ML20211P320
| ML20211P320 | |
| Person / Time | |
|---|---|
| Issue date: | 12/16/1986 |
| From: | NRC |
| To: | |
| Shared Package | |
| ML20211P253 | List: |
| References | |
| FOIA-84-796 NUDOCS 8612190037 | |
| Download: ML20211P320 (27) | |
Text
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(7590-01]
o NUCLEAR REGULATORY COMMISSION 10 CFR Parts 50 and 73 Nuclear Power Plant Access Authorization Program; Policy Statement AGENCY: Nuclear Regulatory Commission.
ACTION: Policy statement.
SUMMARY
- This policy statement defines the policy of the Nuclear Regula-tory Commission (NRC) regarding unescorted access to protected areas and vital areas at nuclear power plants. The Commission endorses an industry program with procedural safeguards that includes background investigation, psychological evaluation, and a behavioral observation program. The program was developed by representatives of an industry group, the Nuclear Utility Management and Resource Committee (NUMARC). NUMARC has committed its member utilities to incorporate the provisions of the program in NRC approved security plans. The Commission plans to monitor this program through its normal inspection and enforcement activities.
EFFECTIVE DATE: (Date published in the Federal Register)
FOR FURTHER INFORMATION CONfACT: Priscilla A. Dwyer, Division of Safe-guards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301)427-4773; or for information of a legal nature, Robert L. Fonner, Office of the General Counsel, U.S. N0 clear Regulatory Commission, Washington, DC 20555, telephone (301)492-8692.,
0612190037 061216 1 ENCLOSURE 3 P D't FOIA L.WR4 */96 PDR
[7590-01]
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. 1 SUPPLEMENTARY INFORMATION:
STATEMENT OF POLICY The Commission has concluded that it is appropriate that each licensee who operates a nuclear power plant should establish an access authorization program for individuals who require unescorted access to protected areas or vital areas of their facilities.
This conclusion is based upon the NRC design basis threat which includes the internal threat of an " insider," ref. S 73.1(a)(1),10 CFR Part 73. To implement its conclusion, the NRC published a proposed rule-
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making on August 1, 1984, which would require an access authorization l
program at nuclear power plants (49 FR 30726). The Commission has now I
decided to accept a proposal made by NUMARC as public comment on this proposed rulemaking. The proposal substitutes for the proposed rulemak-inganindustryinitiativetocommitvoluntarilytoimplementindustry guidelines on access authorization at power plants. The Commission sup-ports the program developed by NUMARC and described in a document entitled,
" Industry Guidelines for Nuclear Power Plant Access Authorization Program, Rev. 8" dated October 3, 1966. Major provisions of this program include background investigation, psychological evaluation, and behavioral obser-vation. Copies of this document will be distributed to affected licensees and are available for inspection and copying for a fee at the NRC Public Document Room,1717 H Street NW. Washington, DC. This policy is intended to complement existing Commission policy on " Fitness for Duty" of nuclear -
power plant employees.
The Commission recognin s that the availability of a review proce-dure for use in the event employment of a permanent employee is or will e
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be terminated as a direct result of a denial or revocation of access ,
authorization is an important element of this program. The Guidelines contain provision for such a procedure.
Consistent with the requirements of 10 CFR 50.70(b)(3), the Commis-sion expects that employees of the Commission who have been certified by the NRC to have met the intent of the Guidelines will be granted unescorted access to protected areas and vital' areas without further investigation or screening.
The Commission expects that all licensees who operate nuclear power plants will incorporate the provisions of the guidelines and of this -
policy in their NRC approved physical security plans as an inspectable and enforceable program according to present procedures in 10 CFR Part 50.
This expectation does not preclude the licensee from committing to or con-ducting more stringent screening of individuals if so desired. By (120 days from the ef fective date of this notice), nuclear power reactor licen-sees shall submit to the Director, Of fice of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, amendments to their physical security plans, including an implementation schedule, which commit to implement the guidelines consistent with this policy within 180 days of security plan amendment approval. The NRC will evaluate compilance with this program through its normal inspection and enforcement activities.
The policy is based upon a Commission understanding that nuclear power plant Itcensees are ready, willing, and able to volunteer their commitment to an inspectable and enforceable program to implement the Guidelines and the policy in this statement. Because this commitment is
. voluntary,- Implementation of this policy is not considered a backfit and,
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accordingly, a backfit analysis has not bee'n prepared. It is further understood that the provisions of the industry Guidelines do not supersede any requirements imposed by NRC regulations.~ -
Dated at Washington, DC, this day of , 1986.
For the Nuclear Regulatory Commission.
Samuel J. Chilk, Secretary of the Commission.
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October 3, 1986 Rev. 8 INDUSTRY GUIDELINES FOR NUCLEAR POWER PLANT ACCESS AUTHORIZATION PRCGRAMS ENCLOSURE _4 O
l TABLE OF CONTENTS Pafd -
1 Purpose ........................................................... 1 2 Scope ............................................................. 1 3 Responsibility .................................................... 1 4 Applicability ..................................................... 2 5 General Requirements for Unescorted Access ........................ 2 6 Screening Program ................................................. 2 6.1 Initiation of a Screening Program ............................ 2
. 6.2 Background Investigation Elements ............................ 3 6.2.1 Employment History .................................... 3 6.2.2 Education History ..................................... 4 6.2.3 C r i m i na l H i s t o ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 6.2.4 Military Service ...................................... 4 6.2.5 Cha racte r and Reputat i on . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6.2.6 Ve ri f ica tion o f Identi ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6.2.7 Credit Check ............................:............. 6 6.3 Psychological Evaluation ..................................... 6 6.4 Temporary Unescorted Access Authorization .................... 6 7 Evaluation Criteria for Access Authorization . . . . . . . . . . . . . . . . . . . . . . 7 7.1 Criteria...................................................... 7
- 7. 2 Review Process................................................ 8 5 Transfer and Reinstatement of Unescorted Access Authorization ..... 8 8.1 Transfer............................ ......................... 8 8.2 Reinstatement.............................. .................. 9 8.3 Update Requirements........................................... 9 9 Continual Behavioral Observation Program .......................... 9 10 ~ Screening During Cold Shutdown .................................... 10 -
10.1 Devitalization of Vital Areas ............................... 10 - -
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1 1 1 , G r a n d f a t h e r i n g . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ._ . . . . . . . . . . . . . . . 11 -
12 Contrac tor and Vendor Requ i rements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 13 Evaluations and' Audits ......... ................... ...............
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11 GU10ELINES ACCESS AUTil PROGRA
BRkft TA8tE OF CONTENTS (Continued)
P_gg 13.1 Utility Progranis ............................................ 11 13.2 Contractor and Vendor' Programs .............................. 11 14 Records ........................................................... 12 Attachment A, Minimum Audit Criteria G
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111 GU10ELINES A'CCESS AUTH PROGRAM
1 PURPOSE To support the safe operations of Itcensed nuclear power plants, utilities will implement an access authorization program in accordance with the following guidelines. These guidelines have been designed with the objective of achieving high assurance that personnel granted unescorted access authorization to the protected and vital areas of utility nuclear power plants are trustworthy and reliable and do not pose a threat to commit radiological sabotage. Individual utilities may have additional requirements.
2 SCOPE These guidelines define the acceptable levels for conducting and evaluating the elements of the screening program. Major elements include background investi-gation, psychological evaluation, and behavioral observati6n. Additionally the guidelines (1) provide evaluation criteria for the determination of access authorization, (2) establish provisions for accepting unescorted access authori-zation from other utilities, (3) include a grandfathering of personnel who were previously screened and (4) discuss records maintenance, and evaluation and audits of the access authorization program to assure the utility's unescorted i
access authorization program is being met.
3 RESPONSIBILITY The final granting and controlling of unescorted access authorization is the responsibility of the utility. Each nuclear utility will inform contractors and vendors of the existence of these guidelines and of the necessity to follow these guidelines. The utilities are responsible to audit non utilities who conduct their own screening and/or implement continual behavioral observation programs (C80P) to assure these guidelines are followed.. Each utility is -
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responsible for having an independent evaluation conducted of its program in
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ac{ordancewithSection13.1oftheseguidelinek. ,
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Gul0ELINES ACCESS AUfN PROGRhM
4 APPLICA8ILITY Theseguidelinesapplytoallnuclearutilities,andnuclearutilitiesshall require those contractors and vendors who provide services at the utility's nuclear power plants to also follow them.
One level of permanent unescorted access authorization will be granted to personnel who have been processed in accordance with these guidelines. Such unescorted access authorization will allow access to both protected and vital areas as needed.
- 5. GENERAL REQUIREMENTS FOR UNESCORTED ACCESS A utility may grant unescorted access authorization to an individual following the satisfactory completion of a screening program (6.0) which consists of a background investigation (6.2) and a psychological evaluation (6.3). All of the foregoing may be waived if the individual satisfies any of the following:
(1) satisfies requirements for grandfathering (11.0); (2) has a transferable access authorization from another utility (8.1); (3) has a previously granted reinstateable access authorization from the utility (8.2); or (4) will_be restricted to protected or devitalized areas during cold shutdown nr refueling (10.1). Also, a utility may grant a temporary nontransferable unescorted access authorization valid for no more than 180 days based on a psychological evaluation and a limited background check (6.4).
6 SCREENING PROGRAM 6.1 Initiation of a Screening Proar m
, No element of the screening program may be initiated without the knowledge and written consent of the person who is' subject to such screening. The applicant
, for unescorted access authorization shall be informed of the types of records that may be pr'oduced and retained, where such records are normally maintained, the duration such records are usually; retained, t',e applicant's rights concero-ing access to the information, and to'whom and under what circumstances the
. Information will be released. . .
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Initial screening requirements are applicable to those individuals who have never been screened or granted unescorted access authorization except as defined in Section 11.0. The initial screening program has two componentsi a background investigation (Section 6.2) and a psychological evaluation (Section 6.3).
An applicant may withdraw consent to a psychological evaluation or background investigation at any time. When withdrawal of consent is made, all processing of work in connection with either the psychological evaluation or background investigation must cease as soon as practical. Withdrawal of consent must be deemed as withdrawal of the application for unescorted access authorization.
Information collected under these guidelines may be released only on a need-to-know basis.
6.2 Background Investigation Elements The background investigation covers the time period specified in each element below or since the eighteenth birthday, whichever is shorter. The applicant's errployment history, education history, credit history, criminal history, mili-tary service, and the applicant's character and reputation must be addressed in the following manner.
6.2.1 Employment History Except as noted below, employment history must be obtained for the past five years through contacts with previous employers, by obtaining the following information:
- a. Verification of claimed periods of employment of 30 days or more;
- b. Olsciplinary history;
.c. Reasons for termination and eligibility for rehire;- -
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- d. Any other information that would adversely reflect upon the reliability and trustworthiness of the individual as it relates to the individual
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being permitted unescorted access; and - -
- e. Activities during interruptions of employment in excess of 30 days must be verified.
NOTE: Because of the multitude of employments many employees experience during a five year period, especially craft and trade workers, verification of all such employments may not be possible. Consequently, utilities may consider these applicants for unescorted access based upon an inclusive three year retro-s,pective employment i. heck if the entire five year period cannot be covered.
Under no circumstances may unescorted access be granted based on an employment check of less than three years, and attempts should be made to include the entire five year period.
6.2.2 Education History Verify any claimed enrollment at an educational institution during the previous five years. In addition, verify the highest claimed post high school attendance or degree regardless of time.
6.2.3 Criminal History As required by Federal law (Pub. L.99-399, " Omnibus Diplomatic Security and nti-Terrorisa Act of 1986"), the utility shall perform a criminal history record check through the Federal Bureau of Investigation in accordance with NRC regulations.
6.2.4 Military Service If within the last five years, military period of service (claimed or developed)
_ must be verified by receipt of a Form' 00214 or other National Personnel Records C, enter (NPRC) records. This information must be obtained from the.NPRC through acquisition and submittal of an applicant's authoriza'tlon for release of mili- -
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tary history information. The utility may grant unescor.'ted access for 180 days ~
10/03/86 4 Gul0ELINES ACCESS AUTH PROGRAM
or less to individuals prior to receipt of military records if all other appli-cable elements of the guidelines are met and a record is maintained which docu-
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ments that the request for military history was submitted within 10 working days of granting unescorted access. If it becomes known that an individual's discharge is other than honorable based solely on receipt of a 00214, further investigation must be made.
6.2.5 Character and Reputation The applicant's reputation for emotional stability, reliability and 'rustworthi-ness must be examined through contact with two references supplied % the applicant and at least two additional references (not related to the applicant) developed during the investigation. (It is not necessary that reference's
[ individually or collectively] association with or knowledge of the applicant for unescorted access cover the entire five year retrospective period.)
Emphasis must be placed on:
- a. Identified psychological problems;
- b. Criminal history;
- c. Illegal use or possession of a controlled substance;
- d. Abuse of alcohol;
- e. Susceptibility to coercion; and
- f. Any other conduct relating to an applicant's trustworthiness of reliability to discharge job duties within the environment of a
, nuclear power plant.
6.2.6 Verification of Identity
_, Identity must be verified through,means such as photograph, social security
- . number, date.of birth, or comparison of applicants physical characteristics
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With employment, educati.on;" military and other records and/or employer. and
, character references who have a personal acquaintance with, the applican't.
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6.2.7 Credit Check A check of the applicant's credit history must be performed through checks with credit bureaus and/or credit references.
6.3 Psychological Evaluation Reliability and stability must be determined by the result of a reliable written personality test or by any other professionally accepted clinical assessment procedure. The results of such test or procedures, must be evaluated by a qualified and, if applicable, licensed psychologist or psychiatrist. If the r.esults of the written test or other procedure identify any psychological abnormalities which may indicate emotional instability, unreliability, or untrustworthiness, or the results need further clarification, a clinical interview must be conducted by a qualified and, if applicable, licensed psychologist or psychiatrist.
6.4 Temporary Unescorted Access Authorization A utility may grant unescorted access authorization not exceeding a period of 180 continuous days based on a temporary authorization. This temporary authori-zation cannot be transferred from one licensee to another in accordance with Section 8.1 with the exception of 'the FBI criminal history check which may be transferred. The 180-day temporary authorization may be granted based upon satisfaction of the following conditions:
- a. Passing a psychological evaluation within the past year;
- b. Conduct of a credit check;
- c. Recommendation of one developed character reference who has had frequent and direct association with the applicant; and
- d. Evidence that a request for a criminal history check of the individual by th.e FBI has been s'ubmitted to the NRC.
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7 EVALUATION CRITERIA FOR ONESCORTED ACCESS AUTHORIZATION
- 7.1 Criteria -
In its decision to grant a individual authorization for unescorted access, the utility shall consider information obtained during the background investigation and psychological evaluation. This information must be reviewed using the guidelines specified in this section. Each utility shall define the appropriate level of management to adjudicate matters covered by these criteria. In making a determination of trustworthiness or reliability, the following must be considered:
- a. Willful omission or falsification of material information submitted in support of employment or request for unescorted access authoriza-tion to protected or vital areas;
- b. Illegal use or possession of a controlled substance or abuse of alcohol without adequate evidence of rehabilitation;
- c. A criminal history without adequate evidence of rehabilitation which establishes untrustworthiness or unreliability;
- d. History of mental illness or emotional instability that may cause a significant defect in the individual's judgment or reliability;
- e. Any evidence of coercion, influence or pressure that may be applied by outside sources to compel an individual to commit any act of sabotage or other act which would adversely reflect upon the indivi-dual's trustworthiness or reliability;
- f. Evidence that the individual has committed or attempted to' commit, or
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aided or abettedjanother who committed or attempted to commit, any act of sabotage or other act that would pose a threat or refl'ect adversely upon that individual's trustworthiness or reliability; -
- g. A psyc60 logical evailuation which indicates ttiat- the individual is-a risk in terms of trustworthiness or reliability;- nd
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- h. Any other information that would adversely reflect upon the reli-ability and trustworthiness of the individual as it relates to the individual's being permitted unescorted access.
7.2 Review Process Each permanent employee 1 of a utility whose employment is or will be termi-nated as a direct result of a denial or revocation of access authorization will (1) be informed of the basis for denial or revocation of unescorted access; (2) have the opportunity to provide any additional information; and (3) have the decision, together with any additional information, reviewed by another designated manager of the utility who is equivalent or senior to and independent of the individual who made the initial decision to deny or revoke unescorted access. The determination from this review is final. An alterna-tive review process which is independent and impartial is acceptable.
Each utility will include a description of its review proc.ess in its program which meets this guideline.
8 TRANSFER AND REINSTATEMENT OF UNESCORTED ACCESS AUTHORIZATION Transfer or reinstatement of unescorted access authorization requires verifica-tion of the individual's identity by the utility.
8.1 Transfer An individual's unescorted access authorization granted by one utility in accordance with these guidelines may be transferred to another utility via correspondence, computer data transfer, or telecopy if,the gaining utility (1) verifies or receives confirmation that the individual currently holds a valid unescorted access authorization or has a valid unescorted access authori-zation which was terminated under favorable conditions within the previ.ous
'The term " permanent employee" refers to a person who)s employed by a utility.
for an. undefined term. It does not include employees,who were temporarily hired for a specific project or other temporary work or who were hired under arf employment contract with a, defined term.
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365 days, and (2) cross checks information such' as name, date of birth, social security number, sex, and other applicable physical characteristics for identi-fication. .
- 8. 2 Reinstatement The utility may reinstate' the unescorted access authorization granted an individual if the individual returns to the same utility and unescorted access authorization has not been interrupted for a continuous period of more than 365 days and if the previous unescorted access authorization was terminated under favorable conditions.
8.3 Update Requirements A utility shall not authorize unescorted access where the individual's unes-corted access authorization has been interrupted for more than 365 calendar days unless the psychological evaluation and the background investigation is updated to cover the individual's activities from the date of the previous background investigation, not to exceed retrospective periods in 6.2, or to the period when unescorted access was last held, whichever is less. A temporary unescorted access authorization (6.4) may be issued while the background investigation update is occurring.
9 CONTINUAL BEHAVIORAL OBSERVATION PROGRAM (CB0P) ach individual granted unescorted access shall be subject to a CB0P. This CB0P applies to all personnel who are granted unescorted access. The following must be included in the overall program:
- a. A program with the objective for. assuring the detection of alcohol and drug abuse and other behavio:- that may evidence a threat to com-mit radiological sabotage; .-
- b. A continual behavioral observatio.n program that provides for manage-ment / supervisory personnel . responsibility for observing-personnel for O
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behavioral traits and patterns that may reflect adversely on their trustworthiness or reliability and reporting those observations to appropriate utility management; and
- c. A training program which reasonably assures that management /
supervisory personnel have the awareness and sensitivity to detect and report changes in behavior, to include suspected alcohol and drug abuse, which adversely reflect upon the individual's trust-worthiness or reliability, and to refer these persons to the util-ity's management for appropriate evaluation and action.
Individuals with unescorted access authorization must be notified of his/her responsibility to report any arrest that may impact upon his/her trustworthiness.
10 SCREENING DURING COLD SHUTDOWN 10.1 Devitalization of Vital Areas .
During refueling or maintenance outage in which all or a part of a nuclear power plant is in a cold shutdown, refueling, or devitalized status, the utility may grant unescorted access authorization to the protected and devitalized areas for personnel who have not been screened in accordance with Section 6.0 provid-ing that --
- a. The unescorted and unscreened person is restricted to the protected or devitalized areas; i
j b. Other requirements of the approved security plan remain in force, I
and the requirements of 10 CFR 73.55 are followed for unscreened personnel granted unescorted access;
- c. Prior to start-up, a thorough visual inspection of the devitalized l area is made by knowledgeable plant personnel to identify signs _of tampering or attemp'ted sabotage; and . j .
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- d. Appropriate safety . start up procedures are followed to assure that all operating and safety systems are functioning normally.
l'1 GRANDFATHERING The utility may grant unescorted access authorization to individuals if they hold a valid unescorted access authorization on the date security plan amendments in response to these guidelines are approved or have been granted unescorted access authorization within the 365 days prior to the date of amended security plan approval.
12 CONTRACTOR AND VENDOR REQUIREMENTS The utility may accept the results of the entire screening program or any part thereof conducted by a contractor or vendor, provided that the contractor or
, vendor meets the requirements of these guidelines and that it makes its records available for auditing by the licensee or its designated re,presentative in accordance with Sections 13 and 14. The utility retains the ultimate responsi-bility for assuring that individuals granted unescorted access to the facility rave been subjected to the screening elements of this program.
13 EVALUATIONS AND AUDITS 13.1 Utility Programs An independent evaluation of the access authorization program and its conform-ance to these guidelines must be made within 12 months of the effective date of implementation of the amended security plan which commits to these guidelines.
. Thereaf ter, an independent evaluation must be conducted at least once every 24 months. The utility shall retain all reports of evaluation for a period of three years. ~
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_ 13.2 Contractor and Vendor Programs
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, -The tility or its designated representative shall conduct annual audits of -
contractor and vendor ac' cess authorization programs to ensure' compliance with
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these guidelines. Other utilities may accept the originating utility's audit and need not reaudit the same contractor or vendor for the same period of time
, providing the scope of the audit meets the minimum auditing criteria contained in Attachment A. A copy of the audit report, to include findings, recommenda-tions and corrective action must be provided to the sharing utility.
14 RECORDS Utilities and contractors and vendors of utilities who conducted screening programs in accordance with these guidelines shall maintain actual data that establish that --
- a. A background investigation and psychological evaluation were conducted for each person who is screened under Section 6 of these guidelines;
. b. Other persons were granted unescorted access authorization in accordance with Section 11; and ,
- c. Satisfaction with the conditions of Sectica 6.4 which resulted in the granting of temporary unescorted accesc authorization.
The utility, contractor, or vendor shall retain records for each person who is granted unescorted access for a three year period following termination of access authorization.
Each utility or utility's contractor or vendor who collects personal informa-tion for the purpose of processing access authorizations shall establish and maintain a system of files and procedures for the protection of the personal information. This information must not be disclosed to persons other than the subject or his/her representative, utility counsel and officers, auditors whose
_ purpose for review would be to inspect program conformance, other utilities if
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i an individual's access authorization is transferred, and those individuals wh.o.
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have a need to have access to the information in performing assigned duties in
-. - I. the process of granting or denying access authorization.
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MINIMUM AUDIT CRITERIA The following information must be reviewed during the conduct of.an audit of a contractor / vendor screening program to meet the objective that the intent of these guidelines have been met.
A. Background Investigation The auditor shall review screening activities by examining records and conducting interviews with appropriate personnel to provide confidence to determine that screening activities were accomplished in a correct and accurate manner.
In conducting an audit of the background information to reasonably assure con-tractor conformance with these guidelines, the auditor shall randomly verify the following:
- 1. Employment History Date the verification was made, complete dates of employment, posi-tion, disciplinary history, reason for termination, eligibility for rehire, and any other information which would adversely reflect upon the reliability and trustworthiness of the individual. The retro-spective period for employment history must be reasonably attempted for five years; however, due to the nature of employment histories of some transient craft workers, a minimum period of three years is required.
- 2. Education .
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Copies of transcripts, diplomas, etc. , documentation which verifies -
all claimed attendance within the previous five years. In addition,
. the higliest host-high' school attendance or degree must be verified 10/03/86 -
1 Attachment A
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i regardless of time. Records must include, as a minimum, dates of check, dates of attendance, highest level of attendance, and reason for leaving, i.e., graduation, transfer, expulsion, etc.
- 3. Criminal History Date of check and results of FBI criminal history records check. If temporary unescorted access authorization was granted, evidence of submittal of request for FBI criminal history records prior to granting unescorted access.
. 4. Military History Date of receipt and copy of form 00214 or other military records from the National Personnel Records Center if military service was within previous five years. If unescorted access was granted prior to receipt of NPRC records, evidence of submission of request for military history within ten working days of granting unescorted access shall be contained in the access authorization file.
- 5. Character References Dates of contact, names of references, association with applicant, period of association and any information related to identified psychological problems, criminal history, illegal use or possession of a controlled substance, abuse of alcohol, susceptibility to coercion and any other conduct relating to applicant's trustworthiness i
and reliability. Each file must contain two listed references and i two developed references (not related to applicant) as a minimum.
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- 6. Ve d fication of Identity
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! H'ow verification of identity was accomplished through such means as photograph, social security number, date of birth,. and comparison of
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applicant'_s physical charactdristics witil records and/or refe'rences.
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2 Attachment ~A
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- 7. Credit History Date of the credit check (s), name and location of credit bureau or other source, and results of initial check (s).
B. Psychological Evaluation To reasonably assure contractor conformance concerning psychological evalua-tion, the auditor must be concerned with' the date of the testing and that a psychologist / psychiatrist reviewed the evaluation. Contractor records must include a copy of the report signed by a licensed psychologist / psychiatrist.
C. Continual Behavioral Observation Program (CBOP)
To reasonably assure contractor conformance concerning a CB0P, the auditor must review contractor's program to determine compliance with these guidelines, specifically to address that supervisors are sensitized to, alcohol and drug abuse and other behavioral traits / patterns which may cause a threat to commit radiological sabotage, and to report / refer persons displaying such behavior to the utility's management for appropriate evaluation and action.
D. Temporary Unescorted Access Authorization To reasonably assure contractor conformance concerning temporary unescorted
, access authorization, the auditor must be concerned with completion dates for credit check, reference check, psychological evaluation (within previous year from date unescorted access was granted) and date of submission to the NRC of FBI criminal history check. The auditor shall follow criteria set forth in Section A for credit history and character references and Section B for psycho-logical evaluation. Evidence of submission of FBI criminal history request or receipt of results transferred from another utility or received directly from the NRC must be contained in access authorization file.
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~10/03286- 3 Attachment A
E. Update Requirements To reasonably assure contractor conformance concerning ' updating access authori-zations when access authorizations have been interrupted for more than 365 days,
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the auditor must be concerned with the dates of psychological evaluation and background investigation, and the retrospective period of the background inves-tigation must cover activities from the date of the previous background investi-gation not to exceed the retrospective period of Section 6.2 or the period when unescorted access was last held, whichever is less. The criteria listed in Sections A and B must be met in updating unescorted access authorization.
E. Grandfathering To reasonably assure contractor conformance concerning grandfathering, the auditor must be concerned with the date of the previous unescorted access
. authorization to determine that the individual held unescorted access authoriza-tion on the date security plan amendments in response to these guidelines were approved or was granted' access authorization within the 365 days prior to the date of amended security plan approval. The auditor must be concerned that no individuals were grandfathered earlier than the 365 days prior to the date of amended security plan approval or subsequent to the date of amended security plan approval.
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40138 Fedeixl Register / Vol. 51. No. 216 / Friday. Nosember 7.1986 / Proposed Rules
{ 335.108 Appeats and grfewances.
time to establish an insurance contract ADORESSES: Send comments to:
la) \ppeah. There is no right to at the time of planting Cli!AA also Secrt tary of the Commission. U.S.
a;te.J n at tion under this part. espressed opposition to the change that Nuclear Regulatory Commission.
IL) Gnesances Employees may not would gise msureds more time to quahfy Washington. DC 20555. Attention:
gr.es e nonse'ec.tmn under this part from for a higher amount of insurance Docketmg and Seruce Branch. Deliver a y oup of properly ranked and certified contending that such a change would comments to: Room 1121.171711 Street rebdates. or fai!ure to receit e a a!!ow ads erse selection agamst the NW.. Washington DC. between 8:15 noncompetita e promotion. insurance company. a m. and 5 00 p.m.
It R Dac a+::o Fhd i1-6-ac. 8 45 aml . FCIC has determmed that giving Examine comments received and the
" '" C * ' ' * " insureds more time to qualify for a regulatory analysis at: the NRC Public higher amount of insurance would result Document Room.1717 H Street. NW..
- in adserse selection against the Washington. DC 20555.
DEPARTMENT OF AGRICULTURE insurance c mpany and that the chang?
is unnecessar3 and contrary to the basic FOR FURTHER INFORMATION CONTACT:
Federal Crop Insurance Corporation concept underlying the insurance Kristina Jamgochian. Office of Nuclear P' 8'85- hiaterial Safety and Safeguards. U.S.
7 CFR Part 425 For the reasons stated abose, the Nuclear Regulatory Cornmission.
- d " Washington. DC 20555. telephone (301) l Amendment No.1; Doc. No. 0 t05A] 427-4754.
pubbshed on Wednesday. August 2,,.
Peanut Crop insurance Regulations; 1986 (51 FR 30497)is hereby withdrawn' SUPPt.E MENT AR Y IN FOR M AftON: Section W.thdrawal of Proposed Rulemaking Done m hhmvon. DC on October 23 006 of Pub. L 99-399. "The Omnibus Diplomatic Secunty and Anti Terronsm ACENCv: Federal Crop Insurance Act of 1986." requires nuclear power Corporation. USDA. Ed rd h -
Acim; Manager. F<Je ! Cror 1.nsurance reactor licensees and apphcants to ACTION: W,ithdrawal of Notice of cep,wr" conduct criminal history checks through Proposed rulemaking the use of FBI criminal history data on lFR Doc B6-25280 Fited 11-6-86 8 45 am) indiuduals with unescorted access to
SUMMARY
- The Federal Crop Insurance **G C00' "'**~" nuclear power facilities or access to Corporation (FCIC) hereby publishes __
_ _ _ _ _ _ ____.___ Safeguards Information. The Act, signed this notice for the purpose of by the President on August 27.1986.
withdrawing a Notice of Proposed NUCLEAR REGULATORY requires the NRC to issue regulations to Rulemaking lNPRM) amend:ng the COMMISSION establish conditions for the use and Peanut Crop Insurance Regulations (7 control of the criminal history data CFR P ert 4:51. effectne for the 1987 and 10 CFR Part 73 received from the FBI no later than six sameding crop years FCIC has months after the date of the enactment de ernuned that gning insureds more Requirements for Criminal History Checks of the Act.These conddions include t.me to qual.fs for a higher amount of procedures for the taking of fingerprints.
insurance would result in adserse limits on use and redissemination of AcENCv: Nuclear Regulatory sciection against the msurance company Commission. criminal history data. assurance that the and that the thange is unnecessary and mformation is used solely for its contrary to the basic cc.ncept under!png "UI'0"# P' E '"d I"I
_._ intended purpcse, and provisions that the insurance program. The authorii) for
SUMMARY
- The Nuclear Regulatory indaiduals subject to f.ngerprinting are the promulgatwn of this notice is Commission (NRC) proposes to add a prouded the nght to complete, correct, contained m the Federal Crop Insurance and explain information ir. their criminal Act, as amended. new regulation to impleme a program for the control and use of c..mmal history records pnor to any final FOR FURTHER INFORMATION CONTACT: history data receised from the Federal ads erse action.
Peter F. Cole. Secretary. Federal Crop Bureau of Ins estigation (FBI) as part of The Conference Report on 11 R. 4151 Insurance Corporation. U.S. Department cnminal history checks ofindividuals (published in the Congressional Record of Agriculture. Washmpton. DC. 20:50. granted unescorted access to nuclear telephone (202) 447-3325. on August 12,1966. p.11-5965) contains power facilities or access to Safeguards the following legis!atis e history:
SUPPLE MENTARY INFORM ATION: On Information by nuclear power reactor Wednesday. August 27,1986. FCIC licensees. Conducting cnminal history Criminal IIistory Record Checks published a Notice of Proposed checks of such indiuduals will help The Senate amendment (Section 703)
Rulemaking in the Federal Register at 51 assure that individuals with criminal contains a provision requinns fingerprint:na FR 3G497. proposmg to amend the histories impacting upon their reliability and cnminal history record checks for certain Peanut Crop Insurance Regulations (7 and trustworthiness are not permitted "
CFR Part 425) effectise for the 1987 and unescorted access to a nuclear power T e$ouse b)1c$ontNnUno om arable praisin succeeding crop years. The public was facility or access to Safeguards gaen 30 days in which to submit written information. Issuance of this regulation The conference substitute Isection ooe) is comments on the proposed rule. similar to the Senate amenda ent with some is required under the provisions of Pub.
modifications. The substaute. which One comment was receis ed by the L 99-399. " Omnibus Diplomatic Security incc.rporates the substance of S 274. passed Crop if ailInsurance Actuanal and Anti-Terrorism Act of 1986." by the Senate on October 3.1985. adds a new As sociation (ClllAA) expressing DATES: Submit comments by December opposition to the proposed change of 8.1986. Comments received after this se(t]n,,,,nd-to the ^ e tab hau fr allowing a producer until the acreage date will be considered ifit is practical procedure for criminal history checks.
reporting date to sign sales contracts. applicable to au commercial licensees.
to do so but assurance of consideration regardless of owr.ership.
ClllAA contends that the current cannot be given unless comments are conditions allow a producer sufficient The Committee of Conference agrees that received on or before this date, the Nuclear Regulatory Commission [NRC)
Tederal Regisler / Vol. 51. No. 21fl / liiday. November 7.19% / Proposed Rules 40439 a vo!d sme 6. a chnr.c .,g acenn. in order the scarch. Only those records
' ' " cards. Edison E!ectric Institute (FEI) and
$: nt .bEld t e7hNr$1 ngcmay fer admenstering the program f 81 train lng tapes are asailable II,r tase will be kept. The routine turnaround in establishing procedures for the prcrer Beaa of Inu stut:en for ider tificatisn .nd time for a crimmal history check, from a cr4n.nal hmor) recrd check, and mtthod of taking fmgerprints.
disintee the resul's of *he search to the the t;me the hcensee mails the Fingerprint cards sbil be filed by the hccr. sees and ar;,l.c *.us The NRC will not fingerprint card to the NRC to the time liccnsee on behalf of the ccntractor, arto; the results it will hcweser, be the licer.see receises the returned responutie for checkeg mcomica car.is to fmFerprint card with the results of the manufacturer, and sup lier em to ees wh are espected to hased unescorted ersi.re that the) are cr.mp:ete and legib!e and criminal h! story check. is espected to hase been submitted b) a htansee or aserage 25 working days. access to a nuclear power facihty or to app!. cont entit!vd to receise criminal h:>ioO The legistition requires nuclear power S.efeguards Information with the infwmation under this !aw The NRC may appropriate fee attached. NRC reactor Ikensees and applicants to app $bnt t conduct criminal history checks on personnel teqmring unescerted access to r s to$$fense the facil;ty do not need to be Cc r.nussica finds is mahand;ms or misus.ng individuals with unescorted access to infemation obtained under this prousion. nuclear power facilities or access to fingerpnnted by the licensee The The cor.ference subst: fore specif es that 'he Safeguards Information. flow ever. Commission conducts an equisaient recul4* ions the Comr~ssm:is to p omulaate current repu:a' ions do not require program for fin;erpnnting of NRC under this sect:on .nst >ncli.de prosisiens to pref ection menures against radiological employ ees for FBI cr:minal histary ens ,re that no final .herse action ma3 he sabotage un!.! issuance of an operatmg checks.
taken an:nst an errr!n ee or job applicant license. Accordmsly, the Cornmission in accordance with the prosisions of In r th co m r a [rr t 'j does not deem it riecessary to require i n57(el and Ifl. the licensee will than 13 ear old fc,r wrat dere is no finEerprinting of apphcant errp!c>ees for es'ablish procedures for implementing mforr. tan of the dups t:or or an arrest unt scorted access to the facility. the individual's Nght to correct.
tbt ressited in dam:ssal ci tlc charge 9r an Applicants who anticipate recening comp;etc. and esplain information prior acquittal A hur.see or appl (ant rete:ung a their operating license in the near fut:.re cnmmal recorj show;r.g an ar est not and wish to submit f:naerprir.ts of those to an) adserse action. The hcensee wdi acinmpamed by a d:sysition me seek to also establish procedares for limiting indiuduats who will remam on staff an :nMual.s 6 term.ne the d:sposi::on of the charge. but if after the hcense is issued may do so in no daposmon inbreat on can be obtained. accordance with the prosisions of the cnm.nal history record to only those tte a ru st cannot be used as the bn:s for ru!E w h have a need to hase access to the
' b " 'd ' "'
Implementation of this rule will take informaHon in perfornir.g assigned e ,a s nse aa s a b" UNbk @*' M E N' date.The Comrr.iss;vn w:ll send to the denying unescorted access to a nuclear prMe' mJ.uda4% s.t.jef.t to firgerpnntag frem m.sase of cnsna: hister3 records hcensee an ini'ial stack of the necessary power facility or access to Safegua?ds prcudt d a9 ler de sec* e %suse would fingerpnnt cards pnor to the date of the Infortnation as well as against include. fer cump'e. e>e of tr e records to effectise rule. as well as a sample unauthorized disclosure Submittal of an d:scnra.nate against c.r.srit.es or to ren.!ize forwarding letter to be used by htensees amended security plan is not r.ecessar).
union membus or whist:etlawers or to for transmitting the f ncfrprird catds During the internal staff review of the and fees to the NRC. The foru irdmg IeY.e c te m is$e ro .
letter will contain the follcwmg proposed rule. a qucst.on arose as to whether or not fingerprinung should te ite starttory requinments far the Cummos.on's regu!atmns a re mm. mum information facility docket nurnber, required only for unescarted access to reqwerr.ents and are not r cont to Ic:at tw, number of fmgerprint cards bemg utal areas rather than to the nuclear d2screton of the Ccem:ss.cn to implernent a submitted, amount of the proper fet: power facihty which a!so includes pract. cal program for carr>ine out the being submitted. and the cc .'nt persen protected areas. To be consistent with ptypases of the sect on and Frutec'ing the at the facihty along with h:slher phone the leg.slative intent and specific due process . sed pns an mter sts of nun.her. (The fingerprint cards and the prospectae employees. lanpage of Pub. L.99-M. the staff has results of the criminal history checks.
The Comm.itre of Cer.ference al>o added w:.tten the proposed rule to require when completed. will be sent to the language aathunzir.g de Comraissier to firg :rprinting of indn iduals granted colicct and ret.un fees far its scrua: as I ansee to the attention of the contact person.)In accordance with the Act, the mse rted access to the nuclear power chaa.nehng agenc3. ne FD1 alreads has facility. Additionally, during the public established and is authonzed to collect fees fee will be utih. zed to offse! NRC and FDI costs for processing of fingerprints comment period on the proposed Access for its processing non.ct:mmal justire ficprpnnt checks. It is the intent of the and criminal history records. Authorization Rule. licensee and Comcuttee of Conference that this language Within 180 days of the effective date industry groups commented that it was ensures that the FBI will be able to collect its of this rule, each licensee will return to more cost effective to run a single normal fee for the work . wdl do m the Commission. as they are completed. access authorization program. especially processing record checks under this the fingerprint cards of allindividuals since the majority of employees needing promn. (licensee. contractors. ma nufacturers, access to the protected area also Licensees cannot have access to the and suppliers) who are deemed to required access authorization to one or criminal history data provided by the require unescorted access at the nuclear more vital areas. In the interest of leg:s!ation until the NRC has estabhshed power facihts or access to Safeguards determining whether this view st.ll regulations for the control and use of the Information. The fingerprint cards are to presails, specific response is reqaested data. In accordance with the Act the be fdled out complete!y and the facihty during the public comment period to the NRC will only collect firgerprint cards, dacket namber shall be included on followiag question: should fingerprinting forward them to the FBI. and distnbute cah individual card in add: tion to the be required of individuals for unescorted the results of the search. The NRC wdl information required in the space access to vital areas only or to the nat maintain any new files of marked " Reason Fingerpnnted' . To nuclear power facdity?
information or systern of fdes to contain assist the licensee in ensuring a low either fingerprint cards or the results of rejection rate of submitted fingerprint
40140 Fad;ril Registir / Vol. 51. No. 216 / Friday. November 7.1%6 / Proposed Rules Ensironmental Impact: Catc gorical Esclusion rec.ordkeeping requiremen4. Secunty measures. access to the nuclear power faciht) or access to Safeguards Information.
The NPC has detennin*d that this prcposed r6 is the type of action For the reasons set out in the Indisiduals who have unescorted access d%cnbed in categorical esclusion 10 preamble and under the authority of the authorization on 8 will retam Atomic Energy Act of t954.as amended. such access pending licensee receipt of CFR 5122tcl(31 Therefore neither an the Energy Reorganization Act of19'4.
e uronmantalimpact statcment nor an the results of the crimmel history check as amended, and 5 U.S C. 553. the NRC of the individuals' finberpnntes, so long ensironmental assessment has been p.,p3,ed for this proposed rule. is proposing to adopt the following as the cards were submitted by 8 amendent to 10 CFD Part 73. The licensee will then review and use Paperaork Reduction Act Statement the information received from the FBI.
Th:s proposed rule amends PART 73-PHYSICAL PROTECTION OF and based on the provisions contained infern:ation co!!ection requirernents that PLANTS AND MATERIALS in this rule, determine either to continue are subject to the Paperwork Reduction 1.The authority citation for CFR Part to grant or to deny further unescorted Act of 1980 (44 U.S C. 3501 et seg 1. This .,3 is revised to read as fo!!ows:
, access to the facihty or Safeguards rd has been submitted to the Office of Authority Secs 53. tot sa Sf41.930 948 as Information for that individual.
Mr.wrnent and Budget f0r resiew and amende d. sec.14E N Stat 78n (42 U S C. Individuals who do not have unescorted opm 207). 2167. 2201); sec. 201 as amended. 204- access after 8 shall be re fu,us al of the paperwork rements. fingerprinted by the licensee and the So Stat 12 2. as amended. 1245 (42 U S C' Regulatory Anal) sis results of the criminal history records The Comm:.ss:on has prepared a S[run 73 37!f)is also issue under sec. *301. * * "8
- Pub L 9*295. 94 Stal 789 (42 U S C 5841 determination for granting unescorted regulator) anal) sis on this proposed note) Section 7.357:s issued under se: ve. access to the nuclear power facihty.
re;alation. The analysis eummes the Pub L 99-399.
(2) The fictnsee shall notify each For the purposes of sec 223. 68 Stat. s58. as ecsts and benefits of the alternattfes affected indiudval that the fingerprints cc.ddered b} the Commission. The amended (42 tis C. 2273).1173 21. 73 37(al.
an ah sis is avadable for inspection in 73 55 are usued under sec. telb. 68 Stat. wa. wd! be used to scure a review cihis/her as amended (42 U S C. 2201(bil.1173 20.
criminal history record.
tb NRC Pub 4c Document Room 1717il 73 24. 73 25 73 26. 73 27. 73 37. 73 4a 73 45. (3) Fingerprints need not be taken,in et NW Washmgton' DC 20555 73 46. 73 5o 73 55. 73 87. are issued ende r sec. the discretion oI the Iicensee. if an
%' ."ns.e ropiet of the analysis Min S may b'e949 s amended (42 U S C.
c8 S'at Individual who is a permanent employee r .md from Kristina jeirngochan. 22ntin). and il 7J Jo(rH1). 73 24tb}lt) of a licensee, contractor, manufacturer Se cfjards Reactor Regmatcry 73 26%3). th)t6) and (k)(4) 73 27(a) and (b). or supplier has been granted unescorted F.e proments Si ction. Diusion of 73 37A 73 40tb) and 73 4Ngite) and th)i2).
73 50Tf 2) f 3HWf 0). und (ht. 73 55(h;21. and a: cess to a nuclear power facility or to S.feswds. Office of Naclear Matenal (4;linjiBl. 73 70. 73 71. 73 72 are ass;ed under Safeguards Information by ancther Sa'e> and Safeguards. U S. Nuclear licensee, based in part on criminal syc 161o ea S!al 950. as amended (42 U S C.
Ib d story Corr mission. Wuhingtcn. - Ottch. history records check under this section.
DC :;o353. telephone (301) 427-4754.
In the case of temporary emplojces.
- 2. A new i 73 57 is added to read as Regidatory Flesibility Certif' cation foIIows: brgerprints need not be taken so long as the individual has been fingerprinted E 2 sed on the irformation as ailable at i 73.57 Requirements for crtmhat history within the last 180 days.
t: :5.tne of the ru!ernak;ng proi.eedmg checks of individuais sranted unescorted a .j in :,cco*d inte with the Reguldory 14) All fingeprints otta,med by the acce:S to a nuc' ear pc*er facinty or accesa licensee under this seciton must be F:. tbdity Act of 1MO 5 U.S C. 603ib). to sera;uards tr formation by power tS Cc.v.ission herrby certifies that if "0' Hm se e s. submitted to the Attorney General of the
- m.!c ited this ru'e wd! not hase a United States through the Commission.
(d) Cenercl- (1) Each licensee who is (5) The licensee shall review the
> c Or. ant economic impart upon a auther, zed to operate a nuc! car power information receised from the Attorney s > mr tal number of small entities. The reaN under Part 50 shall comply with General and consider it in making a prevd rule affects hcensees who the rt gairements of this section.
opewe nuclear power plants under to determination for granting unescorted (2) Each apphcant for a license to CW Parts 50 and 73. The comparaes that cperate a nuclear power reactor access to the indmdual.
cw a these plants do not fall withm the pursuant to Part 50 of this chapter shall (6) A licensee shall use the scope of the defmition of"small submit fingerprint cards for those information obtained as part of a ent: ties" set forth in i 605(b) of the entninal history records check snlely for individuals who have access to the purpose of determining an Rep!ator) Flesibihty Act of 1980. or Safeguards information. '
w chin the definition of Small Business (3) Each applicant for a license to individual's suitabihty for unescorted Size Standards set out in regulations operate a nuclear power reactor access to the nuclear power facility or issued by the Small Dusiness access to Safeguards Information.
purusant to Part 50 of this chapter may Administration in 13 CFR Part 121. submit fingerprint cards prior to (c) Prohibitions. (1) A licensee may ie receiving its operating license for those not base a final determination to deny Backfit Anal)s. an individual unescorted access to the individuals who will require unescorted As this rulemaking is based upon a access to the nuclear power facility. nuclear power facility or access to legslatise mandate, the need to make a (b) Cenero/ performance objective Safeguards Information solely upon:
backfit decision is unnecessary, and requirements. (1) Each licensee (i) An arrest more than 1 year old for IJst of Subjects in 10 CFR Part 73 subject to the provisio whcih there is no information of the shall hngerprint eachdividual, m,ns fo disposition of the case; or this section H 42ardous materials-transportation. except NRC employees and individuals incorporation by reference. Nuclear materials. Nuclear power plants and responding to a site emergency in , insert date of En.1 rute publication in red ret accordance with the provisions of reactors. Penalty. Reporting and . In.,,, d i. tan days .frer rinei rute put,1 c. tion I 73.55(a), who is permitted unescorted in reder.1 Resi.i.e.
r o
, Feder t Register / Vol. 51. Nn. 216 / Friday. Nosember 7,19r6 / Proposed Rules 40141
! \n arrest that n sulted in d.smasal to the indnidual the contents of records h.ne act ess to the information may
<!r s < barge cr on acqmital. obtamed from the Federal Bureau of redisseminate the ir. formation to any
- t. A laensee ma) not use inmtigatmn for the purpose of assurmg other indindual who does not have a
.-? ram n recened from a cntmnal correct and complete information. need to know.
- l. n > che<.k obtained under this Confirmation of receipt by the (3) The personal informa tion obtained s.- m m a manner that would minnF" indaidual cf this notification must be on an indaidual from a crimmal histor)
- e. the nghis of any mdnidual under m sintained by the hcensee for a period record check may be transferred to tr. F rst Nr.endtr.ent to the Constitution of 3 scars from the date of the another bcensee
d tr United States. nor sball the not 6 cation.
!. nee use the ir.fo mation in un) way r b) Upon the indisiduars requcst to (2) If after resiewing the record, an redisseminate the information contained w Lt r. woald dact.mmate among inda adual belies es that it is incorrect or in his/her fde, and
.r ' . 3 ials on the basis of rate. relyon. incomplete in any respect and wishes r . . ; ni ongin. se s. or age. In)If the gaining licensee venfies (hanges. corrections, or updatmg of the information such as name. date of birth.
le Proc edures forprocesains uf al!eged defaciency, or to esplain any social security number ses. and other
' .:, . ; emt checAs (1) For the purpose of matter in the record. the hcensee shall ce.- @ag woh th.s section. bcensees apphcable ph)sical characteristic.s for inform the individual of proper ident6 cation and.
sw submit 1 cc,mple ted, legible procedures for reusmg the record or u d f.ng. rpn :t card (Form FD-058) in ludmg esplanation m the record. tili)If the indnidual was terminated 3.;; ed by the Nhc for each indindual w;th:n the preuous 365 days, the These procedures include direct r s. mng unrst or9d at.cen to the term. nation was under f.norable appbcation to the agency that c o,d.tions.
tm. s'dr POWUr fac e Q Or auess to contributed the questioned ir. formation Nf : ar.ls IrJurm. :iun to the Director. or direct chdienge as to the accurac) or al The license.e shall make criminal D . e an of Secur.t). U.S. Nadear .. completene s of any entr> on the Hstor) records obtained under this Fm story Cemm.u on. Wahmg'on. cnmmalhistory record to the Assistant section as allable for esaminawn onsPe DC . %5. Attenten Crimm.d ifatory bv an authorized represen*atise of the D. rect or. Federal Bureau of Ins es'iption -
C .
- Sat.on Copies of these forms Identification Da ision. Washington. DC sRC to determme compliance with the ma . e obta.ned t > wnimg to: recula' ions and laws.
20W-9'00 as set forth in 28 CFR 1630 Ir.fxmation and Rn ords Nt.in. gement through 16 3t in the latter case the '[5) The hcensee shall retain all Ew -h (pNtSS). L.* S. Nudrar Regulatory Federal Bureau of Irn estigation then Imgerpnnt cards and crimmal history C. - umon Wash."gNn. DC 20*.55- forwards the chal:enge to the agency raceds recened frcm the FBI on an n.c ;ensie 351: esMbli>h proccdcres that submitted the d.sta req;estmg that indnidual (includmg data indicating no
+
s.re that the qu @y of the agency to senfy or correct the record) for 3 years after it rmination or f .g. :pnr ts taken a sdts in rrm:mamg challenged entry. Upon receipt of an d-nial of unescorted access to the
- . Nection rate of fingerpemt uds n c! car power fac;hty or access to c.e o dierbic or meurrple c cards offu ial commumcation direct!> from the SJeguards Information.
y The Cortmn.sion wdi sesiew agency that contnbuted the origmal iriformation. the FDi identMcation a;( ;ounns for ct+mmal histor> checks om,,on makes any changes necessary N." Dated b" 1 at
- Nsbrvon. DC ins 5th das o f r - mrfeter.ess Any Form FD-258 in vcordance wi'h the information Fur the Nx! ear Reg !.ter) Cornmtssion.
c r'.cmr.a umssions or evident ertr rs supphed by that agency.The hcensee w d: Se n turr.e4 to the hcenwe for Sa muel l. Chilk.
may not take final adserse action with s.mtary o.f the esmerassion.
.. ~s .tmns. No additmnal fee will be respect to an indindual based solely on r N red for fmeprm cards needed to e gyg ox so.:5393 F;!cd ti.-r,-86. a 45 arni informition in the record that has been
,p'i e returred mcomple c or i"eg61e challenged by the ind.vidual as incorrect e .u=o coos rsio-eim f rprmt ca ds if the ong'nal or incomplete untd the indnidual has
- f. ;.: pr:nt card is attac bed to the been afforded a reasonable amount of ra mit al. time to correct. complete, or esplain the DEPARTMENT OF ENERGY lt Fees fo the processing of record or has declined to do so.
f ng print checks are due upon (f) I'rotect;on ofinformcrion. (1) Each Office of Conservation and app.tcation 1.irensees shali submit licensee who obtams a criminal history Renewable Energy pa3 .ent with the application for the record on an indisidual under this processing of fingerprints through section shall estabbsh and maintam a 10 CFR Part 430 corporate check certified check. sptem of files and procedures for cash.cr's check. or money order made protection of the record and the (Docket No. C AS-RM-79-t02) pn able to "tt S. NRC" at the rate of personal information from unauthorized
$t5 00 for each card. Combmed paymen' disclosure. Energy Conserystion Program for for rnultiple applications is acceptable. Consumer Products; Proposed (2) The licensee may not disclose the Rulemaking Regarding Test O) The Commission will forward to record or personal information co!!ected the sabmitting hcensee all data receised and maintained to persons other than Procedures for Central Air f.orn the Federal Bureau ofInvestigation the subject individual, his/her Conditioners, including Heat Pumps; as a result of the licensee's representative. or to those who has e a Extension of Comment Period app:. cation (s) for criminal history need to have access to the information AcENCv: Office of Conservat. ion ano checks, includmg the indindual's in performing assigned duties in the Renewable Energy. DOE.
f.nge print card. process of granting or denying
('el Right to co rect and romplete ACTION: Extension of comment period.
unescorted access to the nuclear power se'ormotion (1) prior to any adverse facihty or access et Safeguards sVMMAny:The Department of Energy action, the hcensee shall make available Information. No individual authorized to (DOE) hereby estends the comment
r JA3f ES K. COOK law OmcEs AREA CODE 314
- D' CirAntrs A. Wi:RNtn ClintsToritEn T. IIExTER Seii1 cil AT. COOK N W1:14NI!!(
ST ARILYN S. TEITEl. IIA 051 Tito Siirt.x,11ritmisc StiTE 250 STAstry R. Scitreit AT JAsti:s I. FINr.ER 1221 Locrsr STREET (1939-79)
LisA S. VAN Astat nc SAINT lor!S, Missorn! 03103 S At.t.y E. Il ARKER g
' t .'
October 5, 1984 FREEDOM OF INFORMATION ACT REQUEST Attention: Freedom of Information Nuclear Regulatory Commission Office FOQ .p gf. 7 g 1717 Eighth Street, N.W. h /()-/g g Washington, D. C. 20555 Gentlemen:
This is a request under the Freedom of Information Act as amended (5 U.S.C. Section 552).
Please furnish me a copy of the following:
- 1. The Hearing Board recommendations made to the Commission concerning future personnel screening requirements applicable to nuclear power reactors.
I believe these recommendations are entitled
" Authority for Access to or Control Over Special Nuclear Material" (RM 50-7).
- 2. The regulatory guide published for public comment which provides guidance on the scope of the background investigation criteria that can be used by the licensee to determine an individual's history of trustworthiness and reliability.
- 3. A general accounting office report entitled " Additional Improvements Needed in Physical Security at Nuclear Power Plants" (GAO/RCED-83-141, July 13, 1983).
- 4. Documents or reports reflecting the underlying data upon which the Hearing Board concluded that there is a "disuniformity in private industry compliance with screening standards" as set forth in figure 1 of attachment 3 to the Access Authorization Rule enclosure (enclosure A) Value Impact Statement.
- 5. Documents or reports reflecting the underlying data upon which the Hearing Board concluded that the initial cost for background investigation would be $375K including, but not limited to, cost estimates based on informal
-85$5 y 2Hitr Sep.
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Freedan of Information Office Page Two October 5, 1984 data received from two private investigative firms, seven utilities, and the Atomic Industrial Forum.
- 6. Documents or reports reflecting the underlying data upon which the Hearing Board concluded that the cost of psychological testing for two written tests would be $35.00 per test.
- 7. Any documents or reports reflecting the underlying data upon which the Hearing Board concluded that the cost of a clinical interview would be $100.00 per interview for 500 persons (assuming one-third of all persons tested require a clinical interview).
- 8. Documents or reports showing what types, kinds, and the number of tests given at the various nuclear plants in order to determine psychological fitness.
For example, are there one or more nuclear plants who are using the Sixteen Personality Factor Ques-tionnaire (16PF), the Motivation Analysis Test (MAT),
the Clinical Analysis Questionnaire (CAQ), the Stress Evaluation Inventory (SEI) and/or the Nuclear Screening Services (NSS).
- 9. Documents or reports showing the structured order that utilities follow for giving the tests or groups of tests involved with the psychological testing. For example, is the 16PF test given first at all plants where it is used? IE the MAT test given as the second test preceded only by 16PF?
- 10. Documents reflecting whether any or all nuclear plants allow employees who fail a written psychological test to take another test and/or be evaluated by a licensed physician, psychologist, or psychiatrist.
- 11. Documents showing the procedures and tests Union Electric, its contractors, and subcontractors used to to determine the psychological fitness of persons to be employed at the Callaway Nuclear Plant, Fulton, Missouri.
As you are aware, the FOIA provides that if some sections of the file are exempt from release, " reasonably segregable" portions shall be provided. I request, therefore, that if you determine that some portions of the requested information are exempt, you provide me immediately with a copy of the remainder of the file. I, of course, reserve the right to appeal any such decision.
e- - -
Freedom of Information Office Page Three October 5, 1984 If you determine that some or all of the report is exempt from release, I would appreciate your advising me as to what exemption (s) you believe cover the material which you are not releasing.
I am prepared to pay reasonable costs for locating the file and reproducing requested information. However, before providing the information, please advise me of the cost of each item requested.
As provided by the amended Act, I will expect your reply within ten working days. Thank you for your assistance.
Sincerely, 7
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/m.; % -c Christine Lay Legal Assistant CL:jh