RIS 2003-08, Summary of Safeguards Information Requirements, Attachment 1 to NRC Regulatory Issue Summary 2003-08: Protection of Safeguards Information from Unauthorized Disclosure
| ML052870511 | |
| Person / Time | |
|---|---|
| Site: | Watts Bar |
| Issue date: | 04/30/2003 |
| Revision: | 0 |
| From: | Beckner W D, Miller C L NRC/NMSS/IMNS, Division of Regulatory Improvement Programs |
| To: | |
| SECY RAS | |
| Shared Package | |
| ML052870505 | List: |
| References | |
| ASLBP 04-829-01-PAPO, HLW-PAP0-000150, PAPO-00 RIS-03-008 | |
| Preceding documents: |
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| Download: ML052870511 (8) | |
See also: RIS 2003-08
Text
April 30, 2003
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
Attachments:
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.
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 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).
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.
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.
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).
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.