised in accordance with SFAQ # [09-##].[##-##].

10 PROCESS OUTLINE In addition to the following SFAQ process description, a flow chart of this process is provided as .

Identification and Question Development (Step 1)

Industry or NRC personnel will send potential SFAQs arising from internal reviews, industry operating experience, NRC inspections, or other sources, to the Industry Panel Chair. Use of the SFAQ form (Attachment 2) is encouraged. The proposed SFAQ should provide appropriate references from regulatory or industry documents. The history, operating conditions and description of security features may be relevant and should be included as supporting documentation. The submittal should include a proposed answer where possible. The NRC will establish a similar process governed by their internal procedures. Initiators should check the SFAQ log to prevent redundancy with existing questions. It is imperative that facts and supporting documentation are complete and accurate in all material respects.

Joint Panel Screening (Step 2)

The Joint PanelBoth panels separately shall conduct an initial screening of proposed SFAQs to determine whether they meet the criteria of Section 2. In the event that a question does not meet those criteria, or where it duplicates questions addressed in existing SFAQs or other questions undergoing screening, the appropriate Panel Chair shall notify the originator that the question will not be resolved through the SFAQ process. For cases which are screened as meeting criteria for an SFAQ, a brief description shall be provided to the Industry Panel Chairman who shall assign an SFAQ number and enter it in the SFAQ Log.

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NEI 05-10 (Revision 3)

March 2010 7

NEI 05-10 (Revision 3) Formatted: Right March 2010 Internally Develop a Proposed Response (Step 3)

Once a question is accepted by each panelthe Joint Ppanels as an SFAQ, the Joint Panel shall assign an individual from the initiating Panel will be assigned to further develop the proposed final response if necessary. This shall will include consideration of proposals by the initiator.

The proposed final response should be internally discussed within the initiating Panel. After this internal consideration, the SFAQ, including the proposed final response, shall will be submitted via the appropriate Panel Chair to the counterpart Panel. This effort should be done two weeks prior to the meeting unless the frequency of meetings requires compression of that interval.

Joint Panel Interaction and Review (Step 4)

The Joint Panel(s) will meet periodically to discuss SFAQs. Items for the agenda shall will be agreed upon by the Panel Chairs and should include as many pending SFAQs thatas can be accommodated.

New SFAQs on the agenda should be presented by the initiating Panel. While the draft should already have been distributed, this presentation provides an opportunity to ask clarifying questions. Candid exchange is encouraged to facilitate consideration of all pertinent aspects by all parties.

In cases involving a question that is in need of prompt resolution, the Joint Panel(s) may Formatted: Not Highlight immediately reach a mutual understanding of the SFAQaccelerate the processing of the SFAQ. Formatted: Not Highlight with general consensus on the answer and where prompt resolution is needed, the Joint Panel Formatted: Not Highlight may reach immediate consensus and the SFAQ could be directly recommended for approval, but Tthis must be identified to both Chairs sufficiently in advance to permit appropriate internal review.

After internal review subsequent to this initial presentation, written revisions or alternative resolutions should be developed with rationale provided. These should be provided to both panels via their Chairs at least one week in advance of the subsequent Joint Panel meeting.

At the second meeting regarding a specific SFAQ, the Joint Panel(s) should discuss present the Formatted: Not Highlight proposed final resolution(s). If mutual understandingagreement cannot is not be reached, both Formatted: Not Highlight Panels should attain a clear understanding of the outstanding points of agreement and Formatted: Not Highlight disagreement in order to hat modifyied or clarify their panels proposed resolutions for subsequent discussionreviewcan be developed. by each panel. One or both panels should agree Formatted: Not Highlight to take action to provide a revised proposed final resolution at the next meeting. Formatted: Not Highlight Appeal (if necessary) (Step 5)

If mutual understandingconsensus cannot be reached after the second joint the panel(s) dopanels Formatted: Not Highlight do not agree at the second meeting, each panel shall send its proposed resolution of the SFAQ Formatted: Not Highlight shall be referred to the NRC Deputy Director - DSPfor Reactor Security for a decision. Formatted: Not Highlight Resolution options from both Panels shall be provided in such instances. Communication prior to Each panel (industry and NRC) has the opportunity to comment on the others proposed resolution before presentation to the Deputy Director shall include opportunity to document comments on proposals from the other Panel..

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NEI 05-10 (Revision 3)

March 2010 After approvalthe decision by the NRC Deputy Director - DSPfor Reactor Security, a copy of the approved SFAQ response/solution shall be returned to the IndustryJoint Panel(s) Chair. The IndustryJoint Panels separately Chair shallwill review the documentSFAQ response to check that its content is consistent with their Industry Panels understanding of the SFAQs finalproposed resolution.. submitted to the NRC.

The industry, as represented by the NEI Chief Nuclear Officer, may appeal decisions of the Deputy Director - DSPfor Reactor Security to NRC management (Director of the Office of Nuclear Security and Incident Response) within one month. The decision of the Director of the Office of Nuclear Security and Incident Response is the NRCs final resolution and position of the SFAQ. The NRC should attempt to resolve the industrys appeal within one month of its receipt. The SFAQ will not be issued until the appeal has been resolved.

Dissemination (Step 6)

Once an SFAQ response/solution has been approved by the NRC, it is distributed by NEI using any approved means. In addition, the NEI representative will update the SFAQ Log. Since SFAQ responses/solutions are clarifications of guidance, they can be effective immediately. If implementation timing guidance is appropriate, those should be arranged between the Panel Chairs and communicated concurrently with dissemination of the SFAQ answer. Prior to issuance, the proposed solution text of the SFAQ worksheet will be deleted to assure a clear understanding of the final response.

Formatted: Outline numbered + Level: 1 +

Numbering Style: 1, 2, 3, + Start at: 1 +

Alignment: Left + Aligned at: 0" + Tab after:

0.3" + Indent at: 0.3" 9

NEI 05-10 (Revision 3) Formatted: Right March 2010 1011 PROCESS FLOWCHART 10

NEI 05-10 (Revision 3)

March 2010 1112 SFAQ FORM SAFEGUARDS INFORMATION OR EXEMPT FROM PUBLIC DISCLOSURE IN ACCORDANCE WITH 10 CFR 2.390 (WHEN COMPLETED)

OR SECURITY RELATED INFORMATION - WITHHOLD UNDER 10 CFR §2.390 (WHEN COMPLETED)

SFAQ YY-XX Title Security Frequently Asked Questions (SFAQ) Request Form SFAQ Number:__________

(Requestor to Complete)

Licensee: Date Submitted:

Licensee

Contact:

Phone: E-mail:

NRC

Contact:

Phone: E-mail:

Potentially relevant existing SFAQ numbers:

This question involves: Design Basis , Force-on-Force , Training ,

(check all that apply) Access , Security Plan , Cyber , Other Question, including background description and applicable reference(s):

Proposed Solution:

Additional pages attached? Yes No (NEI to complete)

Request # Date entered By:

SFAQ Evaluation and Resolution Section Form Revision 3, 03/10 SAFEGUARDS INFORMATION OR EXEMPT FROM PUBLIC DISCLOSURE IN ACCORDANCE WITH 10 CFR 2.390 (WHEN COMPLETED)

OR SECURITY RELATED INFORMATION - WITHHOLD UNDER 10 CFR §2.390 (WHEN COMPLETED) 11

NEI 05-10 (Revision 3) Formatted: Right March 2010 SAFEGUARDS INFORMATION OR EXEMPT FROM PUBLIC DISCLOSURE IN ACCORDANCE WITH 10 CFR 2.390 (WHEN COMPLETED)

OR SECURITY RELATED INFORMATION - WITHHOLD UNDER 10 CFR §2.390 (WHEN COMPLETED)

Security Frequently Asked Questions (SFAQ) Request Form SFAQ Number:__________

Issue presented at Joint NRC/NEI Security Question Panel: Date Resolution of SFAQ Resolution Requires a Document(s) Revision: Yes No Document(s):

(NRC Security Question Panel Chairman)

Approved by: Date:

(Industry Security Question Panel Chairman)

Approved by: Date:

SFAQ closed in tracking system and SFAQ database updated: Date:

Form Revision 3, 03/10 SAFEGUARDS INFORMATION OR EXEMPT FROM PUBLIC DISCLOSURE IN ACCORDANCE WITH 10 CFR 2.390 (WHEN COMPLETED)

OR SECURITY RELATED INFORMATION - WITHHOLD UNDER 10 CFR §2.390 (WHEN COMPLETED) 12