![[logo] US EPA](http://www.epa.gov/epafiles/images/logo_epaseal.gif){kind=logo}
Power Reactor Security Requirements [[pp. 62763-62812]]
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: October 26, 2006 (Volume 71, Number 207)]
[Proposed Rules]
[Page 62763-62812]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26oc06-18]
[[pp. 62763-62812]]
Power Reactor Security Requirements
[[Continued from page 62762]]
[[Page 62763]]
(f)(2)(ii) Proposed Sec.
Individuals shall 73.45(f)(2)(ii)
complete refresher would require
training on a annual refresher
nominal 12-month training in
frequency, or more behavioral
frequently where observation, at a
the need is minimum, with more
indicated. frequent refresher
Individuals may training when the
take and pass a need is indicated.
comprehensive The proposed
examination that paragraph would
meets the require annual or
requirements of more frequent
paragraph refresher training
(f)(2)(iii) of this in order to ensure
section in lieu of that individuals
completing annual retain the
refresher training; knowledge, skills,
and abilities
gained through
initial training.
Refresher training
may also be
necessary if an
individual
demonstrates a
failure to
implement
behavioral
observation
requirements in
accordance with AA
program procedures
or new information
is added to the
behavioral
observation
training
curriculum.
The proposed
paragraph would
also permit
individuals who
pass a
comprehensive
``challenge''
examination that
demonstrates their
continued
understanding of
behavioral
observation to be
excused from the
refresher training
that would
otherwise be
required under the
proposed paragraph.
The proposed rule
would require that
the ``challenge''
examination must
meet the
examination
requirements
specified in
proposed paragraph
(f)(2)(iii) of this
section and
individuals who did
not pass would
undergo remedial
training.
Permitting
individuals to pass
a comprehensive
``challenge''
examination rather
than take refresher
training each year
would ensure that
they are retaining
their knowledge,
skills, and
abilities while
reducing some costs
associated with
meeting the annual
refresher training
requirement.
(f)(2)(iii) Proposed Sec.
Individuals shall 73.56(f)(2)(iii)
demonstrate the would require
successful individuals to
completion of demonstrate that
behavioral they have
observation successfully
training by passing completed
a comprehensive behavioral
examination that observation
addresses the training by passing
knowledge and a comprehensive
abilities necessary examination. The
to detect behavior proposed provision
or activities that would require
have the potential remedial training
to constitute an and re-testing for
unreasonable risk individuals who
to the health and fail to achieve a
safety of the passing score on
public and common the examination.
defense and These proposed
security, including requirements would
a potential threat be modeled on other
to commit required training
radiological programs that have
sabotage. Remedial been successful in
training and re- ensuring that
testing are examinations are
required for valid and
individuals who individuals have
fail to achieved an
satisfactorily adequate
complete the understanding of
examination. the subject matter.
(f)(2)(iv) Initial Proposed Sec.
and refresher 73.56(f)(2)(iv)
training may be would permit the
delivered using a use of various
variety of media media for
(including, but not administering
limited to, training in order
classroom lectures, to achieve the
required reading, efficiencies
video, or computer- associated with
based training computer-based
systems). The training, for
licensee, example, and other
applicant, or C/V new training
shall monitor the delivery
completion of technologies that
training. may become
available.
Permitting the use
of various media to
administer the
training would
improve the
efficiency of AA
programs and reduce
regulatory burden,
by providing
flexibility in the
methods that
licensees and other
entities may use to
administer the
required training.
The proposed
paragraph would
also require the
completion of
training to be
monitored by the
licensee,
applicant, or C/V.
[[Page 62764]]
This requirement is
necessary to ensure
that individuals
who are subject to
an authorization
program actively
participate in and
receive the
required training.
The NRC is aware
that some
individuals have
engaged in
successful
litigation against
licensees on the
basis that they
were not aware of
the requirements to
which they were
subject, in part,
because of
deficiencies in
licensee processes
for ensuring that
individuals are
trained. Therefore,
the proposed rule
would add this
requirement to
improve the
effectiveness of
the training
element of AA
programs.
(f)(3) Individuals Proposed Sec.
who are subject to 73.56(f)(3) would
an authorization require individuals
program under this to report any
section shall concerns arising
report to the from behavioral
reviewing official observation to the
any concerns licensee's,
arising from applicant's, or C/
behavioral V's reviewing
observation, official. This
including, but not specificity is
limited to, necessary because
concerns related to the NRC is aware of
any questionable past instances in
behavior patterns which individuals
or activities of reported concerns
others. to supervisors or
other licensee
personnel who did
not then inform the
reviewing official
of the concern. As
a result, the
concern was not
addressed and any
implications of the
concern for the
individual's
trustworthiness and
reliability were
not evaluated.
Therefore, the
proposed rule would
require individuals
to report directly
to the reviewing
official, to ensure
that the reviewing
official is made
aware of the
concern, has the
opportunity to
evaluate it, and
determine whether
to grant, maintain,
administratively
withdraw, deny, or
terminate UAA. The
proposed provision
would be added to
clarify and
strengthen the
behavioral
observation element
of AA programs by
increasing the
likelihood that
questionable
behaviors or
activities are
appropriately
addressed by the
licensees and other
entities who are
subject to the
rule.
(g) Arrest A new Sec.
reporting. Any 73.56(g) would
individual who has establish
applied for or is requirements
maintaining related to the
unescorted access arrest, indictment,
authorization under filing of charges,
this section shall or conviction of
promptly report to any individual who
the reviewing is applying for or
official any formal maintaining UAA
action(s) taken by under this section.
a law enforcement The proposed
authority or court paragraph would
of law to which the require individuals
individual has been to promptly report
subject, including to the reviewing
an arrest, an official any such
indictment, the formal action(s) to
filing of charges, ensure that the
or a conviction. On reviewing official
the day that the has an opportunity
report is received, to evaluate the
the reviewing implications of the
official shall formal action(s)
evaluate the with respect to the
circumstances individual's
related to the trustworthiness and
formal action(s) reliability.
and determine
whether to grant,
maintain,
administratively
withdraw, deny, or
unfavorably
terminate the
individual's
unescorted access
authorization.
[[Page 62765]]
The proposed rule
includes other
provisions that
would also ensure
that the reviewing
official is aware
of and evaluates
the implications of
any formal
action(s) to which
an individual may
be subject,
including the
requirement for a
criminal history
review under
proposed Sec.
73.56(d)(7) and
regular updates to
the criminal
history review
under proposed Sec.
73.56(i)(1)(v).
However, these
proposed provisions
would not provide
for prompt
evaluation of any
formal action(s)
that arise in the
intervening time
period since a
criminal history
review was last
conducted.
Therefore, this
requirement would
be added to ensure
that the reviewing
official is made
aware of formal
actions at the time
that they occur,
has the opportunity
to evaluate the
implications of
these formal
actions with
respect to the
individual's
trustworthiness and
reliability, and,
if necessary, take
timely action to
deny or unfavorably
terminate the
individual's UAA,
if the reviewing
official determines
that the formal
actions cast doubt
on the individual's
trustworthiness and
reliability. The
proposed rule would
also specifically
require the formal
action(s) to be
reported to the
licensee's,
applicant's, or C/
V's reviewing
official.
This specificity is
necessary because
the NRC is aware of
past instances in
which individuals
reported formal
actions to
supervisors who did
not then inform the
reviewing official.
As a result, some
individuals were
granted or
maintained UAA
without the high
assurance that they
are trustworthy and
reliable that AA
programs must
provide, as
discussed with
respect to proposed
Sec. 73.56(c)
[General
performance
objective].
Therefore, a
specific
requirement for
individuals to
report directly to
the reviewing
official is
necessary to ensure
that the reviewing
official is aware
of the actions, has
the opportunity to
evaluate the
circumstances
surrounding the
actions, and
determine whether
to grant, maintain,
administratively
withdraw, deny, or
terminate UAA. The
proposed paragraph
would not establish
a specific time
limit within which
an individual would
be required to
report a formal
action because the
time frames within
which different
formal actions
occur may vary
widely, depending
on the nature of
the formal action
and characteristics
of the locality in
which the formal
action is taken.
However, nothing in
the proposed
provision would
prohibit licensees,
applicants, and C/
Vs from
establishing, in
program procedures,
reporting time
limits that are
appropriate for
their local
circumstances.
[[Page 62766]]
The proposed rule
would use the term,
``promptly,'' to
clarify the NRC's
intent that
individuals are
responsible for
reporting any
formal action(s) of
the type specified
in the proposed
paragraph without
delay. The proposed
paragraph would
also require the
reviewing official
to evaluate the
circumstances
related to the
formal action and
decide whether to
grant, maintain,
administratively
withdraw, deny, or
unfavorably
terminate the
individual's UAA on
the day that he or
she receives the
report of an
arrest, indictment,
the filing of
charges, or
conviction. The
proposed
requirement is
necessary because
the NRC is aware of
past instances in
which reviewing
officials have been
informed of a
formal action, but
have not acted
promptly to
evaluate the
information and
determine its
implications with
respect to the
individual's
trustworthiness and
reliability. As a
result, some
individuals were
granted or
maintained UAA
without the high
assurance that they
are trustworthy and
reliable that AA
programs must
provide, as
discussed with
respect to proposed
Sec. 73.56(c)
[General
performance
objective].
The proposed
paragraph would
provide for the
administrative
withdrawal of UAA
without a positive
determination that
the individual is
trustworthy and
reliable (which
would permit the
granting or
maintaining of UAA)
or a negative
determination of
the individual's
trustworthiness and
reliability (which
would require the
denial or
unfavorable
termination of
UAA), because the
reviewing official
may not have
sufficient
information on the
day that the report
is received to make
the determination.
However, if, based
on the information
available to the
reviewing official,
he or she is unable
to make either a
positive or
negative
determination, the
proposed rule would
require the
administrative
withdrawal of UAA
until such a
determination can
be made. The
administrative
withdrawal of the
individual's UAA
would be necessary
to protect public
health and safety
and the common
defense and
security when the
trustworthiness and
reliability of an
individual cannot
be positively
determined.
Sec. 73.56(c) Existing, (c)(1) Deleted...... The proposed rule
reinstated, transferred, would eliminate
and temporary access current Sec.
authorization. (1) 73.56(c)(1), which
Individuals who have had an permitted
uninterrupted unescorted individuals who had
access authorization for at an uninterrupted
least 180 days on April 25, unescorted access
1991 need not be further authorization for
evaluated. Such individuals at least 180 days
shall be subject to the on April 25, 1991,
behavioral observation to retain
requirements of this unescorted access
section. authorization and
required them to be
subject to
behavioral
observation. The
current paragraph
would be eliminated
because these
requirements no
longer apply.
[[Page 62767]]
Sec. 73.56(c) Existing, (h) Granting Proposed Sec.
reinstated, transferred, unescorted access 73.56(h) would
and temporary access authorization. The replace and amend
authorization. licensees, current Sec.
applicants, and C/ 73.56(c), which
Vs specified in permits AA programs
paragraph (a) of to specify
this section shall conditions for
implement the reinstating an
requirements of interrupted UAA,
this paragraph for for transferring
granting initial UAA from another
unescorted access licensee, and for
authorization, permitting
updated unescorted temporary UAA. As
access discussed in
authorization, and Section IV.3, the
reinstatement of requirements in
unescorted access proposed Sec.
authorization. 73.56 are based
upon several
fundamental changes
to the NRC's
approach to access
authorization since
the terrorist
attacks of
September 11, 2001,
and an increased
concern for an
active or passive
insider who may
collude with
adversaries to
commit radiological
sabotage.
The primary concern,
which many of the
amendments to Sec.
73.56 are designed
to address, is the
necessity of
increasing the
rigor of the access
authorization
process to provide
high assurance that
any individual who
is granted and
maintains UAA is
trustworthy and
reliable. Proposed
Sec. 73.56(h)
would identify
three categories of
proposed
requirements for
granting UAA: (1)
Initial unescorted
access
authorization, (2)
updated unescorted
access
authorization, and
(3) reinstatement
of unescorted
access
authorization. The
proposed
categories, which
are based upon
whether an
individual who has
applied for UAA has
previously held UAA
under Sec. 73.56
and the length of
time that has
elapsed since the
individual's last
period of UAA
ended, would be
defined in proposed
Sec. 73.56(h)(5)
[Initial unescorted
access
authorization],
proposed Sec.
73.56(h)(6)
[Updated unescorted
access
authorization], and
proposed Sec.
73.56(h)(7)
[Reinstatement of
unescorted access
authorization].
Proposed Sec.
73.56(h) would
direct licensees,
applicants, and C/
Vs to use the
criteria for
granting UAA that
are found in
proposed Sec.
73.56(h)(5),
(h)(6), and (h)(7),
depending on which
of the proposed
paragraphs would
apply to the
individual seeking
UAA. Current Sec.
73.56 permits
authorization
programs to specify
conditions for
reinstating an
interrupted UAA or
transferring UAA
from another
licensee, but it
does not use the
concepts of
``initial
unescorted access
authorization,''
``updated
unescorted access
authorization,'' or
``reinstatement of
unescorted access
authorization.''
These concepts
would be used in
proposed Sec.
73.56 to focus the
requirements for
UAA more precisely
on whether the
individual has
established a
``track record'' in
the industry, and
to specify the
amount of original
information-
gathering that
licensees,
applicants, and C/
Vs would be
required to
perform, based on
whether previous AA
programs have
collected
information about
the individual.
[[Page 62768]]
For individuals who
have established a
favorable track
record in the
industry, the steps
that licensees,
applicants, and C/
Vs would complete
in order to grant
UAA to an
individual would
also depend upon
the length of time
that has elapsed
since the
individual's last
period of UAA was
terminated and the
amount of
supervision to
which the
individual was
subject during the
interruption. (the
term,
``interruption,''
refers to the
interval of time
between periods
during which an
individual
maintains UAA under
Sec. 73.56 and
will be discussed
in reference to
Sec. 73.56
(h)(4)). In
general, the more
time that has
elapsed since an
individual's last
period of UAA
ended, the more
steps that the
proposed rule would
require licensees,
applicants, and C/
Vs to complete
before granting UAA
to the individual.
However, if the
individual was
subject to AA
program elements in
the recent past,
the proposed rule
would require
licensees,
applicants, and C/
Vs to complete
fewer steps in
order to grant UAA
to the individual.
Individuals who
have established a
favorable work
history in the
industry have
demonstrated their
trustworthiness and
reliability from
previous periods of
UAA, so they pose
less potential risk
to public health
and safety and the
common defense and
security than
individuals who are
new to the
industry.
Much is known about
these individuals.
Not only were they
subject to the
initial background
investigation
requirements before
they were initially
granted UAA, but,
while they were
working under an AA
program, they were
watched carefully
through ongoing
behavioral
observation, and
demonstrated the
ability to
consistently comply
with the many
procedural
requirements that
are necessary to
perform work safely
at nuclear power
plants. Therefore,
the proposed rule
would decrease the
unnecessary
regulatory burden
associated with
granting UAA under
Sec. 73.56 by
reducing the steps
that AA programs
would be required
to take in order to
grant UAA to such
individuals.
[[Page 62769]]
(h)(1) Accepting Proposed Sec.
unescorted access 73.56(h)(1) would
authorization from permit licensees,
other authorization applicants, and C/
programs. Vs to rely upon the
Licensees, authorization
applicants, and C/ programs and
Vs who are seeking program elements of
to grant unescorted other licensees,
access applicants or C/Vs,
authorization to an as well as other
individual who is authorization
subject to another programs and
authorization program elements
program that that meet the
complies with this requirements of
section may rely on proposed Sec.
the program 73.56, to meet the
elements completed requirements of
by the transferring this section for
authorization granting and
program to satisfy maintaining UAA.
the requirements of Proposed Sec.
this section. An 73.56(h)(1) would
individual may update the
maintain his or her terminology used in
unescorted access current Sec.
authorization if he 73.56(a)(4), which
or she continues to states that
be subject to licensees may
either the accept an AA
receiving program used by its
licensee's, C/Vs or other
applicant's, or C/ organizations
V's authorization provided it meets
program or the the requirements of
transferring this section. The
licensee's, proposed paragraph
applicant's, or C/ would also modify
V's authorization current Sec.
program, or a 73.56(c)(2), which
combination of permits AA programs
elements from both to specify
programs that conditions for
collectively transferring UAA
satisfy the from one licensee
requirements of to another. The
this section. The proposed paragraph
receiving would require the
authorization AA program who is
program shall receiving an
ensure that the unescorted access
program elements authorization that
maintained by the was granted under
transferring another AA program
program remain to ensure that each
current. of the AA program
elements to which
individuals must be
subject, such as
behavioral
observation
training and
psychological re-
assessments, remain
current, including
situations in which
the individual is
subject to a
combination of
program elements
that are
administered
separately by the
receiving and
transferring AA
programs.
The proposed
paragraph would
increase the
specificity of the
requirements that
must be met by
licensees,
applicants, or C/Vs
for granting UAA
and establish
detailed minimum
standards that all
programs must meet.
These proposed
detailed minimum
standards are
designed to address
recent changes in
industry practices
that have resulted
in a more transient
workforce, as
discussed in
Section IV.3. The
authorization
programs of
licensees,
applicants, and C/
Vs would be
substantially more
consistent than in
the past under
these proposed
detailed standards.
Therefore,
permitting
licensees,
applicants, and C/
Vs to rely on other
AA programs to meet
the proposed rule's
requirements is
reasonable and
appropriate. In
addition, the
proposed provisions
would reduce
unnecessary
regulatory burden
by eliminating
redundancies in the
steps required to
grant UAA to an
individual who is
transferring from
one program to
another.
[[Page 62770]]
(h)(2) Information A new Sec.
sharing. To meet 73.56(h)(2) would
the requirements of permit licensees
this section, and other entities
licensees, to rely upon
applicants, and C/ information that
Vs may rely upon was gathered by
the information previous licensees,
that other applicants, and C/
licensees, Vs to meet the
applicants, and C/ requirements of
Vs who are subject this section.
to this section Because information
have gathered about will be shared
individuals who among licensees,
have previously applicants, and C/
applied for Vs, this proposed
unescorted access provision would
authorization and substantially
developed about decrease the
individuals during likelihood that an
periods in which individual would be
the individuals inadvertently
maintained granted UAA by
unescorted access another licensee
authorization. after having his or
her UAA denied or
unfavorably
terminated under
another program. It
also recognizes
that there have
been changes in
staffing practices
at power reactors,
including a greater
reliance on
personnel transfers
and temporary work
forces, as
discussed in detail
in Section IV.3.
For individuals who
have previously
been evaluated
under an
authorization
program, were
granted UAA within
the past 3 years,
and successfully
maintained UAA,
this proposed
provision would
eliminate the need
to repeat efforts
that were completed
as part of the
prior access
authorization
process, thereby
saving substantial
duplication of
effort and
expenditure of
resources. The
proposed provision
would work in
conjunction with
proposed Sec.
73.56(o)(6), which
would require a
mechanism for
information
sharing.
The provision is
consistent with the
recent access
authorization
orders and with NRC-
endorsed guidance,
as well as current
industry practices.
(h)(3) Requirements Proposed Sec.
applicable to all 73.56(h)(3) would
unescorted access establish
authorization requirements that
categories. Before the licensee,
granting unescorted applicant, or C/V
access would be required
authorization to to meet before
individuals in any granting UAA to
category, including individuals in any
individuals whose of the categories
unescorted access described in
authorization has paragraphs (h)(5),
been interrupted (h)(6), or (h)(7)
for a period of 30 of this section,
or fewer days, the including
licensee, individuals whose
applicant, or C/V UAA has been
shall ensure that-- interrupted for a
period of 30 or
fewer days. The
proposed paragraph
would clearly
specify that the
requirements for
granting UAA
contained in the
paragraph are
intended to be
applied without
exceptions to
individuals in the
specified
categories.
[[Page 62771]]
(h)(3)(i) The Proposed Sec.
individual's 73.46(h)(3)(i)
written consent to through (h)(3)(vii)
conduct a would specify the
background steps required to
investigation, if grant UAA to any
necessary, has been individual. The
obtained and the proposed paragraph
individual's true would require
identity has been licensees,
verified, in applicants, and C/
accordance with Vs to ensure that
paragraphs (d)(2) the individual's
and (d)(3) of this written consent for
section, the background
respectively; investigation in
(ii) A credit proposed paragraph
history evaluation (h)(3)(i) of this
or re-evaluation section has been
has been completed obtained; complete
in accordance with a verification of
the requirements of the individual's
paragraphs (d)(5) true identity in
or (i)(1)(v) of proposed (h)(3)(ii)
this section, as of this section;
applicable;. ensure completion
(iii) The of the credit
individual's history evaluation
character and or re-evaluation,
reputation have as applicable, in
been ascertained, proposed paragraph
in accordance with (h)(3)(ii) of this
paragraph (d)(6) of section; ensure
this section;. completion of the
(iv) The reference checks
individual's required to
criminal history ascertain the
record has been individual's
obtained and character and
reviewed or reputation in
updated, in proposed paragraph
accordance with (h)(3)(iii) of this
paragraphs (d)(7) section; ensure
and (i)(1)(v) of completion of the
this section, as initial or updated
applicable;. criminal history
(v) A psychological review, as
assessment or applicable, in
reassessment of the proposed paragraph
individual has been (h)(3)(iv) of this
completed in section; ensure
accordance with the completion of the
requirements of psychological
paragraphs (e) or assessment or re-
(i)(1)(v) of this assessment, as
section, as applicable, in
applicable;. proposed paragraph
(vi) The individual (h)(3)(v) of this
has successfully section; ensure
completed the completion of
initial or initial or
refresher, as refresher training
applicable, in proposed
behavioral paragraph
observation (h)(3)(vi) of this
training that is section; and ensure
required under that the individual
paragraph (f) of has been informed,
this section; and. in writing, or his
or her arrest-
reporting
responsibilities in
paragraph
(h)(3)(vii) of this
section.
(vii) The The bases for each
individual has of the proposed
been informed, requirements listed
in writing, of in proposed Sec.
his or her 73.56(h)(3)(i)
arrest-reporting through (h)(3)(vii)
responsibilities are discussed in
under paragraph detail with respect
(g) of this to proposed Sec.
section.. 73.56(d)(2),
(d)(3), (d)(5)
through (d)(7), and
(e) through (g),
respectively. The
bases for the
proposed
requirements for
updates to the
credit history
evaluation,
criminal history
review, and
psychological
assessment are
discussed with
respect to proposed
Sec.
73.56(i)(1)(v). The
requirements that
authorization
programs would be
required to meet in
order to grant UAA
to individuals in
every access
authorization
category would be
listed in these
paragraphs, in
response to
stakeholder
requests at the
public meetings
discussed in
Section IV.3 for
increased clarity
in the
organizational
structure of
requirements for
granting UAA.
[[Page 62772]]
(h)(4) Interruptions Proposed Sec.
in unescorted 73.56(h)(4) would
access describe the term
authorization. For ``interruption,''
individuals who which would be used
have previously in proposed Sec.
held unescorted 73.56(h)(5)
access [Initial unescorted
authorization under access
this section but authorization],
whose unescorted proposed Sec.
access 73.56(h)(6)
authorization has [Updated unescorted
since been access
terminated under authorization], and
favorable proposed Sec.
conditions, the 73.56(h)(7) and
licensee, Sec. 73.56(h)(8)
applicant, or C/V [Reinstatement of
shall implement the unescorted access
requirements in authorization]
to
this paragraph for refer to the
initial unescorted interval of time
access between periods
authorization in during which an
paragraph (h)(5) of individual holds
this section, UAA under Sec.
updated unescorted 73.56. Licensees,
access applicants, or C/Vs
authorization in would calculate an
paragraph (h)(6) of interruption in UAA
this section, or as the total number
reinstatement of of days falling
unescorted access between the day
authorization in upon which the
paragraph (h)(7) of individual's last
this section, based period of UAA or UA
upon the total ended and the day
number of days that upon which the
the individual's licensee,
unescorted access applicant, or C/V
authorization has grants UAA to the
been interrupted, individual. This
to include the day change would be
after the made to enhance and
individual's last clarify the access
period of authorization
unescorted access requirement in
authorization was current Sec.
terminated and the 73.56(c)(2), which
intervening days does not define the
until the day upon meaning of the term
which the licensee, ``interrupted
applicant, or C/V access
grants unescorted authorization.''
access
authorization to
the individual. If
potentially
disqualifying
information is
disclosed or
discovered about an
individual,
licensees,
applicants, and C/
Vs shall take
additional actions,
as specified in the
licensee's or
applicant's
physical security
plan, in order to
grant or maintain
the individual's
unescorted access
authorization.
(h)(5) Initial A new Sec.
unescorted access 73.56(h)(5)
authorization. [Initial unescorted
Before granting access
unescorted access authorization]
authorization to an would establish the
individual who has category of
never held ``initial
unescorted access unescorted access
authorization under authorization''
this section or requirements to
whose unescorted apply both to
access individuals who
authorization has have not previously
been interrupted held UAA under this
for a period of 3 section and those
years or more and whose UAA has been
whose last period interrupted for a
of unescorted period of 3 or more
access years and whose
authorization was last period of UAA
terminated under ended favorably. In
favorable general, the longer
conditions, the the period of time
licensee, since the
applicant, or C/V individual's last
shall ensure that period of UAA
an employment ended, the greater
history evaluation the possibility
has been completed that the individual
in accordance with may have undergone
paragraph (d)(4) of significant changes
this section. The in lifestyle or
period of the character that
employment history would diminish his
that the individual or her
shall disclose, and trustworthiness and
the licensee, reliability.
applicant, or C/V Therefore, this
shall evaluate, paragraph would
must be the past 3 require an
years or since the individual who has
individual's not been subject to
eighteenth an AA program for 3
birthday, whichever or more years to
is shorter. For the undergo the same
1-year period full and extensive
immediately screening to which
preceding the date an individual who
upon which the has never held UAA
individual applies would be subject.
for unescorted The proposed
access paragraph would
authorization, the require the
licensee, licensee,
applicant, or C/V applicant, or C/V,
shall ensure that before granting UAA
the employment to an individual,
history evaluation to complete an
is conducted with evaluation of the
every employer, individual's
regardless of the employment history
length of over the past 3
employment. years. The 3-year
time period to be
addressed in the
employment history
evaluation would be
consistent with
requirements
established in the
access
authorization
orders issued by
the NRC to nuclear
power plant
licensees on
January 7, 2003, as
discussed in
Section IV.3.
[[Page 62773]]
For the remaining 2- In addition, this 3-
year period, the year time period
licensee, has been used
applicant, or C/V successfully within
shall ensure that AA programs since
the employment Sec. 73.56 was
history evaluation first promulgated
is conducted with and has met the
the employer by NRC's goal of
whom the individual ensuring that
claims to have been individuals who are
employed the granted UAA are
longest within each trustworthy and
calendar month, if reliable.
the individual Therefore, the 3-
claims employment year time period
during the given would be retained
calendar month. in proposed Sec.
73.56. The
employment history
evaluation would
focus on the
individual's
employment record
during the year
preceding his or
her application for
UAA by requiring
licensees,
applicants, and C/
Vs to make a ``best
effort,'' as
described with
respect to proposed
Sec. 73.56(d)(4),
to obtain and
evaluate employment
history information
from every employer
by whom the
individual claims
to have been
employed during the
year. The proposed
rule would require
this focus on the
year preceding the
individual's
application for UAA
because the
individual's
employment history
during the past
year provides
current information
related to the
individual's
trustworthiness and
reliability. For
the earlier 2 years
of the employment
history period, the
proposed paragraph
would require the
licensee,
applicant, or C/V
to conduct the
employment history
with every employer
by whom the
applicant claims to
have been employed
the longest within
each calendar month
that would fall
within that 2-year
period.
The proposed
provision would
permit this
``sampling''
approach to the
employment history
evaluation for the
earlier 2-year
period because
industry experience
has shown that
employers are often
reluctant to
disclose adverse
information to
other private
employers about
former employees,
and that the longer
it has been since
an individual was
employed, the less
likely it is that a
former employer
will disclose
useful information.
Experience
implementing AA
programs has also
shown that the
shorter the time
period during which
an individual was
employed by an
employer, the less
likely it is that
the employer
retains any useful
information related
to the individual's
trustworthiness and
reliability.
Therefore, the
proposed paragraph
would not require
licensees,
applicants, and C/
Vs to conduct the
employment history
evaluation with
every employer by
whom the individual
claims to have been
employed, but,
rather, to contact
only the employer
by whom the
individual claims
to have been
employed the
longest within each
calendar month that
falls within that 2-
year period (i.e.,
the ``given''
calendar month).
Contacting these
employers would
increase the
likelihood that the
employers would
have knowledge of
the applicant and
would be willing to
disclose it.
[[Page 62774]]
(h)(6) Updated Proposed Sec.
unescorted access 73.56(h)(6)
authorization. [Updated unescorted
Before granting access
unescorted access authorization]
authorization to an would establish a
individual whose category of
unescorted access ``updated
authorization has unescorted access
been interrupted authorization'' to
for more than 365 apply to
days but fewer than individuals whose
3 years and whose UAA has been
last period of interrupted for
unescorted access more than 365 days
authorization was but less than 3
terminated under years and whose
favorable last period of UAA
conditions, the was terminated
licensee, favorably. The
applicant, or C/V proposed
shall ensure that requirements for
an employment granting updated
history evaluation UAA would be less
has been completed stringent than the
in accordance with proposed
paragraph (d)(4) of requirements for
this section. The granting initial
period of the UAA. The proposed
employment history requirements would
that the individual be less stringent
shall disclose, and because the
the licensee, individual who is
applicant, or C/V applying for
shall evaluate, updated UAA would
must be the period have a more recent
since unescorted ``track record'' of
access successful
authorization was performance within
last terminated, up the industry. Also
to and including the licensee,
the day the applicant, or C/V
applicant applies would have access
for updated to information
unescorted access about the
authorization. For individual seeking
the 1-year period UAA from the
immediately licensee,
preceding the date applicant, or C/V
upon which the who last granted
individual applies UAA to the
for unescorted individual as a
access result of the
authorization, the increased
licensee, information-sharing
applicant, or C/V requirements of the
shall ensure that proposed rule.
the employment However, the
history evaluation licensee,
is conducted with applicant, or C/V
every employer, would not have
regardless of the information about
length of the individual's
employment. activities from the
period during which
the individual's
UAA was
interrupted.
Therefore, the
proposed rule's
requirements for
updated UAA would
focus on gathering
and evaluating
information from
the interruption
period.
For the remaining For example, in the
period since case of an
unescorted access individual whose
authorization was last period of UAA
last terminated, ended 2 years ago,
the licensee, the licensee,
applicant, or C/V applicant or C/V
shall ensure that would gather
the employment information about
history evaluation the individual's
is conducted with activities within
the employer by the 2-year
whom the individual interruption
claims to have been period. Similarly,
employed the if an individual's
longest within each last period of UAA
calendar month, if ended 13 months
the individual ago, the licensee,
claims employment applicant, or C/V
during the given would gather
calendar month. information about
the individual's
activities within
the past 13 months.
For the reasons
discussed with
respect to proposed
Sec. 73.56(h)(5),
the proposed
paragraph would
require the
employment history
evaluation to be
conducted with
every employer in
the year preceding
the individual's
application for
updated UAA, and to
contact only the
employer by whom
the individual
claims to have been
employed the
longest within any
earlier calendar
month (i.e., the
``given'' calendar
month) that would
fall within the
interruption
period.
[[Page 62775]]
(h)(7) Reinstatement Proposed Sec.
of unescorted 73.56(h)(7)
access [Reinstatement of
authorization (31 unescorted access
to 365 days). In authorization]
order to grant would establish a
authorization to an category of
individual whose ``reinstatement of
unescorted access unescorted access
authorization has authorization,''
been interrupted which would apply
for a period of to individuals
more than 30 days whose UAA has been
but no more than interrupted for a
365 days and whose period of more than
last period of 30 days but no more
unescorted access than 365 days and
authorization was whose last period
terminated under of UAA was
favorable terminated
conditions, the favorably. The
licensee, proposed steps for
applicant, or C/V reinstating an
shall ensure that individual's UAA
an employment after an
history evaluation interruption of 365
has been completed or fewer days would
in accordance with be less stringent
the requirements of than those required
paragraph (d)(4) of for initial UAA or
this section within an updated UAA.
5 business days of This is because
reinstating these individuals
unescorted access have a recent,
authorization. The positive ``track
period of the record'' within the
employment history industry and that
that the individual record provides
shall disclose, and evidence that the
the licensee, risk to public
applicant, or C/V health and safety
shall evaluate, or the common
must be the period defense and
since the security posed by a
individual's less rigorous
unescorted access employment history
authorization was evaluation is
terminated, up to acceptable. The
and including the proposed paragraph
day the applicant would limit the
applies for period of time to
reinstatement of be addressed in the
unescorted access employment history
authorization. The to the period of
licensee, the interruption in
applicant, or C/V UAA and require
shall ensure that that the employment
the employment history evaluation
history evaluation must be conducted
has been conducted with the employer
with the employer by whom the
by whom the individual claims
individual claims to have been
to have been employed the
employed the longest within each
longest within the calendar month, if
calendar month, if the individual
the individual claims employment
claims employment during a given
during a given calendar month.
calendar month.
If the employment An employment
history evaluation history for earlier
is not completed periods of time
within 5 business would be
days due to unnecessary because
circumstances that the granting
are outside of the licensee,
licensee's, applicant, or C/V
applicant's, or C/ would have access
V's control and the to information
licensee, about the
applicant, or C/V individual from the
is not aware of any licensee,
potentially applicant, or C/V
disqualifying who had recently
information terminated the
regarding the individual's UAA.
individual within However, the
the past 5 years, licensee,
the licensee, applicant, or C/V
applicant, or C/V would not have
may maintain the information about
individual's the individual's
unescorted access activities during
authorization for the period of
an additional 5 interruption, so
business days. If the proposed rule's
the employment requirements for
history evaluation reinstating UAA
is not completed would focus on
within 10 business gathering and
days of reinstating evaluating
unescorted access information only
authorization, the from the
licensee, interruption
applicant, or C/V period. By contrast
may maintain the to the proposed
individual's requirements for an
unescorted access initial UAA and an
authorization for updated UAA,
an additional 5 proposed Sec.
business days. If 73.56(h)(7) would
the employment permit the
history evaluation licensee,
is not completed applicant, or C/V
within 10 business to reinstate an
days of reinstating individual's UAA
unescorted access without first
authorization, the completing the
licensee, employment history
applicant, or C/V evaluation. As
shall would be required
administratively for an updated UAA,
withdraw the the proposed rule
individual's would limit the
unescorted access period of time to
authorization until be addressed by the
the employment employment history
history evaluation evaluation to the
is completed. interruption
period.
[[Page 62776]]
However, the
proposed paragraph
would permit the
licensee,
applicant, or C/V
to reinstate the
individual's UAA
before completing
the employment
history evaluation
because these
individuals have a
recent, positive
track record within
the industry and
that record
demonstrates that
they would pose an
acceptable risk to
public health and
safety or the
common defense and
security. If the
employment history
evaluation is not
completed within
the 5-day period
permitted, the
proposed paragraph
would permit the
licensee,
applicant, or C/V
to maintain the
individual's UAA
for up to 10 days
following the day
upon which UAA was
reinstated, but
only if the
licensee,
applicant, or C/V
is unaware of any
potentially
disqualifying
information about
the individual. If
the employment
history evaluation
is not completed
within the 10 days
permitted, the
proposed paragraph
would require the
licensee,
applicant, or C/V
to administratively
withdraw the
individual's UAA
until the
employment history
evaluation is
completed. The
proposed rule would
not establish
employment history
requirements for
individuals whose
UAA has been
interrupted for 30
or fewer days.
Proposed Sec.
73.56(h)(3) would
require the
entities who are
subject to this
section to obtain
and review a
personal history
disclosure from the
applicant for UAA
that would address
the period since
the individual's
last period of UAA
was terminated.
However, the
licensee,
applicant, or C/V
would be permitted
to forego
conducting an
employment history
evaluation for
individuals whose
UAA has been
interrupted for
such a short
period, because
there would be
little to be
learned.
Sec. 73.56(b)(3) The (h)(8) Determination Proposed Sec.
licensee shall base its basis. The 73.56(h)(8) would
decision to grant, deny, licensee's, amend but retain
revoke, or continue an applicant's, or C/ the meaning of
unescorted access V's reviewing current Sec.
authorization on review and official shall 73.56(b)(3), which
evaluation of all pertinent determine whether requires licensees
information developed. to grant, deny, to base a decision
unfavorably to grant, deny,
terminate, or revoke, or continue
maintain or amend UAA on review and
an individual's evaluation of all
unescorted access pertinent
authorization information
status, based on an developed. The
evaluation of all terms used in the
pertinent proposed paragraph,
information that such as
has been gathered ``unfavorably
about the terminate'' to
individual as a replace ``revoke''
result of any and ``maintain'' to
application for replace
unescorted access ``continue,'' would
authorization or be updated for
developed during or consistency with
following in any the terms currently
period during which used by the
the individual industry and in
maintained other portions of
unescorted access the proposed
authorization. section. In
addition, the
proposed paragraph
would include
references to the
reviewing official,
rather than the
licensee, to convey
more accurately
that the only
individual who is
authorized to make
access
authorization
decisions under
this section is the
designated
reviewing official.
[[Page 62777]]
The licensee's, The terms, ``all
applicant's or C/ pertinent'' and
V's reviewing ``accumulated
official may not information,''
determine whether would be used in
to grant unescorted the proposed
access paragraph because
authorization to an some of the
individual or information that a
maintain an reviewing official
individual's must have before
unescorted access making a
authorization until determination is
all of the required gathered under the
information has requirements of 10
been provided to CFR part 26, such
the reviewing as drug and alcohol
official and he or test results and
she determines that the results of the
the accumulated suitable inquiry.
information In addition, the
supports a positive proposed paragraph
finding of would expand on the
trustworthiness and current requirement
reliability. for a review and
evaluation of all
pertinent
information by
adding a
prohibition on
making an access
authorization
decision until all
of the required
information has
been provided to
the reviewing
official and the
reviewing official
has determined that
the information
indicates that the
subject individual
is trustworthy and
reliable. These
changes would be
made to more
clearly communicate
the NRC's intent by
improving the
specificity of the
language of the
rule.
Sec. 73.56(c)(3) The (h)(9) Unescorted Proposed Sec.
licensee shall grant access for NRC- 73.56(h)(9) would
unescorted access certified update but retain
authorization to all personnel. The the meaning of
individuals who have been licensees and current Sec.
certified by the Nuclear applicants 73.56(c)(3), which
Regulatory Commission as specified in requires licensees
suitable for such access. paragraph (a) of to grant unescorted
this section shall access to
grant unescorted individuals who
access to all have been certified
individuals who by the NRC as
have been certified suitable for such
by the NRC as access. This
suitable for such provision ensures
access including, that licensees and
but not limited to, applicants are
contractors to the allowed to grant
NRC and NRC UAA to individuals
employees. whom the NRC has
determined require
such access, and
whom the NRC has
investigated and is
certifying as
suitable for
access, without
requiring the
licensees or
applicants to meet
all of the
requirements that
would otherwise be
necessary before
granting unescorted
access to these
individuals. In
addition to
avoiding
duplication of
effort, this
proposed provision
would help to
ensure that NRC-
certified
individuals will
obtain prompt
unescorted access
to protected and
vital areas, if
necessary. The
proposed paragraph
would update the
entities who are
subject to this
requirement by
adding applicants
to reflect the
NRC's new licensing
processes for
nuclear power
plants, as
discussed with
respect to proposed
Sec. 73.56(a).
[[Page 62778]]
Sec. 73.56(b)(4) Failure (h)(10) Access A new Sec.
by an individual to report prohibited. 73.56(h)(10) would
any previous suspension, Licensees and prohibit the
revocation, or denial of applicants may not entities who are
unescorted access to permit an subject to this
nuclear power reactors is individual, who is section from
considered sufficient cause identified as permitting any
for denial of unescorted having an access- individual whose
access authorization. denied status in most recent
the information- application for UAA
sharing mechanism has been denied or
required under most recent period
paragraph (o)(6) of of UAA was
this section, or unfavorably
has an access terminated from
authorization entering any
status other than protected or vital
favorably area, or to have
terminated, to the ability to use
enter any nuclear nuclear power plant
power plant digital systems
protected area or that could
vital area, under adversely impact
escort or operational safety,
otherwise, or take security, or
actions by emergency response
electronic means capabilities. The
that could impact proposed paragraph
the licensee's or would be added
applicant's because the NRC is
operational safety, aware that, in the
security, or past, some
emergency response licensees permitted
capabilities, under individuals whose
supervision or UAA was denied or
otherwise, except unfavorably
if, upon review and terminated to enter
evaluation, the protected areas as
reviewing official visitors.
determines that Licensees' current
such access is Physical Security
warranted. Plans require that
Licensees and any visitor to a
applicants shall protected area or
develop vital area must be
reinstatement escorted and under
review procedures the supervision of
for assessing an individual who
individuals who has UAA and,
have been in an therefore, is
access-denied trained in
status. behavioral
observation, in
accordance with the
requirements of
this section and
related
requirements in
part 26. However,
in the current
threat environment,
the NRC believes
that permitting any
individual who has
been determined not
to be trustworthy
and reliable to
enter protected or
vital areas does
not adequately
protect public
health and safety
or the common
defense and
security.
Therefore, the
proposed paragraph
would prohibit this
practice.
The proposed
paragraph would
also prohibit
individuals whose
UAA has been denied
or unfavorably
terminated from
electronically
accessing
licensees' and
applicants'
operational safety,
security, and
emergency response
systems. The
proposed
prohibition on
electronic access
would be consistent
with other
requirements in the
proposed regulation
and is necessary
for the same
reasons that
physical access
would be
prohibited. An
individual whose
most recent
application for UAA
was denied, or
whose most recent
period of UAA was
terminated
unfavorably could
be considered again
for UAA, but only
if the applicable
requirements are
met, as specified
in the licensee's
or applicant's
Physical Security
Plan, and the
reviewing official
makes a positive
determination that
the individual is
trustworthy and
reliable, and,
therefore, that UAA
is warranted. These
provisions are
necessary to
strengthen the
effectiveness of AA
programs.
(i) Maintaining A new Sec.
access 73.56(i)
authorization. [Maintaining access
authorization]
would establish the
conditions that
must be met in
order for an
individual who has
been granted UAA to
maintain UAA under
this section, and
present them
together in one
paragraph for
organizational
clarity in the
rule. The proposed
paragraph would be
added in response
to stakeholder
requests for this
clarification at
the public meetings
discussed in
Section IV.3.
[[Page 62779]]
(i)(1) Individuals Proposed Sec.
may maintain 73.56(i)(1)(i) and
unescorted access (i)(1)(ii) would
authorization under reiterate the
the following requirements for
conditions: subjecting
(i) The individual individuals who are
remains subject to maintaining UAA to
a behavioral behavioral
observation program observation in
that complies with proposed paragraph
the requirements of (f) of this section
paragraph (f) of and for
this section;. successfully
(ii) The individual completing
successfully refresher training
completes or passing a
behavioral ``challenge''
observation examination each
refresher training year during which
or testing on the the individual
nominal 12-month maintains UAA in
frequency required proposed paragraph
in (f)(2)(ii) of (f)(2)(ii) of this
this section;. section. These
proposed
requirements would
be reiterated in
this paragraph to
emphasize their
applicability to
maintaining UAA for
organizational
clarity in the
proposed rule. The
bases for these
proposed
requirements are
discussed in detail
with respect to
proposed Sec.
73.56(f) and
(f)(2)(ii),
respectively.
(i)(1)(iii) The Proposed Sec.
individual complies 73.56(i)(1)(iii)
with the would require an
licensee's, individual, in
applicant's, or C/ order to maintain
V's authorization UAA, to comply with
program policies the policies and
and procedures to procedures to which
which he or she is the individual is
subject, including subject, including
the arrest- the arrest-
reporting reporting
responsibility requirement in
specified in proposed paragraph
paragraph (g) of Sec. 73.56(g).
this section; The requirement to
comply with the
applicable
licensee's,
applicant's, and C/
V's policies and
procedures would be
added because
licensees and
applicants would
establish AA
policies and
implementing
procedures in their
Physical Security
Plans, required
under proposed Sec.
73.56(a), which
would include, but
would not be
limited to, a
description of the
conditions under
which an
individual's UAA
must be unfavorably
terminated. These
policies and
procedures would
prohibit certain
acts by
individuals, and
individuals would
be required to
avoid committing
such acts, in order
to maintain UAA. In
addition, part 26
requires licensees,
applicants, and C/
Vs also to develop,
implement, and
maintain fitness-
for-duty program
policies and
procedures with
which individuals
must comply in
order to maintain
UAA. For example,
10 CFR 26.27(b)(3)
requires the
unfavorable
termination of an
individual's UAA,
if the individual
has been involved
in the sale, use,
or possession of
illegal drugs
within a nuclear
power plant
protected area.
The proposed rule
would require
compliance with
these authorization
policies and
procedures, as well
the arrest-
reporting
requirement in
proposed Sec.
73.56(g), for
clarity in the
proposed rule. The
basis for the
arrest-reporting
requirement is
discussed with
respect to proposed
Sec. 73.56(g).
(i)(1)(iv) The Proposed Sec.
individual is 73.56(i)(1)(iv)
subject to a would require
supervisory individuals, in
interview at a order to maintain
nominal 12-month UAA, to be subject
frequency, to an annual
conducted in supervisory review
accordance with the during each year
requirements of the that the individual
licensee's or maintains UAA. The
applicant's supervisory review
Physical Security would be conducted
Plan; and for the purposes
and in the manner
that licensees and
applicants would
specify in the
Physical Security
Plans required
under proposed Sec.
73.56(a). The
proposed paragraph
would include a
requirement for
these annual
supervisory reviews
for completeness
and organizational
clarity in the
proposed rule.
[[Page 62780]]
(i)(1)(v) The A new Sec.
licensee, 73.56(i)(1)(v)
applicant, or C/V would establish
determines that the requirements for
individual periodic updates of
continues to be the criminal
trustworthy and history review,
reliable. This credit history
determination must evaluation, and
be made as follows: psychological
(A) The licensee, assessment in order
applicant, or C/V for an individual
shall complete a to maintain UAA.
criminal history The proposed rule
update, credit would add these
history re- update and re-
evaluation, and evaluation
psychological re- requirements
assessment of the because it is
individual within 5 necessary to ensure
years of the date that individuals
on which these who are maintaining
elements were last UAA over long
completed, or more periods of time
frequently, based remain trustworthy
on job assignment;. and reliable. The
(B) The reviewing proposed update
official shall requirements would
complete an also apply to
evaluation of the transient workers
information who, under the
obtained from the proposed provisions
criminal history for granting
update, credit updated UAA in
history re- proposed Sec.
evaluation, 73.56(h)(6) and a
psychological re- reinstatement of
assessment, and the UAA in proposed
supervisory Sec. 73.56(h)(7),
interview required may be granted UAA
under paragraph without undergoing
(i)(1)(iv) of this the criminal
section within 30 history review,
calendar days of credit history
initiating any one evaluation, and
of these elements;. psychological
(C) The results of assessment that are
the criminal required to grant
history update, initial UAA in
credit history re- proposed Sec.
evaluation, 73.56(h)(5) each
psychological re- time that the
assessment, and the individual
supervisory transfers between
interview required licensee sites or
under paragraph applies for UAA
(i)(1)(iv) of this after an
section must interruption
support a positive period. It is also
determination of necessary to ensure
the individual's that these
continued transient workers
trustworthiness and remain trustworthy
reliability; and. and reliable.
Proposed Sec.
73.56(i)(1)(v)(A)
would require that
the updates and re-
evaluation must
occur within 5
years of the date
on which the
program elements
were last
completed.
(D) If the criminal The 5-year interval
history update, is consistent with
credit history re- the update
evaluation, requirements of
psychological re- other Federal
assessment, and agencies and
supervisory review private entities
have not been who impose similar
completed and the requirements on
information individuals who
evaluated by the must be trustworthy
reviewing official and reliable. More
within 5 years of frequent updates
the initial and re-evaluations
completion of these would be required
elements or the for some
most recent update, individuals, as
re-evaluation, and specified in the
re-assessment under licensee's or
this paragraph, or applicant's
within the time Physical Security
period specified in Plan, based on the
the licensee's or nature of their job
applicant's assignments, for
Physical Security the reasons
Plans, the discussed with
licensee, respect to proposed
applicant, or C/V Sec.
shall 73.56(e)(4)(ii).
administratively The new Sec.
withdraw the 73.56(i)(1)(v)(B)
individual's would also require
unescorted access licensees,
authorization until applicants, and C/
these requirements Vs to conduct the
have been met. required re-
evaluation
activities that are
specified in the
proposed paragraph,
and the supervisory
review required
under proposed Sec.
73.56(i)(1)(iv),
within 30 days of
the initiating any
one of these
elements. This
requirement is
necessary to ensure
that the reviewing
official has the
opportunity to
review the
information
collected in the
proper context,
comparing each
element to the
other, which would
then provide the
best possible
composite
representation of
the individual's
continued
trustworthiness and
reliability.
[[Page 62781]]
In a case in which a
medical evaluation
had been determined
to be necessary
through the conduct
of the
psychological re-
assessment, the
results of the
medical evaluation
would also become
part of the data
reviewed by the
reviewing official
during the 30 day
period. Proposed
Sec.
73.56(i)(1)(v)(C)
would require the
reviewing official
to determine that
the results of the
update support a
positive
determination of
the individual's
continuing
trustworthiness and
reliability in
order for the
individual to
maintain UAA.
Whereas, Sec.
73.56(i)(1)(v)(D)
would require the
reviewing official
to administratively
withdraw the
individual's UAA if
a positive
determination
cannot be made,
because the
information upon
which the
determination must
be made is not yet
available. These
requirements are
necessary to
provide high
assurance that any
individuals who are
maintaining UAA
have been
positively
determined to
continue to be
trustworthy and
reliable.
(i)(2) If an Proposed Sec.
individual who has 73.56(i)(2) would
unescorted access require licensees,
authorization is applicants, and C/
not subject to an Vs to terminate an
authorization individual's UAA if
program that meets the individual, for
the requirements of more than 30
this part for more [consecutive]
days,
than 30 continuous is not subject to
days, then the an authorization
licensee, program that meets
applicant, or C/V the requirements of
shall terminate the this section. The
individual's requirements of the
unescorted access proposed paragraph
authorization and would permit an
the individual individual to be
shall meet the away from all
requirements in elements of an AA
this section, as program for 30
applicable, to consecutive days in
regain unescorted order to
access accommodate
authorization. vacations, extended
work assignments
away from the
individual's normal
work location, and
significant
illnesses when the
individual would
not be reasonably
available for
behavioral
observation. The
proposed paragraph
would be consistent
with industry
practices that have
been endorsed by
the NRC and related
requirements in
part 26, and added
in response to
stakeholder
requests at the
public meetings
discussed in
Section IV.3.
[[Page 62782]]
(j) Access to vital Proposed Sec.
areas. Each 73.56(j) would
licensee and amend, and move
applicant who is into Sec. 73.56,
subject to this current Sec.
section shall 73.55(d)(7)(i),
establish, which establishes
implement, and requirements for
maintain a list of managing unescorted
individuals who are access to nuclear
authorized to have power plant vital
unescorted access areas. The proposed
to specific nuclear paragraph would be
power plant vital moved into Sec.
areas to assist in 73.56 for
limiting access to organizational
those vital areas clarity in the
during non- rule. The proposed
emergency requirement is
conditions. The necessary to
list must include support the
only those mitigation of the
individuals who insider threat
require access to postulated in 10
those specific CFR 73.1.
vital areas in Specifically,
order to perform individuals' access
their duties and to vital areas must
responsibilities. be controlled to
The list must be ensure that no-one
approved by a may enter these
cognizant licensee vital areas without
or applicant having a work-
manager, or related need, and
supervisor who is when the need no
responsible for longer exists,
directing the work access to the vital
activities of the areas must be
individual who is terminated. The NRC
granted unescorted is aware of many
access to each circumstances in
vital area, and the past in which
updated and re- some licensees
approved no less routinely allowed
frequently than access to all vital
every 31 days. areas for all
persons who had
been granted
unescorted access
to a licensee
protected area,
even during periods
when the
individuals were
not assigned to be
working at the
licensee site. The
defense-in-depth
required to
mitigate the
insider threat
requires that even
though persons have
been determined to
be trustworthy and
reliable for
unescorted access
to a protected area
and are under
behavioral
observation, access
to vital areas must
be restricted to
current work-
related need.
(k) Trustworthiness A new Sec.
and reliability of 73.56(k) would
background require licensees,
screeners and applicants, and C/
authorization Vs to ensure that
program personnel. any individuals who
Licensees, collect, process,
applicants, and C/ or have access to
Vs shall ensure the sensitive
that any personal
individuals who information that is
collect, process, required under this
or have access to section are,
personal themselves,
information that is trustworthy and
used to make reliable. The
unescorted access proposed rule would
authorization add this provision
determinations because the
under this section integrity and
have been effectiveness of
determined to be authorization
trustworthy and programs depend, in
reliable. large part, on the
accuracy of the
information that is
collected about
individuals who are
applying for or
maintaining UAA.
Therefore, it is
critical that any
individuals who
collect, process,
or have access to
the personal
information that is
used to make UAA
determinations are
not vulnerable to
compromise or
influence attempts
to falsify or alter
the personal
information that is
collected. Although
the NRC is not
aware of any
instances in which
individuals who
collected,
processed, or had
access to personal
information were
compromised or
subject to
influence attempts,
there have been
past circumstances
in which it was
discovered that
persons collecting
and reviewing such
personal
information were
found to have
extensive criminal
histories, which
clearly calls into
question their
trustworthiness and
reliability.
Therefore, the
proposed
requirements would
be added to
strengthen the
effectiveness of AA
programs.
[[Page 62783]]
(k)(1) Background Proposed Sec.
screeners. 73.56(k)(1) would
Licensees, impose new
applicants, and C/ requirements for
Vs who rely on determining the
individuals who are trustworthiness and
not directly under reliability of the
their control to employees of any
collect and process subcontractors or
information that vendors that
will be used by a licensees,
reviewing official applicants, or C/Vs
to make unescorted rely upon to
access collect sensitive
authorization personal
determinations information for the
shall ensure that a purposes of
background check of determining UAA.
such individuals The majority of
has been completed licensees contract
and determines that (or subcontract, in
such individuals the case of C/Vs)
are trustworthy and with other
reliable. At a businesses that
minimum, the specialize in
following checks background
are required: investigation
(i) Verification of services, typically
the individual's focused on
identity;. verifying the
(ii) A local employment
criminal history histories and
review and character and
evaluation from the reputation of
State of the individuals who
individual's have applied for
permanent UAA. The proposed
residence;. paragraph would
(iii) A credit require that the
history review and employees of these
evaluation;. firms are
(iv) An employment themselves
history review and trustworthy and
evaluation for the reliable, and would
past 3 years; and. establish means by
(v) An evaluation of which licensees,
character and applicants, and C/
reputation.. Vs would obtain
verification from
the subcontractor
or vendor that the
employees meet the
trustworthiness and
reliability
standards of the
licensee,
applicant, and C/V.
Proposed Sec.
73.56(k)(1)(i)
through (v) would
require a
background
investigation of
these subcontractor
or vendor employees
to include a
verification of the
employee's
identity, a review
and evaluation of
the employee's
criminal history
record from the
State in which the
employee
permanently
resides, a credit
history review and
evaluation, an
employment history
review and
evaluation from the
past 3 years, and
an evaluation of
the employee's
character and
reputation,
respectively. These
requirements would
be added for the
reasons discussed
with respect to
proposed Sec.
73.56(k).
(k)(2) Authorization A new Sec.
program personnel. 73.56(k)(2) would
Licensees, require that
applicants and C/Vs individuals who
shall ensure that evaluate and have
any individual who access to any
evaluates personal personal
information for the information that is
purpose of collected for the
processing purposes of this
applications for section must be
unescorted access determined to be
authorization trustworthy and
including, but not reliable, and
limited to a establishes two
clinical alternative methods
psychologist of for making this
psychiatrist who determination.
conducts Proposed Sec.
psychological 73.56(k)(2)(i)
assessments under would permit
paragraph (e) of licensees,
this section; has applicants, and C/
access to the Vs to subject such
files, records, and individuals to the
personal process established
information in this proposed
associated with section for
individuals who granting UAA.
have applied for Proposed Sec.
unescorted access 73.56(k)(2)(ii)
authorization; or would permit
is responsible for licensees,
managing any applicants, or C/Vs
databases that to subject such
contain such files, individuals to the
records, and requirements for
personal granting UAA in
information has proposed paragraphs
been determined to (d)(1) through
be trustworthy and (d)(5) and (e) of
reliable, as this section and a
follows: local criminal
(i) The individual history review and
is subject to an evaluation from the
authorization State of the
program that meets individuals
requirements of permanent
this section; or. residence, rather
(ii) The licensee, than the criminal
applicant, or C/V history review
determines that the specified in
individual is proposed Sec.
trustworthy and 73.56(d)(7).
reliable based upon Proposed Sec.
an evaluation that 73.56(k)(2)(ii)
meets the recognizes that, in
requirements of some cases,
paragraphs (d)(1) licensees cannot
through (d)(5) and legally obtain the
(e) of this section same type of
and a local criminal history
criminal history information about
review and authorization
evaluation from the program personnel
State of the as they are able to
individual's obtain for other
permanent individuals who are
residence.. subject to Sec.
73.56. Therefore,
this proposed
provision would
permit licensees,
applicants, and C/
Vs to rely on local
criminal history
checks in such
cases. These
requirements would
be added for the
reasons discussed
with respect to
proposed Sec.
73.56(k).
[[Page 62784]]
Sec. 73.56(e) Review (l) Review Proposed Sec.
procedures. Each licensee procedures. Each 73.56(l) would
implementing an unescorted licensee, retain the meaning
access authorization applicant, and C/V of current Sec.
program under the who is implementing 73.56(e) but update
provisions of this section an authorization some of the terms
shall include a procedure program under this used in the
for the review, at the section shall provision. The
request of the affected include a procedure proposed paragraph
employee, of a denial or for the review, at would replace the
revocation by the licensee the request of the term,
of unescorted access affected ``revocation,''
authorization of an individual, of a with the term,
employee of the licensee, denial or ``unfavorable
contractor, or vendor, unfavorable termination,'' for
which adversely affects termination of the reasons
employment. The procedure unescorted access discussed with
must provide that the authorization. The respect to proposed
employee is informed of the procedure must paragraph
grounds for denial or require that the (d)(1)(iii) of this
revocation and allow the individual is section. In
employee an opportunity to informed of the addition, the
provide additional relevant grounds for the proposed paragraph
information, and provide an denial or would add
opportunity for an unfavorable references to
objective review of the termination and applicants to
information on which the allow the reflect the NRC's
denial or revocation was individual an new licensing
based. The procedure may be opportunity to processes for
an impartial and provide additional nuclear power
independent internal relevant plants, as
management review. information, and discussed with
Unescorted access may not provide an respect to proposed
be granted to the opportunity for an Sec. 73.56(a).
individual during the objective review of Reference to C/Vs
review process. the information on would also be added
which the denial or for completeness,
unfavorable as discussed with
termination of respected to
unescorted access proposed Sec.
authorization was 73.56(a)(3).
based. The
procedure may be an
impartial and
independent
internal management
review. Licensees
and applicants may
not grant or permit
the individual to
maintain unescorted
access
authorization
during the review
process.
Sec. 73.56(f) Protection (m) Protection of Proposed Sec.
of information. (1) Each information. Each 73.56(m) would
licensee, contractor, or licensee, retain current Sec.
vendor who collects applicant, or C/V 73.56(f)(1) but
personal information on an who is subject to update it to
employee for the purpose of this section who include reference
complying with this section collects personal to applicants and C/
shall establish and information about Vs for internal
maintain a system of files an individual for consistency in the
and procedures for the the purpose of proposed rule. The
protection of the personal complying with this current requirement
information. section shall for a system of
establish and files and
maintain a system procedures for the
of files and protection of
procedures to information would
protect the be moved to
personal proposed Sec.
information. 73.56(m)(5) for
organizational
clarity in the
rule.
Sec. 73.56(f)(2) (f)(2) Deleted...... Current Sec.
Licensees, contractors, and 73.56(f)(2) would
vendors small make be deleted, but the
available such personal intent of the
information to another requirement would
licensee, contractor, or be incorporated
vendor provided that the into proposed Sec.
request is accompanied by a 73.56(m)(1) for
signed release from the organizational
individual. clarity in the
rule.
Sec. 73.56(f)(3) (m)(1) Licensees, Proposed Sec.
Licensees, contractors, and applicants, and C/ 73.56(m)(1) would
vendors may not disclose Vs shall obtain a amend current Sec.
the personal information signed consent from 73.56(f)(3), which
collected and maintained to the subject prohibits
persons other than: individual that licensees,
(ii) NRC representatives;... authorizes the applicants, and C/
(iii) Appropriate law disclosure of the Vs from disclosing
enforcement officials under personal personal
court order;. information information
(iv) The subject individual collected and collected under
or his or her maintained under this section to any
representative;. this section before individuals other
(v) Those licensee disclosing the than those listed
representatives who have a personal in the regulation.
need to have access to the information, except The proposed
information in performing for disclosures to paragraph would
assigned duties, including the following continue to permit
audits of licensee's, individuals: disclosure of the
contractor's, and vendor's (i) The subject personal
programs;. individual or his information to the
(vi) Persons deciding or her listed individuals,
matters on review or representative, but would add
appeal; or. when the individual permission for the
(vii) Other persons pursuant has designated the licensee,
to court order. This representative in applicant, or C/V
section does not authorize writing for to disclose the
the licensee, contractor, specified personal
or vendor to withhold unescorted access information to
evidence of criminal authorization others if the
conduct from law matters;. licensee or other
enforcement officials.. (ii) NRC entity has obtained
representatives;. a signed release
(iii) Appropriate for such a
law enforcement disclosure from the
officials under subject individual.
court order;. The proposed
(iv) A licensees, provision would be
applicant's or C/ added because some
V's representatives licensees have
who have a need to misinterpreted the
have access to the current requirement
information in as prohibiting them
performing assigned from releasing the
duties, including personal
determinations of information under
trustworthiness and any circumstances,
reliability, and except to the
audits of parties listed in
authorization the current
programs;. provision. In some
(v) The presiding instances, such
officer in a failures to release
judicial or information have
administrative inappropriately
proceeding that is inhibited an
initiated by the individual's
subject individual;. ability to obtain
(vi) Persons information that
deciding matters was necessary for a
under the review review or appeal of
procedures in the licensee's
paragraph (k) of determination for
this section; and. UAA. Therefore, the
(vii) Other persons explicit permission
pursuant to court for licensees and
order.. other entities to
release personal
information when an
individual consents
to the release, in
writing, would be
to have access to a
full and complete
evidentiary record
in review
procedures and
legal proceedings.
[[Page 62785]]
Proposed Sec.
73.56(m)(1)(i)
through (m)(1)(vii)
would list in
separate paragraphs
the individuals to
whom licensees and
other entities
would be permitted
to release personal
information about
an individual.
Proposed Sec.
73.56(m)(1)(ii),
(m)(1)(iii), and
(m)(1)(vii) would
retain the current
Sec. 73.56
permission for the
release of
information to NRC
representatives,
appropriate law
enforcement
officials under
court order, and
other persons
pursuant to court
order. Proposed
Sec.
73.56(m)(1)(i)
would retain the
current permission
for the release of
information to the
subject individual
and his or her
designated
representative. The
proposed paragraph
would add
requirements for
the individual to
designate his or
her representative
in writing and
specify the UAA
matters to be
disclosed. The
proposed changes
would be made in
response to
implementation
questions from
licensees who have
sought guidance
from the NRC
related to the
manner in which an
individual must
``designate'' a
representative.
Proposed Sec.
73.56 (m)(1)(iv)
would amend the
current reference
to licensee
representatives who
have a need to have
access to the
information in
performing assigned
duties. The current
rule refers only to
individuals who are
performing audits
of access.
The intent of the
provision was that
licensees and C/Vs
would be permitted
to release
information to
their
representatives who
must have access to
the personal
information in
order to perform
assigned job duties
related to the
administration of
the program.
Therefore, the
proposed rule would
clarify the
provision by adding
licensee
representatives who
perform
determinations of
trustworthiness and
reliability as a
further example of
individuals who may
be permitted access
to personal
information but
only to the extent
that such access is
required to perform
their assigned
functions. Proposed
Sec.
73.56(m)(1)(v) and
(m)(1)(vi) would
amend the portion
of current Sec.
73.56(f)(3)(vi)
that refers to
``persons deciding
matters on review
or appeal.'' The
proposed changes
would be made in
response to
implementation
questions from
licensees,
including whether
the rule covers
persons deciding
matters in judicial
proceedings or only
the internal review
process specified
in current Sec.
73.56(e) [Review
procedures]
as well
as whether
information could
be released in a
judicial proceeding
that was not
initiated by the
subject individual.
The proposed rule
would clarify that
the permission
includes
individuals who are
presiding in a
judicial or
administrative
proceeding, but
only if the
proceeding is
initiated by the
subject individual.
[[Page 62786]]
Sec. 73.56(f)(3)(i) Other (m)(2) Personal Proposed Sec.
licensees, contractors, or information that is 73.56(m)(2) would
vendors, or their collected under enhance the current
authorized representatives, this section must requirement for the
legitimately seeking the be disclosed to disclosure of
information as required by other licensees, relevant
this section for unescorted applicants, and C/ information to
access decisions and who Vs, or their licensees,
have obtained a signed authorized applicants, and C/
release from the individual. representatives, Vs, and their
who are seeking the authorized
information for representatives who
unescorted access have a legitimate
authorization need for the
determinations information and a
under this section signed release from
and who have an individual who
obtained a signed is seeking UAA
release from the under this part.
subject individual. This proposed
provision would be
added to further
clarify current
Sec. 73.56
requirements
because some
licensees have
misinterpreted the
current provision
as prohibiting the
release of
information to C/Vs
who have licensee-
approved
authorization
programs and
require such
information in
determining
individuals'
trustworthiness and
reliability. The
proposed change
would be made in
order to further
clarify the NRC's
intent that C/Vs
shall have access
to personal
information for the
specified purposes.
(m)(3) Upon receipt A new Sec.
of a written 73.56(m)(3) would
request by the require the
subject individual licensee,
or his or her applicant, or C/V
designated possessing the
representative, the records specified
licensee, applicant in Sec. 73.56(m)
or C/V possessing to promptly provide
such records shall copies of all
promptly provide records pertaining
copies of all to a denial or
records pertaining unfavorable
to a denial or termination of the
unfavorable individual's UAA to
termination of the the subject
individuals individual or his
unescorted access or her designated
authorization. representative upon
written request.
This paragraph
would be added to
protect
individuals'
ability to have
access to a full
and complete
evidentiary record
in review
procedures and
legal proceedings.
(m)(4) A licensee's, Proposed Sec.
applicant's, or C/ 73.56(m)(4) would
V's contracts with require that a
any individual or licensee's,
organization who applicant's, or C/
collects and V's contracts with
maintains personal any individual or
information that is organization who
relevant to an collects and
unescorted access maintains personal
authorization information that is
determination must relevant to a UAA
require that such determination must
records be held in require that such
confidence, except records be
as provided in maintained in
paragraphs (m)(1) confidence. The
through (m)(3) of paragraph would
this section. make an exception
for the disclosure
of information to
the individuals
identified in Sec.
73.56(m)(1)
through (m)(3).
This paragraph
would be added to
ensure that
entities who
collect and
maintain personal
information use and
maintain those
records with the
highest regard for
individual privacy.
(m)(5) Licensees, A new Sec.
applicants, and C/ 73.56(m)(5) would
Vs who collect and require licensees,
maintain personal applicants, and C/
information under Vs, and any
this section, and individual or
any individual or organization who
organization who collects and
collects and maintains personal
maintains personal information on
information on their behalf, to
behalf of a establish,
licensee, applicant implement, and
or C/V, shall maintain a system
establish, and procedures to
implement, and ensure that the
maintain a system personal
and procedures for information is
the secure storage secure and cannot
and handling of the be accessed by any
personal unauthorized
information individuals. The
collected. proposed rule would
add this specific
requirement because
the NRC is aware of
circumstances in
which the personal
information of
individuals
applying for UAA
has been removed
from a C/V's
business location
and transported to
the personal
residences of its
employees.
The proposed
provision would
prohibit such
practices in order
to further protect
the privacy rights
of individuals who
are subject to the
proposed rule.
[[Page 62787]]
Sec. 73.56(f)(3)(vii) (m)(6) This Proposed Sec.
Other persons pursuant to paragraph does not 73.56(m)(5) would
court order. This section authorize the retain the meaning
does not authorize the licensee, of the second
licensee, contractor, or applicant, or C/V sentence of current
vendor to withhold evidence to withhold Sec.
of criminal conduct from evidence of 73.56(f)(3)(vii),
law enforcement officials. criminal conduct which states that
from law the protection of
enforcement information
officials. requirements in
current Sec.
73.56(f)(3)(vii) do
not authorize the
licensee to
withhold evidence
of criminal conduct
from law
enforcement
officers, but
renumber the second
sentence as a
separate paragraph.
The first sentence
of current Sec.
73.56(f)(3)(vii)
permits licensees
to release personal
information about
an individual
without his or her
written consent
under a court
order. Therefore,
the proposed rule
would present the
second sentence of
current Sec.
73.56(f)(3)(vii) is
a separate
paragraph to
emphasize that the
prohibition on
withholding
personal
information from
law enforcement
officials applies
to any information
that may be
developed under the
requirements of
this section. This
change would be
made to improve the
clarity of the
rule.
Sec. 73.56(g) Audits...... (n) Audits and Proposed Sec.
Sec. 73.56(g)(2) Each corrective action. 73.56(n) [Audits
licensee retains Each licensee and and corrective
responsibility for the applicant who is action]
would
effectiveness of any subject to this rename and amend
contractor and vendor section shall be current Sec.
program it accepts and the responsible for the 73.56(g) [Audits].
implementation of continuing The phrase, ``and
appropriate corrective effectiveness of corrective
action.. the authorization action,'' would be
program, including added to the
authorization section title to
program elements emphasize the NRCs
that are provided intent that
by C/Vs, and the licensees,
authorization applicants, and C/
programs of any C/ Vs must ensure that
Vs that are comprehensive
accepted by the corrective actions
licensee and are taken in
applicant. Each response to any
licensee, violations of the
applicant, and C/V requirements of
who is subject to this section
this section shall identified from an
ensure that audit. The second
authorization sentence of
programs and proposed Sec.
program elements 73.56(n) would
are audited to restate the
confirm compliance requirement for AA
with the program audits in
requirements of current Sec.
this section and 73.56(g)(1) and add
that comprehensive a requirement for
actions are taken comprehensive
to correct any non- corrective actions
conformance that is to be taken to any
identified. violations
identified as a
result of the
audits. These
changes would be
made because NRC is
aware that some
licensees have met
the requirements
for scheduling
audits in current
Sec. 73.56(g)(1),
but have not acted
promptly to resolve
violations that
were identified.
Therefore, the
proposed
requirements would
clarify the NRC's
intent that
comprehensive
corrective actions
must be taken in
response to audit
findings. The first
sentence of
proposed Sec.
73.56(n) would be
added to clarify
that licensees and
applicants are
responsible for the
continued
effectiveness of
their AA programs,
as well as those C/
V programs or
program elements
upon which they
rely to meet the
requirements of
this section.
The proposed
sentence would
retain the meaning
of the last
sentence of current
Sec. 73.56(g)(2),
which states that
each licensee
retains
responsibility for
the effectiveness
of any contractor
and vendor program
it accepts and the
implementation of
appropriate
corrective action,
but would move it
to proposed Sec.
73.56(n) for
organizational
clarity.
[[Page 62788]]
Sec. 73.56(g)(1) Each (n)(1) Each Proposed Sec.
licensee shall audit its licensee, applicant 73.56(n)(1) would
access authorization and C/V who is retain the required
program within 12 months of subject to this 24-month audit
the effective date of section shall frequency in
implementation of this ensure that their current Sec.
program and at least every entire 73.56(g)(1).
24 months thereafter to authorization Licensees,
ensure that the program is audited applicants, and C/
requirements of this as needed, but no Vs would be
section are satisfied. less frequently required to monitor
than nominally program performance
every 24 months. indicators and
Licensees, operating
applicants and C/Vs experience, and
are responsible for audit AA program
determining the elements more
appropriate frequently than
frequency, scope, every 24 months, as
and depth of needed. In
additional auditing determining the
activities within need for more
the nominal 24- frequent audits,
month period based the entities who
on the review of are subject to this
program performance section would
indicators, such as consider the
the frequency, frequency, nature,
nature, and and severity of
severity of discovered program
discovered deficiencies,
problems, personnel personnel or
or procedural procedural changes,
changes, and previous audit
previous audit findings, as well
findings. as ``lessons
learned.'' The
proposed change is
intended to promote
performance-based
rather than
compliance-based
audit activities
and clarify that
programs must be
audited following a
significant change
in personnel,
procedures, or
equipment as soon
as reasonably
practicable.
The NRC recognizes
that AA programs
evolve and new
issues and problems
continue to arise.
A high rate of
turnover of AA
program personnel
in contracted
services
exacerbates this
concern. Licensee
audits have
identified problems
that were
associated in some
way with personnel
changes, such as
new personnel not
understanding their
duties or
procedures, the
implications of
actions that they
took or did not
take, and changes
in processes. The
purpose of these
focused audits
would be to ensure
that changes in
personnel or
procedures do not
adversely affect
the operation of a
particular element
within the AA
program, or
function in
question.
Accordingly, the
proposed audit
requirement would
ensure that any
programmatic
problems that may
result from
significant changes
in personnel or
procedures would be
detected and
corrected on a
timely basis.
[[Page 62789]]
Sec. 73.56(g)(2) Each (n)(2) Authorization Proposed Sec.
licensee who accepts the program services 73.56(n)(2) would
access authorization that are provided add a new
program of a contractor or to a licensee, or requirement
vendor as provided for by applicant, by C/V specifying that if
paragraph (a)(4) of this personnel who are a licensee or
section shall have access off site or are not applicant relies
to records and shall audit under the direct upon a C/V program
contractor or vendor daily supervision or program element
programs every 12 months to or observation of to meet the
ensure that the the licensee's or requirements of
requirements of this applicant's this section, and
section are satisfied. personnel must be if the C/V
audited on a personnel providing
nominal 12-month the AA program
frequency. In service are off
addition, any site or, if they
authorization are on site but not
program services under the direct
that are provided daily supervision
to C/Vs by or observation of
subcontractor the personnel of
personnel who are the licensee or
off site or are not applicant, then the
under the direct licensee or
daily supervision applicant must
or observation of audit the C/V
the C/V's personnel program or program
must be audited on element on a
a nominal 12-month nominal 12-month
frequency. frequency. The
proposed rule would
also require that
any authorization
program services
that are provided
to C/Vs by
subcontractor
personnel who are
off site or are not
under the direct
daily supervision
or observation of
the C/V's personnel
must be audited on
a nominal 12-month
frequency. The
activities of C/V
personnel who work
on site and are
under the daily
supervision of AA
program personnel
would be audited
under proposed Sec.
73.56(n). The
proposed rule
expands and
clarifies the
current requirement
in Sec.
73.56(g)(2), which
requires licensees
who accept the
access
authorization
program of a
contractor or
vendor to audit the
C/V programs every
12 months, but does
not distinguish
between C/V
personnel who work
off site and other
C/V personnel, and
does not address
personnel who work
as subcontractors
to C/Vs.
Requiring annual
audits for C/V
personnel who work
off site and for C/
V subcontractors is
necessary to ensure
that the services
provided continue
to be effective,
given that other
means of monitoring
their
effectiveness, such
as daily oversight,
are unavailable.
(n)(3) Licensees' Proposed Sec.
and applicants' 73.56(n)(3) would
contracts with C/Vs add a new
must reserve the requirement that
right to audit the addresses
C/V and the C/V's contractual
subcontractors relationships
providing between licensees,
authorization applicants, and C/
program services at Vs. The proposed
any time, including rule would specify
at unannounced that contracts
times, as well as between licensees,
to review all applicants, and C/
information and Vs must allow the
documentation that licensees or
is reasonably applicants the
relevant to the right to audit the
performance of the C/Vs and the C/V's
program. subcontractors
providing
authorization
program services at
any time, including
at unannounced
times, as well as
to review all
information and
documentation that
is reasonably
relevant to the
performance of the
AA program. The
proposed paragraph
would apply to any
C/V with whom the
licensee or
applicant contracts
for authorization
program services.
The proposed rule
would specify that
contracts must
allow audits at
unannounced times,
which the NRC
considers necessary
to enhance the
effectiveness of
the audits.
[[Page 62790]]
Such unannounced
audits could be
necessary, for
example, if a
licensee or
applicant receives
an allegation that
an off-site C/V is
falsifying records
and the licensee or
applicant
determines that an
unannounced audit
would provide the
most effective
means to
investigate such an
allegation. The
proposed paragraph
would ensure that
the licensee's or
other entity's
contract with the C/
V would permit the
unannounced audit
as well as access
to any information
necessary to
conduct the audit
and ensure the
proper performance
of the AA program.
(n)(4) Licensees' A new Sec.
and applicants' 73.56(n)(4) would
contracts with C/ ensure that
Vs, and a C/V's licensees' and
contracts with applicants'
subcontractors, contracts with C/Vs
must also require permit the licensee
that the licensee or applicant to be
or applicant shall provided with or
be provided with, permitted to obtain
or permitted access copies of and take
to, copies of any away any documents
documents and take that auditors may
away any documents, need to assure that
that may be needed the C/V or its
to assure that the subcontractors are
C/V and its performing their
subcontractors are functions properly
performing their and that staff and
functions properly procedures meet
and that staff and applicable
procedures meet requirements. This
applicable proposed provision
requirements. would respond to
several incidents
in which parties
under contract to
licensees did not
permit AA program
auditors to remove
documents from a C/
V's premises that
were necessary to
document audit
findings, develop
corrective actions,
and ensure that the
corrective actions
were comprehensive
and effective.
(n)(5) Audits must A new Sec.
focus on the 73.56(n)(5) would
effectiveness of require audits to
the authorization focus on the
program or program effectiveness of AA
element(s), as programs and
appropriate. At program elements in
least one member of response to
the audit team industry and NRC
shall be a person experience that
who is some licensees' AA
knowledgeable of program audits have
and practiced with focused only on the
meeting extent to which the
authorization program or program
program performance elements meet the
objectives and minimum regulatory
requirements. The requirements in the
individuals current rule.
performing the Consistent with a
audit of the performance-based
authorization approach, the
program or program proposed paragraph
element(s) shall be would more clearly
independent from communicate the
both the subject NRC's intent that
authorization AA programs must
programs management meet the
and from personnel performance
who are directly objective of
responsible for providing high
implementing the assurance that
authorization individuals who are
program(s) being subject to the
audited. program are
trustworthy and
reliable, and do
not constitute an
unreasonable risk
to public health
and safety or the
common defense and
security, including
the potential to
commit radiological
sabotage. The
proposed paragraph
would also require
that the audit team
must include at
least one
individual who has
practical
experience in
implementing all
facets of AA
programs and that
the team members
must be
independent. These
provisions would be
added in response
to issues that have
arisen since the
requirements for AA
programs were first
promulgated, in
which licensee
audits were
ineffective because
the personnel who
conducted the
audits:
[[Page 62791]]
(1) lacked the
requisite knowledge
to evaluate the
wholistic
implications of
individual
requirements or the
complexities
associated with
meeting the rule's
performance
objective and,
therefore, could
not adequately
evaluate program
effectiveness, or
(2) were not
independent from
the day-to-day
operation of the AA
program and,
therefore, could
not be objective,
because in some
cases, these
persons were
auditing their own
activities. The
proposed
requirements would
be necessary to
correct these audit
deficiencies.
(n)(6) The result of Proposed Sec.
the audits, along 73.56(n)(6) would
with any clarify the
recommendations, requirements for
must be documented documentation and
and reported to dissemination of
senior corporate audit results.
and site Section 73.56(h)(2)
management. Each of the current rule
audit report must specifies that
identify conditions licensees shall
that are adverse to retain records of
the proper results of audits,
performance of the resolution of the
authorization audit findings, and
program, the cause corrective actions.
of the The proposed rule
condition(s), and, would retain the
when appropriate, requirement that
recommended licensees,
corrective actions, applicants, and C/
and corrective Vs document audit
actions taken. The findings. The
licensee, applicant proposed rule would
or C/V shall review add a requirement
the audit findings that any
and take any recommendations
additional must be documented,
corrective actions, and also would add
to include re- a requirement that
auditing of the findings and
deficient areas recommendations
where indicated, to must be reported to
preclude, within senior corporate
reason, repetition and site
of the condition. management. The
The resolution of proposed rule
the audit findings specifies more
and corrective fully than the
actions must be current rule what
documented. an audit report
must contain.
The second sentence
of the proposed
paragraph would
require each audit
report to identify
conditions that are
adverse to the
proper performance
of the AA program,
the cause of the
condition(s), and,
when appropriate,
recommended
corrective actions,
and corrective
actions already
taken. The third
sentence of the
proposed paragraph
would require the
licensee,
applicant, or C/V
to review the audit
findings and, where
warranted, take
additional
corrective actions,
to include re-
auditing of the
deficient areas
where indicated, to
preclude, within
reason, repetition
of the condition.
Finally, the
proposed rule would
require the
resolution of the
audit findings and
corrective actions
to be documented.
The current rule
does not state
explicitly that
resolution of the
audit findings and
corrective actions
must be documented;
it provides only
that records of
resolution of the
audit findings and
corrective actions
must be retained
for 3 years. The
additional
sentences in the
proposed rule would
provide consistency
with Criterion XVI
in appendix B to 10
CFR part 50 and
would indicate that
AA audit reports
must be included in
licensees' and
applicants'
corrective action
programs, and that
any nonconformance
is not only
identified, but
corrected.
[[Page 62792]]
(n)(7) Licensees and Proposed Sec.
applicants may 73.56(n)(7) would
jointly conduct clarify the
audits, or may circumstances in
accept audits of C/ which licensees,
Vs that were applicants, and C/
conducted by other Vs may accept and
licensees and rely on others'
applicants who are audits. The current
subject to this rule in Sec.
section, if the 73.56(g) states
audit addresses the only that licensees
services obtained may accept audits
from the C/V by of contractors and
each of the sharing vendors conducted
licensees and by other licensees.
applicants. C/Vs The proposed rule
may jointly conduct would amend the
audits, or may current provision
accept audits of to incorporate
its subcontractors specific permission
that were conducted for licensees and
by other licensees, other entities to
applicants and C/Vs jointly conduct
who are subject to audits as well as
this section, if rely on one
the audit addresses anothers audits, if
the services the audits upon
obtained from the which they are
subcontractor by relying address the
each of the sharing services obtained
licensees, from the C/V by
applicants and C/Vs. each of the sharing
licensees or
applicants. These
proposed changes
would make the rule
consistent with
current licensee
practices that have
been endorsed by
the NRC and reduce
unnecessary
regulatory burden
by reducing the
number of redundant
audits that would
be performed.
(n)(7)(i) Licensees, Proposed Sec.
applicants and C/Vs 73.56(n)(7)(i)
shall review audit would require
records and reports licensees,
to identify any applicants, and C/
areas that were not Vs to identify any
covered by the areas that were not
shared or accepted covered by a shared
audit and ensure or accepted audit
that authorization and ensure that any
program elements unique services
and services upon used by the
which the licensee, licensee,
applicant or C/V applicant, or C/V
relies are audited, that were not
if the program covered by the
elements and shared audit are
services were not audited. The
addressed in the proposed provision
shared audit. is necessary to
ensure that all
authorization
program elements
and services upon
which each of the
licensees,
applicants, and C/
Vs relies are
audited, and that
elements not
included in the
shared audits are
not overlooked or
ignored.
Sec. 73.56(g)(2) * * * (n)(7)(ii) Sharing Proposed Sec.
Licensees may accept audits licensees and 73.56 (n)(7)(ii)
of contractors and vendors applicants need not would add a new
conducted by other re-audit the same C/ paragraph
licensees. V for the same clarifying that
period of time. licensees,
Sharing C/Vs need applicants, and C/
not re-audit the Vs need not re-
same subcontractor audit the same C/V
for the same period for the same period
of time. of time, and that C/
Vs who share the
services of the
same subcontractor
with other C/Vs or
licensees and
applicants, need
not re-audit the
same subcontractor
for the same period
of time.
The proposed rule
would include this
provision in
response to
implementation
questions from
stakeholders at the
public meetings
discussed in
Section IV.3 who
reported that some
industry auditors
and quality
assurance personnel
have misunderstood
the intent of the
current provision
and have required
licensees to re-
audit C/V programs
that have been
audited by other
licensees during
the same time
period. However,
such re-auditing
would be
unnecessary, as the
shared program
elements and
services should be
identical, and the
period of time
covered by the
audit should be the
same nominal 12-
month period.
Therefore, the
proposed provision
would be added to
clarify the intent
of current Sec.
73.56(g)(2).
[[Page 62793]]
Sec. 73.56(g)(2) * * * (n)(7)(iii) Each Proposed Sec.
Each sharing utility shall sharing licensee, 73.56(n)(7)(iii)
maintain a copy of the applicant and C/V would retain the
audit report, to include shall maintain a requirement in
findings, recommendations copy of the shared current Sec.
and corrective actions. audit, including 73.56(g)(2) that
findings, each sharing entity
recommendations, shall maintain a
and corrective copy of the shared
actions. audit report. The
proposed provision
would specify that
the requirement to
retain a copy of a
shared audit report
includes a
requirement to
retain a copy of
findings,
recommendations,
and corrective
actions, and that
the requirement
pertains to each
sharing licensee,
applicant and C/V.
This provision is
necessary to ensure
that the audit
documents are
available for NRC
review.
Sec. 73.56(h) Records..... (o) Records. Each Proposed Sec.
Sec. 73.56(h)(1) Each licensee, 73.56(o) [Records]
licensee who issues an applicant, and C/V would establish a
individual unescorted who is subject to requirement that
access authorization shall this section shall licensees,
retain the records on which maintain the applicants and C/Vs
the authorization is based records that are who are subject to
for the duration of the required by the this section must
unescorted access regulations in this retain the records
authorization and for a section for the required under the
five-year period following period specified by proposed rule for
its termination.. the appropriate either the periods
regulation. If a that are specified
retention period is by the appropriate
not otherwise regulation or for
specified, these the life of the
records must be facility's license,
retained until the certificate, or
Commission other regulatory
terminates the approval, if no
facility's license, records retention
certificate, or requirement is
other regulatory specified. The
approval. proposed rule would
replace the current
records requirement
in Sec.
73.56(h)(1), which
requires retention
of records on which
UAA is granted for
a period of 5 years
following
termination of UAA,
and retention of
records upon which
a denial of UAA is
based for 5 years,
and in Sec.
73.56(h)(2), which
requires retention
of audit records
for 3 years. The
proposed records
retention
requirement is a
standard
administrative
provision that is
used in all other
parts of 10 CFR
that contain
substantive
requirements
applicable to
licensees and
applicants.
(o)(1) All records Proposed Sec.
may be stored and 73.56(o)(1) would
archived permit the records
electronically, that would be
provided that the required under the
method used to provisions of the
create the proposed section to
electronic records be stored and
meets the following archived
criteria: electronically if
(i) Provides an the method used to
accurate create the
representation of electronic records:
the original (1) Provides an
records;. accurate
(ii) Prevents representation of
unauthorized access the original
to the records;. records; (2)
(iii) Prevents the prevents access to
alteration of any the information by
archived any individuals who
information and/or are not authorized
data once it has to have such
been committed to access; (3)
storage; and. prevents the
(iv) Permits easy alteration of any
retrieval and re- archived
creation of the information and/or
original records.. data once it has
been committed to
storage; and (4)
allows easy
retrieval and re-
creation of the
original records.
The proposed
paragraph would be
added to recognize
that most records
are now stored
electronically and
must be protected
to ensure the
integrity of the
data. Records are
now stored
electronically and
must be protected
to ensure the
integrity of the
data.
[[Page 62794]]
(o)(2) Each Proposed Sec.
licensee, 73.56(o)(2) would
applicant, and C/V require licensees,
who is subject to applicants, and C/
this section shall Vs to retain
retain the certain records
following records related to UAA
for at least 5 determinations for
years after the at least 5 years
licensee, after an
applicant, or C/V individual's UAA
terminates or has been terminated
denies an or denied, or until
individual's the completion of
unescorted access all related legal
authorization or proceedings,
until the whichever is later.
completion of all The proposed
related legal requirement to
proceedings, retain records
whichever is later: until the
(i) Records of the completion of all
information that related legal
must be collected proceedings would
under paragraphs address the fact
(d) and (e) of this that legal actions
section that involving records
results in the of the type
granting of specified in the
unescorted access proposed paragraph
authorization;. can continue longer
(ii) Records than the 5 years
pertaining to that the current
denial or rule requires these
unfavorable records to be
termination of retained. Adding a
unescorted access requirement to
authorization and retain the records
related management until all legal
actions; and. proceedings are
(iii) Documentation complete would
of the granting and protect
termination of individuals'
unescorted access ability to have
authorization.. access to a full
and complete
evidentiary record
in legal
proceedings. The
proposed rule would
identify more
specifically the
records to be
retained than the
current rule, which
in Sec.
73.56(h)(1)
specifies only
``the records on
which authorization
is based'' and
``the records on
which denial is
based.'' Proposed
Sec. 73.56(o)(2)
would require
licensees,
applicants, and C/
Vs to retain three
specified types of
records:
(1) Records listed
in proposed Sec.
73.56(o)(2)(i),
which specifies
records of the
information that
must be collected
under Sec.
73.56(d)
[Background
investigation]
and
Sec. 73.56(e)
[Psychological
assessment]
of the
proposed rule that
results in the
granting of UAA;
(2) records listed
in proposed Sec.
73.56(o)(2)(ii),
which specifies
records pertaining
to denial or
unfavorable
termination of UAA
and related
management actions;
and (3) records
listed in proposed
Sec.
73.56(o)(2)(iii),
which specifies
documentation of
the granting and
termination of UAA.
Proposed Sec.
73.56(o)(2)(iii),
requiring retention
of records that are
related to the
granting and
termination of an
individual's UAA,
would be added to
ensure that
licensees,
applicants, and C/
Vs who may be
considering
granting UAA to an
individual can
determine which
category of UAA
requirements would
apply to the
individual, based
upon the length of
time that has
elapsed since the
individual's last
period of UAA was
terminated and
whether the
individual's last
period of UAA was
terminated
favorably.
[[Page 62795]]
Sec. 73.56(h)(2) Each (o)(3) Each Proposed Sec.
licensee shall retain licensee, 73.56(o)(3)(i) and
records of results of applicant, and C/V (ii) would require
audits, resolution of the who is subject to licensees,
audit findings and this section shall applicants, and C/
corrective actions for retain the Vs to retain
three years. following records records related to
for at least 3 behavioral
years or until the observation
completion of all training and
related legal records related to
proceedings, audits, audit
whichever is later: findings, and
(i) Records of corrective actions
behavioral for at least 3
observation years, or until the
training conducted completion of all
under paragraph related legal
(f)(2) of this proceedings,
section; and. whichever is later.
(ii) Records of Proposed Sec.
audits, audit 73.56(o)(3)(i)
findings, and would add a new
corrective actions requirement, not
taken under addressed in the
paragraph (n) of current rule, to
this section.. retain records of
behavioral
observation
training. Because
the proposed rule
is adding a
requirement that
all individuals who
are subject to the
AA program must
perform behavioral
observation, and
therefore that they
must all be trained
in behavioral
observation, this
proposed record
retention
requirement is
necessary to allow
the NRC to review
the implementation
of the training
requirement.
Proposed Sec.
73.56(o)(3)(i)
would retain the 3-
year recordkeeping
requirements of the
current rule in
Sec. 73.56(h)(2)
for audit findings
and corrective
action records.
(o)(4) Licensees, Proposed Sec.
applicants, and C/ 73.56(o)(4) would
Vs shall retain add a new
written agreements requirement that
for the provision licensees,
of services under applicants, and C/
this section for Vs shall retain
the life of the written agreements
agreement or until for the provision
completion of all of authorization
legal proceedings program services
related to a denial for the life of the
or unfavorable agreement or until
termination of completion of all
unescorted access legal proceedings
authorization that related to a denial
involved those or unfavorable
services, whichever termination of UAA
is later. that involved those
services, whichever
is later. The
proposed
requirement for
retention of the
agreement for the
life of the
agreement would
ensure that the
agreement is
available for use
as a source of
information about
the scope of duties
under the
agreement. The
proposed
requirement to
retain the written
agreements for any
matter under legal
challenge until the
matter is resolved
is necessary to
ensure that the
materials remain
available, should
an individual, the
NRC, a licensee, or
another entity who
would be subject to
the rule require
access to them in a
legal or regulatory
proceeding.
(o)(5) Licensees, Proposed Sec.
applicants, and C/ 73.56(o)(5) would
Vs shall retain be added to require
records of the licensees,
background checks, applicants, and C/
and psychological Vs to retain
assessments of records related to
authorization the background
program personnel, checks and
conducted under psychological
paragraphs (d) and assessments of AA
(e) of this program personnel,
section, for the conducted under
length of the proposed paragraphs
individual's (d) and (e) of Sec.
employment by or 73.56, for the
contractual length of the
relationship with individual's
the licensee, employment by or
applicant, or C/V, contractual
or until the relationship with
completion of any the licensee,
legal proceedings applicant, or C/V,
relating to the or until the
actions of such completion of all
authorization related legal
program personnel, proceedings,
whichever is later. whichever is later.
The proposed period
during which these
records must be
maintained would be
based on the NRC's
need to have access
to the records for
inspection purposes
and the potential
need for the
records to remain
available should an
individual, the
NRC, a licensee, or
another entity who
would be subject to
this rule require
access to them in a
legal or regulatory
proceeding.
However, the
proposed rule would
establish a limit
on the period
during which the
records must be
retained in order
to reduce the
burden associated
with storing such
records
indefinitely.
[[Page 62796]]
(o)(6) Licensees, A new Sec.
applicants, and C/ 73.56(o)(6) would
Vs shall ensure require licensees,
that the applicants and C/Vs
information about to establish and
individuals who administer an
have applied for information-sharing
unescorted access mechanism (i.e., a
authorization, database) that
which is specified permits all of the
in the licensee's entities who are
or applicant's subject to Sec.
Physical Security 73.56 to access
Plan, is recorded certain information
and retained in an about individuals
information-sharing who have applied
mechanism that is for UAA under this
established and section. The
administered by the information that
licensees, must be shared
applicants, and C/ would be specified
Vs who are subject in the Physical
to his section. Security Plans that
Licensees, licensees and
applicants, and C/ entities would be
Vs shall ensure required to submit
that only correct for NRC review and
and complete approval under
information is proposed Sec.
included in the 73.56(a). The
information-sharing proposed paragraph
mechanism. If, for would require
any reason, the licensees,
shared information applicants, and C/
used for Vs to enter this
determining an information about
individual's individuals who
trustworthiness and have applied for
reliability changes UAA into the
or new information information-sharing
is developed about mechanism and
the individual, update the shared
licensees, information, if the
applicants, and C/ licensee, applicant
Vs shall correct or or C/V determines
augment the shared that information
information previously entered
contained in the is incorrect or
information-sharing develops new
mechanism. information about
the individual. The
proposed
requirement for an
information-sharing
mechanism is
necessary to
address several
long-standing
weaknesses in the
sharing of
information about
individuals among
licensee and C/V
authorization
programs that is
required under
current Sec.
73.56.
If the changed or Although the
developed industry has
information has maintained a
implications for database for many
adversely affecting years, some
an individual's licensees did not
trustworthiness and participate, some
reliability, the programs did not
licensee, enter complete
applicant, or C/V information, some
who has discovered programs did not
the incorrect enter the
information, or information in a
develops new timely manner, and
information, shall C/Vs who were
inform the implementing
reviewing official authorization
of any programs were not
authorization permitted to
program under which participate. As a
the individual is result, some
maintaining licensees and C/Vs
unescorted access were at risk of
authorization of granting UAA to
the updated individuals without
information on the being aware, in a
day of discovery. few instances, that
The reviewing the individual's
official shall last period of UAA
evaluate the had been terminated
information and unfavorably or that
take appropriate potentially
actions, which may disqualifying
include denial or information about
unfavorable the individual had
termination of the been developed by a
individual's previous licensee
unescorted access after the
authorization. If, individual was
for any reason, the granted UAA by a
information-sharing subsequent
mechanism is licensee, because
unavailable and a that additional
notification of information was not
changes or updated communicated.
information is Therefore, the
required, proposed rule would
licensees, require
applicants, and C/ establishing and
Vs shall take administering an
manual actions to information-sharing
ensure that the mechanism to
information is strengthen the
shared, and update effectiveness of
the records in the authorization
information-sharing programs by
mechanism as soon ensuring that
as reasonably information that
possible. Records has implications
maintained in the for an individual's
database must be trustworthiness and
available for NRC reliability is
review. available in a
timely manner,
accurate, and
complete.
[[Page 62797]]
The proposed
paragraph would
also require
licensees,
applicants, and C/
Vs to inform the
reviewing official
of any licensee,
applicant, or C/V
who may be
considering an
individual for UAA
or has granted UAA
to an individual of
any corrected or
new information
about that
individual on the
day that incorrect
or new information
is discovered. The
proposed
requirement to
inform the
subsequent
licensee's,
applicant's, or C/
V's reviewing
official would be
added to ensure
that the corrected
or new information
is actively
communicated, in
addition to
entering it into
the information-
sharing mechanism.
The proposed rule
would also require
the receiving
reviewing official
to evaluate the
corrected or new
information and
determine its
implications for
the individual's
trustworthiness and
reliability. If the
information
indicates that the
individual cannot
be determined to be
trustworthy and
reliable, the
proposed rule would
require the
receiving reviewing
official to deny or
unfavorably
terminate the
individual's UAA.
The proposed
requirement to
inform subsequent
AA programs of
corrected or new
information is
necessary because
receiving AA
programs would not
otherwise become
aware of the
information unless
and until the
individual seeks
UAA from another AA
program or is
subject to the re-
evaluation required
under proposed Sec.
73.56(i)(1)(v).
The proposed
paragraph would
also require
licensees,
applicants, and C/
Vs to take manual
actions to share
the required
information, if the
industry database
is unavailable for
any reason. These
manual actions
could include, but
would not be
limited to,
telephone contacts,
faxes, and email
communications.
However, the
proposed rule would
also require that
any records created
manually must be
entered into the
database once it is
again available.
These provisions
would be necessary
to maintain the
effectiveness of
the information-
sharing component
of AA programs.
Finally, the
proposed paragraph
would also require
the information-
sharing mechanism
to be available for
NRC review. This
requirement is
necessary to ensure
that NRC personnel
have access to the
information-sharing
mechanism for
required inspection
activities.
[[Page 62798]]
(o)(7) If a A new Sec.
licensee, 73.56(o)(7) would
applicant, or C/V ensure that the
administratively temporary
withdraws an administrative
individual's withdrawal of an
unescorted access individual's UAA,
authorization under caused by a delay
the requirements of in completing any
this section, the portion of the
licensee, background
applicant, or C/V investigation or re-
may not record the evaluation that is
administrative not under the
action to withdraw individual's
the individual's control, would not
unescorted access be treated as an
authorization as an unfavorable
unfavorable termination, except
termination and may if the reviewing
not disclose it in official determines
response to a that the delayed
suitable inquiry information
conducted under the requires denial or
provisions of part unfavorable
26 of this chapter, termination of the
a background individual's UAA.
investigation This proposed
conducted under the provision would be
provisions of this necessary to ensure
section, or any that individuals
other inquiry or are not unfairly
investigation. subject to any
Immediately upon adverse
favorable consequences for
completion of the the licensee's or
background other entity's
investigation delay in completing
element that caused the background
the administrative investigation or
withdrawal, the other requirements
licensee, of the proposed
applicant, or C/V section.
shall ensure that
any matter that
could link the
individual to the
temporary
administrative
action is
eliminated from the
subject
individual's access
authorization or
personnel record
and other records,
except if a review
of the information
obtained or
developed causes
the reviewing
official to
unfavorably
terminate the
individual's
unescorted access.
------------------------------------------------------------------------
Table 4.--Proposed Part 73 Section 73.58
[Safety/security interface]
------------------------------------------------------------------------
Proposed language Considerations
------------------------------------------------------------------------
Sec. 73.58 Safety/security interface Proposed Sec. 73.58 would be
requirements for nuclear power a new requirement in part 73.
reactors. The need for the proposed
rulemaking is based on: (i)
The Commission's comprehensive
review of its safeguards and
security programs and
requirements, (ii) the
variables in the current
threat environment, (iii) the
analyses made during the
development of the changes to
the Design Basis Threat, (iv)
the plant-specific security
analyses, and (v) the
increased complexity of
licensee security measures now
being required with an
attendant increase in the
potential for adverse
interactions between safety
and security. Additionally, it
is based on plant events that
demonstrated that changes made
to a facility, its security
plan, or implementation of the
plan can have adverse effects
if the changes are not
adequately assessed and
managed. The Commission has
determined that the proposed
safety/security rule
requirements are necessary for
reasonable assurance that the
public health and safety and
common defense and security
continue to be adequately
protected because the current
regulations do not
specifically require
evaluation of the effects of
plant changes on security or
the effects of security plan
changes on plant safety.
Further, the regulations do
not require communication
about the implementation and
timing of changes, which would
promote awareness of the
effects of changing
conditions, and result in
appropriate assessment and
response.
[[Page 62799]]
Each operating nuclear power reactor The introductory text would
licensee with a license issued under indicate this section would
part 50 or 52 of this chapter shall apply to power reactors
comply with the requirements of this licensed under 10 CFR parts 50
section. or 52. Paragraph (a)(1) of
(a)(1) The licensee shall assess and this section would require
manage the potential for adverse licensees to assess proposed
affects on safety and security, changes to plant
including the site emergency plan, configurations, facility
before implementing changes to plant conditions, or security to
configurations, facility conditions, identify potential adverse
or security.. effects on the capability of
the licensee to maintain
either safety or security
before implementing those
changes. The assessment would
be qualitative or
quantitative. If a potential
adverse effect would be
identified, the licensee shall
take appropriate measures to
manage the potential adverse
effect. Managing the potential
adverse effect would be
further described in paragraph
(b). The requirements of the
proposed Sec. 73.58 would be
additional requirements to
assess proposed changes and to
manage potential adverse
effects contained in other NRC
regulations, and would not be
intended to substitute for
them. The primary function of
this proposed rule would be to
explicitly require that
licensees consider the
potential for changes to cause
adverse interaction between
security and safety, and to
appropriately manage any
adverse results. Documentation
of assessments performed per
paragraph (a)(1) would not be
required so as not to delay
plant and security actions
unnecessarily.
(a)(2) The scope of changes to be Paragraph (a)(2) of this
assessed and managed must include section would identify that
planned and emergent activities (such changes identified by either
as, but not limited to, physical planned or emergent activities
modifications, procedural changes, must be assessed by the
changes to operator actions or licensee. Paragraph (a)(2) of
security assignments, maintenance this section would also
activities, system reconfiguration, provide a description of
access modification or restrictions, typical activities for which
and changes to the security plan and changes must be assessed and
its implementation). for which resultant adverse
interactions must be managed.
(b) Where potential adverse Paragraph (b) of this section
interactions are identified, the would require that, when
licensee shall communicate them to potential adverse interactions
appropriate licensee personnel and would be identified, licensees
take compensatory and/or mitigative shall communicate the
actions to maintain safety and potential adverse interactions
security under applicable Commission to appropriate licensee
regulations, requirements, and license personnel. The licensee shall
conditions. also take appropriate
compensatory and mitigative
actions to maintain safety and
security consistent with the
applicable NRC requirements.
The compensatory and/or
mitigative actions taken must
be consistent with existing
requirements for the affected
activity.
------------------------------------------------------------------------
Table 5.--Proposed Part 73 Section 73.71
[Reporting of safeguards events]
------------------------------------------------------------------------
Current language Proposed language Considerations
------------------------------------------------------------------------
(a) Each licensee This paragraph would
subject to the be added to provide
provisions of Sec. for the very rapid
73.55 shall notify communication to
the NRC Operations the Commission of
Center,\1\ as soon an imminent or
as possible but not actual threat to a
later than 15 power reactor
minutes after facility. The
discovery of an proposed 15-minute
imminent or actual requirement would
safeguards threat more accurately
against the reflect the current
facility and other threat environment.
safeguards events Because an actual
described in or imminent threat
paragraph I of could quickly
appendix G to this result in a
part \2\. security event, a
Footnote: 1. shorter reporting
Commercial (secure time would be
and non-secure) required. This
telephone number of shortened time
the NRC Operations would permit the
Center are NRC to contact
specified in Federal authorities
appendix A to this and other licensees
part.. in a rapid manner
Footnote: 2. to inform them of
Notifications to this event,
the NRC for the especially if this
declaration of an event is the
emergency class opening action on a
shall be performed coordinated
in accordance with multiple-target
Sec. 50.72 of attack. Such notice
this chapter.. may permit other
licensees to
escalate to a
higher protective
level in advance of
an attack. The
Commission would
expect licensees to
notify the NRC
Operations Center
as soon as possible
after they notify
local law
enforcement
agencies, but
within 15 minutes.
The Commission may
consider the
applicability of
this requirement to
other types of
licensees in future
rulemaking.
Footnote 1 would
provide a cross
reference to
appendix A to part
73 which contains
NRC contact
information.
Footnote 2 would
remind licensees of
their concurrent
emergency
declaration
responsibilities
under 10 CFR 50.72.
[[Page 62800]]
(a)(1) When making a The proposed rule
report under would include this
paragraph (a) of introductory
this section, the statement, which
licensees shall: provides a
structure for the
following list of
information to be
provided in the 15-
minute report.
(a)(1)(i) Identify This requirement
the facility name; would be added to
and ensure the
licensee's facility
is clearly
identified when a
report is made.
(a)(1)(ii) Briefly This requirement
describe the nature would be added to
of the threat or ensure the nature
event, including: and substance of
the event would be
clearly articulated
based on the best
information
available to the
licensee at the
time of the report.
The information
should be as
factual and as
succinct as
possible.
Additional
information
regarding the
identification of
events to be
reported and the
nature of the
information to be
provide will be
described in
guidance.
(a)(1)(ii)(A) Type This requirement
of threat or event would be added to
(e.g., armed provide for a
assault, vehicle minimum, succinct
bomb, credible bomb categorization of
threat, etc.); and the information
described in the
report. This would
allow the licensee
the opportunity to
provide a scope for
the information
included in the
report. The
information should
be as factual and
as succinct as
possible at the
time of the report.
Additional
information
regarding
identification of
events to be
reported will be
provided in
guidance.
(a)(1)(ii)(B) Threat This requirement
or event status would be added to
(i.e., imminent, in provide information
progress, or regarding the most
neutralized). current status of
the event or
information being
reported. The
information should
be as factual as
possible at the
time of the report.
(b)(2) This notification (a)(2) Notifications This paragraph would
must be made in accordance must be made be revised to
with the requirements of according to reflect the new
Paragraphs (a) (2), (3), paragraph (e) of location for the
(4), and (5) of this this section, as methods for these
section. applicable. notifications. The
requirements for
the methods all of
the verbal
notifications
[under this
section]
would be
consolidated under
paragraph (e).
(a)(1) Each licensee subject (b) Each licensee This requirement
to the provisions of Sec. subject to the would be renumbered
Sec. 73.25, 73.26, provisions of Sec. and retained with
73.27(c), 73.37, 73.67(e), Sec. 73.25, minor revision.
or 73.67(g) shall notify 73.26, 73.27(c), Footnote (1) would
the NRC Operations Center1 73.37, 73.67(e), or be relocated to new
within one hour after 73.67(g) shall paragraph (a) and
discovery of the loss of notify the NRC revised. The
any shipment of SNM or Operations Center acronym ``SNM''
spent fuel, and within one within one (1) hour would be spelled
hour after recovery of or after discovery of out as ``special
accounting for such lost the loss of any nuclear material.''
shipment. shipment of special The word
Footnote: 1. Commercial nuclear material ``nuclear'' would
telephone number of the NRC (SNM) or spent be added to ``spent
Operation Center is (301) nuclear fuel, and fuel'' to be
816-5100. within one (1) hour consistent with
after recovery of terminology used
or accounting for elsewhere in part
the lost shipment. 73. Reference to
Notifications must the methods of
be made according telephonic
to paragraph (e) of reporting would be
this section, as added to specify
applicable. paragraph (e) of
this section.
(b)(1) Each licensee subject (c) Each licensee This requirement
to the provisions of Sec. subject to the would be renumbered
Sec. 73.20, 73.37, 73.50, provisions of Sec. and retained with
73.51, 73.55, 73.60, or Sec. 73.20, minor revision. The
73.67 shall notify the NRC 73.37, 73.50, words ``1 hour of''
Operations Center within 1 73.51, 73.55, would be replaced
hour of discovery of the 73.60, or 73.67 by the words ``one
safeguards events described shall notify the (1) hour after'' to
in Paragraph I(a)(1) of NRC Operations clarify the time
appendix G to this part. Center within one frame established
(1) hour after by this
discovery of the requirement. The
safeguards events reference to
described in appendix G would be
paragraph II of revised as a
appendix G to this conforming change
part. Notifications to specify the
must be made events to be
according to reported. Reference
paragraph (e) of to the methods of
this section, as reporting would be
applicable. added to specify
paragraph (e) of
this section.
[[Page 62801]]
(d) Each licensee This paragraph would
subject to the be added to provide
provisions of Sec. a requirement for
73.55 shall notify power reactor
the NRC Operations licensees to notify
Center, as soon as the Commission of
possible but not suspicious
later than four (4) activities,
hours after attempts at access,
discovery of the etc., that may
safeguards events indicate pre-
described in operational
paragraph III of surveillance,
appendix G to this reconnaissance, or
part. Notifications intelligence
must be made gathering
according to activities targeted
paragraph (e) of against the
this section, as facility. This
applicable. would more
accurately reflect
the current threat
environment; would
assist the
Commission in
evaluating threats
to multiple
licensees; and
would assist the
intelligence and
homeland security
communities in
evaluating threats
across critical
infrastructure
sectors. The
reporting process
intended in this
proposed rule would
be similar
reporting process
that the licensees
currently use under
guidance issued by
the Commission
subsequent to
September 11, 2001,
and would formalize
Commission
expectations;
however, the
reporting interval
would be lengthened
from 1 hour to 4
hours.
The Commission views
this length of time
as reasonable to
accomplish these
broader objectives.
This reporting
requirement does
not include a
followup written
report. The
Commission believes
that a written
report from the
licensees would be
of minimal value
and would be an
unnecessary
regulatory burden,
because the types
of incidents to be
reported are
transitory in
nature and time-
sensitive. The
proposed text would
be neither a
request for
intelligence
collection
activities nor
authority for the
conduct of law
enforcement or
intelligence
activities. This
paragraph would
simply require the
reporting of
observed
activities. The
Commission may
consider the
applicability of
this requirement to
other types of
licensees in future
rulemaking.
(a)(2) This notification (e) The licensees This requirement
must be made to the NRC shall make the would be renumbered
Operations Center via the notifications and revised as a
Emergency Notification required by conforming change
System, if the licensee is paragraphs (a), to new paragraph
party to that system. (b), (c), and (d) (d). Other
of this section to revisions would
the NRC Operations include changing
Center via the the phrase ``This
Emergency notification must
Notification be made to'' would
System, or other be replaced by the
dedicated active-voice phrase
telephonic system ``The licensee
that may be shall make'' to
designated by the clarify that it
Commission, if the would be the
licensee has access licensee who takes
to that system. the notification
action. The phrase
``or other
dedicated
telephonic system
that may be
designated by the
Commission'' would
be added to allow
flexibility to
address advances in
communications
systems.
(a)(2) If the Emergency (e)(1) If the This requirement
Notification System is Emergency would be renumbered
inoperative or unavailable, Notification System and retained with
the licensee shall make the or other designated minor revision. The
required notification via telephonic system phrase ``within one
commercial telephonic is inoperative or hour'' would be
service or other dedicated unavailable, replaced with the
telephonic system or any licensees shall phrase ``within the
other methods that will make the required timeliness
ensure that a report is notification via requirements of
received by the NRC commercial paragraphs (a),
Operations Center within telephonic service (b), (c), and (d)
one hour. or any other of this section, as
methods that will applicable.'' This
ensure that a would provide
report is received consistency with
by the NRC the varying
Operations Center submission
within the intervals for
timeliness notifications under
requirements of paragraphs (a)
paragraphs (a), through (d).
(b), (c), and (d)
of this section, as
applicable.
(a)(2) The exemption of (e)(2) The exception This requirement
Section 73.21(g)(3) applies of Sec. would be renumbered
to all telephonic reports 73.21(g)(3) for and retained with
required by this section. emergency or minor revision to
extraordinary provide clarity
conditions applies [and consistency
to all telephonic with Sec. 73.21
reports required by safeguards
this section. information
regulations]
on
what types of
telephonic
notifications are
exempt from the
secure
communications
requirements of
Sec. 73.21.
[[Page 62802]]
(a)(3) The licensee shall, (e)(3) For events This requirement
upon request to the NRC, reported under would be retained
maintain an open and paragraph (a) of and revised into
continuous communication this section, the three separate
channel with the NRC licensee may be requirements. The
Operations Center. requested by the first sentence
NRC to maintain an would be reworded
open, continuous to reflect the
communication renumbered event
channel with the reports under this
NRC Operations section. For the 15-
Center, once the minute reports, the
licensee has paragraph would
completed other indicate that a
required licensee may be
notifications under requested to
this section, Sec. establish a
50.72 of this ``continuous
chapter, or communications
appendix E of part channel'' following
50 of this chapter the initial 15-
and any immediate minute
actions to notification. The
stabilize the establishment of a
plant. When continuous
established, the communications
continuous channel would not
communications supercede current
channel shall be emergency
staffed by a preparedness or
knowledgeable security
individual in the requirements to
licensee's security notify State
or operations officials or local
organizations law enforcement
(e.g., a security authorities, nor
supervisor, an would it supercede
alarm station requirements to
operator, take immediate
operations action to stabilize
personnel, etc.) the reactor plant
from a location (e.g.>, in response
deemed appropriate to a reactor scram
by the licensee. or to the loss of
offsite power).
The continuous A new requirement
communications would be added for
channel may be the person
established via the communicating to be
Emergency knowledgeable and
Notification System from the licensee's
or other dedicated security or
telephonic system operations
that may be organization. This
designated by the language would
Commission, if the provide licensees
licensee has access with flexibility in
to that system, or choosing personnel
a commercial to fulfill this
telephonic system. communications role
and in choosing the
location for this
communication
(e.g., control
room, security
alarm station,
technical support
center, etc.). This
language would also
provide licensees
direction and
flexibility on the
telephonic systems
that may be used
for this
communications
channel.
(a)(3) The licensee shall, (e)(4) For events This requirement
upon request to the NRC, reported under would be renumbered
maintain an open and paragraphs (b) or and retained with
continuous communication (c) of this minor revision to
channel with the NRC section, the support the
Operations Center. licensee shall renumbering of
maintain an open, existing paragraphs
continuous (a) and (b) to new
communication (b) and (c).
channel with the
NRC Operations
Center upon request
from the NRC.
(e)(5) For This would be a new
suspicious events requirement. For
reported under suspicious activity
paragraph (d) of reports, no
this section, the continuous
licensee is not communication
required to channel would be
maintain an open, required. The
continuous Commission's view
communication is that because
channel with the these reports are
NRC Operations intended for law
Center. enforcement, threat
assessment, and
intelligence
community purposes,
rather than event
followup purposes,
a continuous
communications
channel is not
necessary.
(c) Each licensee subject to (f) Each licensee This requirement
the provisions of Sec. subject to the would be renumbered
Sec. 73.20, 73.37, 73.50, provisions of Sec. and retained with
73.51, 73.55, 73.60, or Sec. 73.20, minor revision. The
each licensee possessing 73.37, 73.50, term ``safeguards
SSNM and subject to the 73.51, 73.55, event'' would be
provisions of Sec. 73.60, or each added between
73.67(d) shall maintain a licensee possessing ``current'' and
current log * * *. SSNM and subject to ``log'' to provide
the provisions of greater clarity and
Sec. 73.67(d) consistency with
shall maintain a appendix G.
current safeguards
event log.
(c) * * * and record the (f)(1) The licensee This requirement
safeguards events described shall record the would be renumbered
in Paragraphs II (a) and safeguards events and retained with
(b) of appendix G to this described in revision. This
part within 24 hours of paragraph IV of paragraph would
discovery by a licensee appendix G of this also be revised to
employee or member of the part within 24 reflect the
licensee's contract hours of discovery. renumbering of
security organization. appendix G. The
language on
discovery by a
licensee or
licensee contractor
would be removed to
reduce confusion.
The Commission
expects all logable
events to be
recorded,
irrespective of who
identifies the
security issue
(i.e., recordable
events discovered
by licensee staff,
contractors, NRC or
State inspectors,
or independent
auditors should be
logged).
(c) * * * The licensee shall (f)(2) The licensees This requirement
retain the log of events shall retain the would be renumbered
recorded under this section log of events and retained with
as a record for three years recorded under this minor revision by
after the last entry is section as a record adding ``(3)''
made in each log or until for three (3) years after ``three''
termination of the license. after the last [years].
entry is made in
each log or until
termination of the
license.
[[Page 62803]]
(a)(4) The initial (g) Written reports. This requirement
telephonic notification (1) Each licensee would be renumbered
must be followed within a making an initial and retained with
period of 60 days by a telephonic revision. The
written report submitted to notification under current text would
the NRC by an appropriate paragraphs (a), be retained
method listed in Sec. (b), and (c) of requiring a written
73.4. this section shall 60-day report be
also submit a submitted for 1-
written report to hour notifications
the NRC within a under paragraph (b)
period of 60 days and (c). A written
by an appropriate 60-day report would
method listed in also be required
Sec. 73.4. for 15-minute
notifications under
paragraph (a).
(g)(2) Licenses are This paragraph would
not required to be a new
submit a written requirement.
report following a Licensees would not
telephonic be required to
notification made submit a written
under paragraph (d) report for a
of this section. suspicious activity
notification made
under paragraph (d)
as no ``security
event'' has
occurred. Any
followup that might
be necessary would
be handled through
the Commission's
threat assessment
procedures.
(d) Each licensee shall (g)(3) Each licensee This requirement
submit to the Commission shall submit to the would be renumbered
the 60-day written reports Commission written and retained. The
required under the reports that are of timing requirement
provisions of this section a quality that will and the quality
that are of a quality that permit legible requirement would
will permit legible reproduction and be split into
reproduction and processing. paragraph (g)(1)
processing. * * *. and (g)(3),
respectively.
(d) * * * [I]f the facility (g)(4) Licensees These requirements
is subject to Sec. 50.73 subject to Sec. would be renumbered
of this chapter, the 50.73 of this and retained.
licensee shall prepare the chapter shall
written report on NRC Form prepare the written
366. If the facility is not report on NRC Form
subject to Sec. 50.73 of 366.
this chapter, the licensee (g)(5) Licensees not
shall not use this form but subject to Sec.
shall prepare the written 50.73 of this
report in letter format * * chapter, shall
*. prepare the written
report in letter
format.
(a)(4) In addition to the (g)(6) In addition This requirement
addressees specified in to the addressees would be renumbered
Sec. 73.4, the licensee specified in Sec. and retained with
shall also provide one copy 73.4, the licensees minor revision. The
of the written report shall also provide paragraph would be
addressed to the Director, one copy of the revised to change
Division of Nuclear written report and the organization
Security, Office of Nuclear any revisions within the NRC,
Security and Incident addressed to the that should receive
Response. Director, Office of an extra copy of
Nuclear Security the written, or any
and Incident revisions to the
Response. written report, in
addition to the
standard submission
addresses under
Sec. 73.4. The
phrase ``Director,
Division of Nuclear
Security'' would be
replaced with the
``Director, Office
of Nuclear Security
and Incident
Response.'' to
reflect changes
within the Office
of Nuclear Security
and Incident
Response and reduce
the need for future
changes to this
regulation with
realignment of the
NRC's internal
structure.
(a)(4) The report must (g)(7) The report This requirement
include sufficient must include would be retained
information for NRC sufficient and be renumbered.
analysis and evaluation. information for NRC
analysis and
evaluation.
(a)(5) Significant (g)(8) Significant This requirement
supplemental information supplemental would be renumbered
which becomes available information which and revised.
after the initial becomes available Language would be
telephonic notification to after the initial added to clarity
the NRC Operations Center telephonic the updating of
or after the submission of notification to the notifications made
the written report must be NRC Operations under paragraph (e)
telephonically reported to Center or after the and to require
the NRC Operations Center submission of the revised written
and also submitted in a written report must reports. Written
revised written report be telephonically initial and revised
(with the revisions reported to the NRC reports would be
indicated) to the Regional Operations Center submitted in
Office and the Document under paragraph (e) accordance with
Control Desk. of this section and paragraph (g)(6) of
also submitted in a this section.
revised written
report (with the
revisions
indicated) as
required under
paragraph (g)(6) of
this section.
(a)(5) Errors discovered in (g)(9) Errors This requirement
a written report must be discovered in a would be renumbered
corrected in a revised written report must and retained.
report with revisions be corrected in a
indicated. revised report with
revisions indicated.
(a)(5) The revised report (g)(10) The revised This requirement
must replace the previous report must replace would be renumbered
report; the update must be the previous and retained with
a complete entity and not report; the update minor grammatical
contain only supplementary must be complete changes.
or revised information. and not be limited
to only
supplementary or
revised information.
(a)(5) Each licensee shall (g)(11) Each This requirement
maintain a copy of the licensee shall would be renumbered
written report of an event maintain a copy of and retained with
submitted under this the written report minor revision by
section as record for a of an event adding ``(3)''
period of three years from submitted under after ``three''
the date of the report. this section as [years].
record for a period
of three (3) years
from the date of
the report.
(e) Duplicate reports are (h) Duplicate This requirement
not required for events reports are not would be retained
that are also reportable in required for events and be renumbered.
accordance with Sec. Sec. that are also
50.72 and 50.73 of this reportable in
chapter. accordance with
Sec. Sec. 50.72
and 50.73 of this
chapter.
------------------------------------------------------------------------
[[Page 62804]]
Table 6.--Proposed Part 73 Appendix B
[Nuclear Power Reactor Training and Qualification]
------------------------------------------------------------------------
Current language Proposed language Considerations
------------------------------------------------------------------------
Appendix B to Part 73....... Appendix B to Part This proposed
General Criteria for 73. Paragraph VI and
Security Personnel. VI. Nuclear Power header would be
Reactor Training added to the
and Qualification current appendix B
Plan. to replicate
current
requirements,
ensure continuity
between training
and qualification
programs and
requirements for
security personnel,
and provide for the
separation,
modification,
addition, and
clarification of
training and
qualification
requirements as
they apply
specifically to
operating nuclear
power reactors.
Introduction................ A. General The phrase ``General
Requirements and Requirements and''
Introduction. would be added to
this header for
formatting
purposes.
Appendix B, Introduction, A.1. The licensee This requirement
Paragraph 1: Security shall ensure that would retain the
personnel who are all individuals who requirement for
responsible for the are assigned duties security personnel
protection of special and to meet minimum
nuclear material on site or responsibilities criteria to ensure
in transit and for the required to prevent that they will
protection of the facility significant core effectively perform
or shipment vehicle against damage and spent their assigned
radiological sabotage fuel sabotage, security-related
should, like other elements implement the job duties. The
of the physical security Commission-approved phrase ``security
system, be required to meet security plans, personnel'' would
minimum criteria to ensure licensee response be replaced with
that they will effectively strategy, and the phrase ``all
perform their assigned implementing individuals'' to
security-related job duties. procedures, meet describe the
minimum training Commission
and qualification determination that
requirements to any individual who
ensure each is assigned to
individual perform a security
possesses the function must be
knowledge, skills, trained and
and abilities qualified to
required to effectively perform
effectively perform that security
the assigned duties function. The
and phrase ``on site or
responsibilities. in transit and for
the protection of
the facility or
shipment vehicle''
would be deleted to
remove language not
applicable to power
reactors. The
phrase ``against
radiological
sabotage'' would be
replaced with the
phrase ``required
to prevent core
damage and spent
fuel sabotage,''.
The phrase
``implementation of
the Commission-
approved security
plans, licensee
response strategy,
and implementing
procedures'' would
provide a detailed
list of
programmatic areas
for which the
licensee must
provide effective
training and
qualification to
satisfy the
performance
objective for
protection against
radiological
sabotage. The word
``should'' would be
deleted because
training and
qualification would
be required not
suggested.
The phrase ``like
other elements of
the physical
security system, be
required to meet
minimum criteria to
ensure that they
will effectively
perform their
assigned security-
related job
duties'' would be
replaced with the
phrase ``meet
minimum training
and qualification
requirements to
ensure each
individual
possesses the
knowledge, skills,
and abilities
required to
effectively perform
the assigned duties
and
responsibilities''
to describe the
Commission
determination that
minimum training
and qualification
requirements are
met to provide
assurance that
assigned
individuals possess
the knowledge,
skills, and
abilities that are
required to
effectively perform
the assigned
function.
Appendix B, Introduction: In A.2. To ensure that This requirement
order to ensure that those those individuals would retain the
individuals responsible for who are assigned to requirement for the
security are properly perform duties and licensee to ensure
equipped and qualified to responsibilities that all personnel
execute the job duties required for the assigned security
prescribed for them, the implementation of duties and
NRC has developed general the Commission- responsibilities
criteria that specify approved security are properly
security personnel plans, licensee trained and
qualification requirements. response strategy, qualified. The
and implementing word, ``suited''
procedures are would be added to
properly suited, reflect the
trained, equipped, suitability
and qualified to requirements of the
perform their current appendix B.
assigned duties and The word,
responsibilities, ``trained'' would
the Commission has be added to reflect
developed minimum the training
training and requirements of the
qualification current appendix B.
requirements that
must be implemented
through a
Commission-approved
training and
qualification plan.
[[Page 62805]]
The phrase
``responsible for
security'' would be
replaced with the
phrase ``who are
assigned to perform
duties and
responsibilities
required for the
implementation of
the Commission-
approved security
plans, licensee
response strategy,
and implementing
procedures'' to
identify the major
programmatic areas
from which security
duties are derived.
The phrase
``execute the job
duties prescribed
for them'' would be
replaced with the
phrase ``perform
their assigned
duties and
responsibilities''
to for consistency
with the updated
language used in
the proposed rule.
The acronym ``NRC''
would be replaced
with the word
``Commission'' to
remove the use of
this acronym. The
phrase ``general
criteria that
specify security
personnel
qualification
requirements''
would be replaced
with the phrase
``minimum training
and qualification
requirements'' for
consistency with
the use of the word
``minimum'' and the
phrase ``general
criteria that
specify''. The
phrase ``that shall
be implemented
through a
Commission-approved
training and
qualification
plan'' would be
added for
consistency with
the proposed 10 CFR
73.55.
Appendix B, Introduction: A.3. The licensee This requirement for
These general criteria shall establish, selection,
establish requirements for maintain, and training,
the selection, training, follow a Commission- equipping, testing,
equipping, testing, and approved training and qualification
qualification of and qualification would be retained
individuals who will be plan, describing and reformatted to
responsible for protecting how the minimum combine two current
special nuclear materials, training and requirements. An
nuclear facilities, and qualification expansion of the
nuclear shipments. requirements set plan requirements
Appendix B, Introduction: forth in this would describe the
When required to have appendix will be content of an
security personnel that met, to include the approved training
have been trained, processes by which and qualification
equipped, and qualified to all members of the plan that would
perform assigned security security demonstrate how the
job duties in accordance organization, will requirements in the
with the criteria in this be selected, appendix are met.
appendix, the licensee must trained, equipped,
establish, maintain, and tested, and
follow a plan that shows qualified.
how the criteria will be
met.
Appendix B, II.D: Each A.4. Each individual This requirement to
individual assigned to assigned to perform demonstrate
perform the security security program knowledge, skills
related task identified in duties and would be retained.
the licensee physical responsibilities The requirement to
security or contingency required to demonstrate
plan shall demonstrate the effectively knowledge, skills,
required knowledge, skill, implement the and abilities prior
and ability in accordance Commission-approved to assignment would
with the specified security plans, be added to ensure
standards for each task as licensee protective that each
stated in the NRC approved strategy, and the individual
licensee training and licensee demonstrates the
qualifications plan. implementing ability to apply
procedures, shall formal classroom
demonstrate the training to
knowledge, skills, assigned duties and
and abilities responsibilities.
required to
effectively perform
the assigned duties
and
responsibilities
before the
individual is
assigned the duty
or responsibility.
Appendix B, Paragraph I.C. * A.5. The licensee This requirement
* * shall consider job- shall ensure that would be based upon
related functions such as the training and the current
strenuous activity, qualification requirement of
physical exertion, levels program simulates, appendix B,
of stress, and exposure to as closely as Paragraph I.C., and
the elements as they practicable, the require that due to
pertain to each specific conditions changes in the
individual's assigned under which the threat environment
security job duties for individual shall be that personnel must
both normal and emergency required to perform be trained in a
operations. assigned duties and manner which
responsibilities. simulates the site
specific conditions
under which the
assigned duties and
responsibilities
are required to be
performed.
[[Page 62806]]
Appendix B, Introduction: A.6. The licensee This requirement
Security personnel who are may not allow any would be based upon
responsible for the individual to the current
protection of special perform any appendix B,
nuclear material on site or security function, Introduction. Due
in transit and for the assume any security to changes to the
protection of the facility duties or threat environment,
or shipment vehicle against responsibilities, this requirement
radiological sabotage or return to would identify the
should, like other elements security duty, applicability of
of the physical security until that appendix B training
system, be required to meet individual and qualification
minimum criteria to ensure satisfies the standards to all
that they will effectively training and security-related
perform their assigned qualification duties, whether
security-related job duties. requirements of they be performed
this appendix and by traditional
the Commission- security
approved training organization
and qualification personnel or other
plan, unless plant staff.
specifically Licensees would be
authorized by the required by the
Commission. proposed rule to
describe how non-
security personnel
would be trained to
perform the
specific functions
to which they are
assigned in
accordance with the
Commission-approved
training and
qualification plan,
and that non-
security personnel
would be required
to meet the
requirements of
this proposed
appendix that are
specifically
articulated and
necessary to
perform the
required, specific
duty or
responsibility
assigned.
Appendix B, Paragraph I.E. A.7. Annual This annual training
At least every 12 months, requirements must requirement would
central alarm station be scheduled at a be retained and
operators shall be required nominal twelve (12) revised for
to meet the physical month periodicity. consistency with
requirements of B.1.b of Annual requirements the proposed Sec.
this section, and guards, may be completed up 73.55. The intent
armed response personnel, to three (3) months would be to provide
and armed escorts shall be before or three (3) regulatory
required to meet the months after the stability and
physical requirements of scheduled date. consistency by
Paragraphs B.1.b(1) and However, the next requiring annual
(2), and C of this section. annual training training at a
must be scheduled nominal 12 month
twelve (12) months intervals, while
from the previously providing for those
scheduled date instances when a
rather than the licensee may not be
date the training able to conduct
was actually annual training on
completed. the scheduled date
due to site
specific conditions
or unforseen
circumstances. This
would provide
needed flexibility
in accomplishing
required training.
This requirement
would provide for
annual training to
be conducted up to
three (3) months
prior to, or three
(3) months after
the scheduled
initial date.
However, to insure
that the required
training period
would be not
repeatedly extended
beyond the required
12 months, this
requirement would
require that the
next subsequent
training date be 12
months from the
originally
scheduled date. The
intent would be to
provide licensees
with the necessary
flexibility to
resolve scheduling
issues due to
unexpected
circumstances such
as forced outages,
unforseen weather
conditions, and
ensure that
training would be
completed within
the minimum
required frequency.
I. Employment suitability B. Employment This header would be
and qualification. suitability and retained without
qualification. change.
Appendix B, Paragraph I.A. B.1. Suitability.... This header would be
Suitability: retained without
change.
Appendix B, Paragraph I.A.1. B.1.a. Before This requirement
Prior to employment, or employment, or would be retained
assignment to the security assignment to the with only minor
organization, an individual security grammatical
shall meet the following organization, an changes.
suitability criteria: individual shall:
Appendix B, Paragraph B.1.a.(1) Possess a This requirement to
I.A.1.a. Educational high school diploma possess a high
development--Possess a high or pass an school diploma or
school diploma or pass an equivalent pass an equivalent
equivalent performance performance performance
examination designed to examination examination would
measure basic job-related designed to measure be retained. The
mathematical, language, and basic mathematical, title ``Educational
reasoning skills, ability, language, and development'' would
and knowledge, required to reasoning skills, be deleted because
perform security job duties. abilities, and it would not be
knowledge required needed. The phrase
to perform security ``job-related''
duties and would be deleted
responsibilities; because it would be
addressed by the
phrase ``required
to perform''. The
word ``job'' would
be replaced with
the word
``responsibilities'
' to more
accurately reflect
the skills
required. The word
``ability'' would
be replaced with
the word
``abilities'' to
correct grammar.
[[Page 62807]]
Appendix B, Paragraph I.A.2. B.1.a.(2) Have This age requirement
Prior to employment or attained the age of for armed personnel
assignment to the security 21 for an armed would be retained.
organization in an armed capacity or the age The phrase ``or the
capacity, the individual, of 18 for an age of 18 for an
in addition to (a) and (b) unarmed capacity; unarmed capacity''
above, must be 21 years of and would be added to
age or older. specify a minimum
age since the
current NRC
approved training
and qualification
plans for all
licensees requires
unarmed members to
have attained the
age of 18 prior to
assignment.
Appendix B, Paragraph B.1.a.(3) An unarmed The phrase ``Have no
I.A.1.b. Felony individual assigned felony convictions
convictions--Have no felony to the security involving the use
convictions involving the organization may of a weapon'' would
use of a weapon and no not have any felony be deleted because
felony convictions that convictions that the proposed rule
reflect on the individual's reflect on the would address this
reliability. individual's requirement in 10
reliability. CFR 73.18 for an
armed member of the
security
organization. The
phrase ``An unarmed
individual assigned
to the security
organization may
not have any felony
convictions'' would
be added to retain
the current
requirement for
unarmed
individuals.
Appendix B, Paragraph II.C. B.1.b. The The ``attested to by
The qualifications of each qualification of a security
individual must be each individual to supervisor''
documented and attested by perform assigned requirement would
a licensee security duties and be retained. The
supervisor. responsibilities phrase ``to perform
must be documented assigned duties and
by a qualified responsibilities''
training instructor would be added to
and attested to by clarify the
a security performance
supervisor. standard for
documentation. The
phrase ``by a
qualified training
instructor'' would
be added to require
that the security
supervisor must
attest to the fact
that the required
training for each
individual was
administered by a
qualified
instructor and
documentation was
obtained and
properly completed.
The word
``licensee'' would
be deleted because
a contract security
supervisor may
attest to an
individual's
qualification.
These changes would
better describe the
requirement for
verification and
documentation of
training by a
supervisor.
Appendix B, Paragraph I.B. B.2. Physical This header would be
Physical and mental qualifications. retained and the
qualifications. two topics
separately
addressed. The word
``mental'' is
deleted because
psychological
qualifications are
set forth
separately.
Appendix B, Paragraph I.B.1. B.2.a. General This header would be
Physical qualifications: Physical retained. The word
Qualifications. ``General'' would
be added to
indicate that site
specific physical
qualifications
would be applicable
if not addressed
herein.
Appendix B, Paragraph B.2.a.(1) The requirement
I.B.1.a. Individuals whose Individuals whose would be retained.
security tasks and job duties and The phrase ``tasks
duties are directly responsibilities and job duties''
associated with the are directly would be replaced
effective implementation of associated with the with the phrase
the licensee physical effective ``duties and
security and contingency implementation of responsibilities''
plans shall have no the Commission- to reflect current
physical weaknesses or approved security language usage. The
abnormalities that would plans, licensee phrase ``licensee
adversely affect their protective physical security
performance of assigned strategy, and and contingency
security job duties. implementing plans'' would be
procedures, may not replaced with the
have any physical phrase ``Commission-
conditions that approved security
would adversely plans, licensee
affect their protective
performance. strategy, and
implementing
procedures'' to
specify the source
of the duties and
responsibilities.
The phrase ``of
assigned security
job duties'' would
be deleted because
it would be
addressed by the
phrase ``whose
duties and
responsibilities''
at the beginning of
this proposed
requirement. The
phrase ``weaknesses
or abnormalities''
would be replaced
with ``conditions''
to specify that all
physical attributes
affecting
performance should
be considered.
[[Page 62808]]
Appendix B, Paragraph B.2.a.(2) Armed and This physical
I.B.1.b. In addition to a. unarmed members of examination
above, guards, armed the security requirement would
response personnel, armed organization shall be retained.
escorts, and central alarm be subject to a Proposed revisions
station operators shall physical would combine two
successfully pass a examination current
physical examination designed to measure requirements,
administered by a licensed the individual's reflect current
physician. The examination physical ability to language usage, and
shall be designed to perform assigned describe the
measure the individual's duties and requirement for
physical ability to perform responsibilities as measuring the
assigned security job identified in the individual's
duties as identified in the Commission-approved physical ability to
licensee physical security security plans, assure they can
and contingency plans. licensee protective perform assigned
strategy, and duties.
implementing
procedures.
Appendix B, Paragraph B.2.a.(3) This This physical
I.B.1.b. In addition to a. physical examination
above, guards, armed examination must be requirement would
response personnel, armed administered by a be retained.
escorts, and central alarm licensed health Proposed revisions
station operators shall professional with would describe the
successfully pass a final determination minimum
physical examination being made by a qualifications of
administered by a licensed licensed physician the individual
physician. to verify the administering the
individual's physical
physical capability examination and
to perform assigned separate the
duties and professional
responsibilities. qualifications that
must be met by the
individual(s)
administering the
physical
examination and the
person making the
determination of
the individual's
physical capability
to perform assigned
duties.
Appendix B, Paragraph B.2.a.(4) The The physical
I.B.1.b. Armed personnel licensee shall requirements
shall meet the following ensure that both requirement would
additional physical armed and unarmed be retained.
requirements: members of the Proposed revisions
security due to changes to
organization who the threat
are assigned environment would
security duties and describe the
responsibilities minimum physical
identified in the requirements for
Commission-approved both armed and
security plans, the unarmed security
licensee protective personnel.
strategy, and Inclusion of
implementing unarmed personnel
procedures, meet would be necessary
the following to account for
minimum physical those instances
requirements, as where the two types
required to of security
effectively perform personnel share
their assigned similar duties and
duties. responsibilities
required to
implement the
approved plans and
procedures. The
requirement would
not apply to
administrative
security staff,
such as clerks or
secretaries, for
the performance of
their assigned
administrative
duties and
responsibilities.
However, should
such personnel, or
other non-security
personnel be
assigned to perform
security functions
required to
implement the
Commission-approved
security plans and
implementing
procedures, these
personnel must be
trained and
qualified to
perform these
duties and possess
appropriate vision,
hearing, and
physical
capabilities that
are required to
effectively perform
the assigned duties
or
responsibilities.
Appendix B, Paragraph B.2.b. Vision: This header would be
I.B.1.b.(1) Vision: retained.
Appendix B, Paragraph B.2.b.(1) For each This requirement
I.B.1.b.(1)(a) For each individual, distant would be retained.
individual, distant visual visual acuity in
acuity in each eye shall be each eye shall be
correctable to 20/30 correctable to 20/
(Snellen or equivalent) in 30 (Snellen or
the better eye and 20/40 in equivalent) in the
the other eye with better eye and 20/
eyeglasses or contact 40 in the other eye
lenses. with eyeglasses or
contact lenses.
Appendix B, Paragraph B.2.b.(2) Near This requirement
I.B.1.b.(1)(a) Near visual visual acuity, would be retained.
acuity, corrected or corrected or
uncorrected, shall be at uncorrected, shall
least 20/40 in the better be at least 20/40
eye. in the better eye.
Appendix B, Paragraph B.2.b.(3) Field of This requirement
I.B.1.b.(1)(a) Field of vision must be at would be retained.
vision must be at least 70 least 70 degrees
degrees horizontal meridian horizontal meridian
in each eye. in each eye.
Appendix B, Paragraph B.2.b.(4) The This requirement
I.B.1.b.(1)(a) The ability ability to would be retained.
to distinguish red, green, distinguish red,
and yellow colors is green, and yellow
required. colors is required.
Appendix B, Paragraph B.2.b.(5) Loss of This requirement
I.B.1.b.(1)(a) Loss of vision in one eye would be retained.
vision in one eye is is disqualifying.
disqualifying.
[[Page 62809]]
Appendix B, Paragraph B.2.b.(6) Glaucoma This requirement
I.B.1.b.(1)(a) Glaucoma is disqualifying, would be retained.
shall be disqualifying, unless controlled
unless controlled by by acceptable
acceptable medical or medical or surgical
surgical means, provided means, provided
such medications as may be that medications
used for controlling used for
glaucoma do not cause controlling
undesirable side effects glaucoma do not
which adversely affect the cause undesirable
individual's ability to side effects which
perform assigned security adversely affect
job duties, and provided the individual's
the visual acuity and field ability to perform
of vision requirements assigned security
stated above are met. job duties, and
provided the visual
acuity and field of
vision requirements
stated previously
are met.
Appendix B, Paragraph B.2.b.(7) On-the-job This requirement
I.B.1.b.(1)(a) On-the-job evaluation must be would be retained.
evaluation shall be used used for
for individuals who exhibit individuals who
a mild color vision defect. exhibit a mild
color vision defect.
Appendix B, Paragraph B.2.b.(8) If The vision
I.B.1.b.(1)(a) If uncorrected requirements in
uncorrected distance vision distance vision is Paragraphs
is not at least 20/40 in not at least 20/40 I.B.1.b.(1)(a) and
the better eye, the in the better eye, I.B.1.b.(1)(b)
individual shall carry an the individual would be retained
extra pair of corrective shall carry an and combined. The
lenses. extra pair of phrase ``in the
Appendix B, Paragraph corrective lenses event that the
I.B.1.b.(1)(b) Where in the event that primaries are
corrective eyeglasses are the primaries are damaged'' would be
required, they shall be of damaged. Corrective added to ensure
the safety glass type. eyeglasses must be that the individual
of the safety glass would continue to
type. meet minimum vision
requirements should
one pair be damaged
and not usable. The
phrase ``carry an
extra pair of
corrective lenses''
would include any
future
technological
advancements in
vision correction
and would include
glasses and/or
contact lenses, or
other materials by
any name whose
purpose would be to
correct an
individual's
vision.
Appendix B, Paragraph B.2.b.(9) The use of This requirement
I.B.1.b.(1)(c) The use of corrective would be retained.
corrective eyeglasses or eyeglasses or
contact lenses shall not contact lenses may
interfere with an not interfere with
individual's ability to an individual's
effectively perform ability to
assigned security job effectively perform
duties during normal or assigned duties and
emergency operations. responsibilities
during normal or
emergency
conditions.
Appendix B, Paragraph B.2.c. Hearing: This header would be
I.B.1.b.(2) Hearing: retained.
Appendix B, Paragraph B.2.c.(1) The requirement
I.B.b.(2)(a) Individuals Individuals may not concerning hearing
shall have no hearing loss have hearing loss loss would be
in the better ear greater in the better ear retained.
than 30 decibels average at greater than 30 Referenced
500 Hz, 1,000 Hz, and 2,000 decibels average at standards would be
Hz with no level greater 500 Hz, 1,000 Hz, deleted. The NRC
that 40 decibels at any one and 2,000 Hz with staff has
frequency (by ISO 389 no level greater determined that
``Standard Reference Zero that 40 decibels at reference to
for the Calibration of any one frequency. specific
Puritone Audiometer'' calibration
(1975) or ANSI S3.6-1969 R. standards would no
1973) ``Specifications for longer be necessary
Audiometers''). ISO 389 and and that it would
ANSI S3.6-1969 have been not be appropriate
approved for incorporation to require these
by reference by the standards by this
Director of the Federal proposed rule
Register. because such
standards may
become outdated and
obsolete, and
equipment may
change due to
technological
advancements, which
would require
future rule changes
to update the
referenced
documents. The
expectation would
be that a licensed
professional will
perform this
examination using
professionally
accepted standards
to include
calibration
standards for
equipment used.
Appendix B, Paragraph B.2.c.(2) A hearing This requirement
I.B.1.b.(2)(b) A hearing aid is acceptable would be retained.
aid is acceptable provided provided suitable
suitable testing procedures testing procedures
demonstrate auditory acuity demonstrate
equivalent to the above auditory acuity
stated requirement. equivalent to the
hearing requirement.
Appendix B, Paragraph B.2.c.(3) The use of This requirement
I.B.1.b.(2)(c) The use of a a hearing aid may would be retained.
hearing aid shall not not decrease the
decrease the effective effective
performance of the performance of the
individual's assigned individual's
security job duties during assigned security
normal or emergency job duties during
operations. normal or emergency
operations.
Appendix B, Paragraph B.2.d. Existing This requirement
I.B.1.b.(3) Diseases-- medical conditions. would be revised to
require that the
licensee consider
all existing
medical conditions
that would
adversely effect
performance and not
limit consideration
to only pre-
existing conditions
or ``diseases.''
[[Page 62810]]
Appendix B, Paragraph B.2.d.(1) The requirement
I.B.1.b.(3) * * * Individuals may not concerning medical
Individuals shall have no have an established history would be
established medical history medical history or retained. Proposed
or medical diagnosis of medical diagnosis revisions would
epilepsy or diabetes, or, of existing medical require that the
where such a condition conditions which licensee consider
exists * * *. could interfere any existing
with or prevent the medical conditions
individual from and not limit this
effectively consideration to
performing assigned only specified
duties and conditions. The
responsibilities. phrase ``epilepsy
or diabetes, or,
where such a
condition exists''
would be replaced
with the phrase
``existing medical
conditions which
could interfere
with or prevent the
individual from
effectively
performing assigned
duties and
responsibilities''
to state the
requirement that
the licensee must
consider all
medical conditions
that could
adversely affect
performance.
Appendix B, Paragraph B.2.d.(2) If a This requirement to
I.B.1.b.(3) * * * the medical condition provide medical
individual shall provide exists, the evidence that a
medical evidence that the individual shall condition can be
condition can be controlled provide medical controlled would be
with proper medication so evidence that the retained. The
that the individual will condition can be phrase ``proper
not lapse into a coma or controlled with medication'' is
unconscious state while medical treatment replaced with the
performing assigned in a manner which phrase ``medical
security job duties. does not adversely treatment'' to
affect the account for
individual's conditions that may
fitness-for-duty, be treated without
mental alertness, medication and
physical condition, future changes in
or capability to medicine. The
otherwise phrase ``so that
effectively perform the individual will
assigned duties and not lapse into a
responsibilities. coma or unconscious
state while'' would
be replaced with
the phrase ``in a
manner which does
not adversely
affect the
individual's
fitness-for-duty,
mental alertness,
physical condition,
or capability to
otherwise
effectively'' to
describe the
requirement that
the ability to
perform duties
would be the
criteria and not be
limited to the
current specific
conditions of coma
or unconscious
state. The phrase
``job duties''
would be replaced
with the phrase
``duties and
responsibilities''
to reflect plain
language
requirements.
Appendix B, Paragraph B.2.e. Addiction. This requirement
I.B.1.b.(4) Addiction-- Individuals may not regarding addiction
Individuals shall have no have any would be retained.
established medical history established medical The word
or medical diagnosis of history or medical ``effectively''
habitual alcoholism or drug diagnosis of would be added to
addiction, or, where such a habitual alcoholism describe the
condition has existed, the or drug addiction, requirement that
individual shall provide or, where this type the individual must
certified documentation of of condition has be able to carry
having completed a existed, the out tasks in a
rehabilitation program individual shall manner that would
which would give a provide certified provide the
reasonable degree of documentation of necessary results.
confidence that the having completed a The phrase ``job
individual would be capable rehabilitation duties'' would be
of performing assigned program which would replaced with the
security job duties. give a reasonable phrase ``duties and
degree of responsibilities''
confidence that the to satisfy plain
individual would be language
capable of requirements.
effectively
performing assigned
duties and
responsibilities.
Appendix B, Paragraph B.2.f. Other This requirement to
I.B.1.b.(5) Other physical physical provide medical
requirements--An individual requirements. An evidence of
who has been incapacitated individual who has recovery from an
due to a serious illness, been incapacitated incapacitation
injury, disease, or due to a serious would be retained.
operation, which could illness, injury, The phrase ``job
interfere with the disease, or duties'' would be
effective performance of operation, which replaced with the
assigned security job could interfere phrase ``duties and
duties shall, prior to with the effective responsibilities''
resumption of such duties, performance of for consistency
provide medical evidence of assigned duties and with other proposed
recovery and ability to responsibilities rule and plain
perform such security job shall, before language
duties. resumption of requirements.
assigned duties and
responsibilities,
provide medical
evidence of
recovery and
ability to perform
these duties and
responsibilities.
Appendix B, Paragraph I.B.2. B.3. Psychological This mental
Mental qualifications: qualifications: qualifications
requirement would
be retained. The
word ``mental''
would be replaced
by the word
``psychological''
to be consistent
with other proposed
changes and plain
language
requirements.
[[Page 62811]]
Appendix B, Paragraph B.3.a. Armed and This requirement to
I.B.2.a. Individuals whose unarmed members of demonstrate good
security tasks and job the security judgement, ability
duties are directly organization shall to implement
associated with the demonstrate the instructions/tasks,
effective implementation of ability to apply and to communicate
the licensee physical good judgment, would be retained.
security and contingency mental alertness, The phrase
plans shall demonstrate the capability to ``Individuals whose
mental alertness and the implement security tasks and
capability to exercise good instructions and job duties are
judgment, implement assigned tasks, and directly associated
instructions, assimilate possess the acuity with the effective
assigned security tasks, of senses and implementation of
and possess the acuity of ability of the licensee
senses and ability of expression physical security
expression sufficient to sufficient to and contingency
permit accurate permit accurate plans'' would be
communication by written, communication by replaced with the
spoken, audible, visible, written, spoken, phrase ``Armed and
or other signals required audible, visible, unarmed members of
by assigned job duties. or other signals the security
required by organization'' to
assigned duties and describe the
responsibilities. requirement that
these mental
requirements are
minimum standards
that must apply to
both armed and
unarmed security
personnel because
they share similar
duties and
responsibilities
for the physical
protection of the
site.
Appendix B, Paragraph B.3.b. A licensed The requirement
I.B.2.b. Armed individuals, clinical regarding emotional
and central alarm station psychologist, instability would
operators, in addition to psychiatrist, or be retained. The
meeting the requirement physician trained phrase ``Armed
stated in Paragraph a. in part to identify individuals, and
above, shall have no emotional central alarm
emotional instability that instability shall station operators''
would interfere with the determine whether would be replaced
effective performance of armed members of with the phrase
assigned security job the security ``armed members of
duties. The determination organization and the security
shall be made by a licensed alarm station organization and
psychologist or operators in alarm station
psychiatrist, or physician, addition to meeting operators'' to
or other person the requirement refer to both alarm
professionally trained to stated in Paragraph station operators,
identify emotional a. of this section, and for consistency
instability. have no emotional with the
instability that terminology used in
would interfere the proposed rule.
with the effective
performance of
assigned duties and
responsibilities.
Appendix B, Paragraph B.3.c. A person Section B.3.c. would
I.B.2.b. Armed individuals, professionally be added to
and central alarm station trained to identify describe that these
operators, in addition to emotional emotional
meeting the requirement instability shall instability
stated in Paragraph a. determine whether requirements are
above, shall have no unarmed members of minimum standards
emotional instability that the security that must apply to
would interfere with the organization in armed and unarmed
effective performance of addition to meeting security personnel
assigned security job the requirement because they share
duties. The determination stated in Paragraph similar duties and
shall be made by a licensed a. of this section, responsibilities
psychologist or have no emotional for the physical
psychiatrist, or physician, instability that protection of the
or other person would interfere site.
professionally trained to with the effective
identify emotional performance of
instability. assigned duties and
responsibilities.
Appendix B, Paragraph I.C. B.4. Medical This header would be
Medical examinations and examinations and retained.
physical fitness physical fitness
qualifications. qualifications.
Appendix B, Paragraph I.C. B.4.a. Armed members This medical
Guards, armed response of the security examination
personnel, armed escorts organization shall requirement would
and other armed security be subject to a be retained.
force members shall be medical examination Current
given a medical examination by a licensed requirements for an
including a determination physician, to examination and
and written certification determine the certification would
by a licensed physician individual's be reformatted to
that there are no medical fitness to separate the two
contraindications as participate in requirements in
disclosed by the medical physical fitness order to specify
examination to tests. the requirements
participation by the for medical
individual in physical examinations and
fitness tests. certifications.
Appendix B, Paragraph I.C. B.4.a. The licensee This requirement for
Guards, armed response shall obtain and written
personnel, armed escorts retain a written certification would
and other armed security certification from be retained.
force members shall be the licensed Current
given a medical examination physician that no requirements for an
including a determination medical conditions examination and
and written certification were disclosed by certification would
by a licensed physician the medical be reformatted to
that there are no medical examination that separate the two
contraindications as would preclude the requirements in
disclosed by the medical individual's order to specify
examination to ability to the requirements
participation by the participate in the for medical
individual in physical physical fitness examinations and
fitness tests. tests or meet the certifications. The
physical fitness licensee must
attributes or obtain and retain a
objectives written
associated with certification from
assigned duties. the licensed
physician who
performed the
examination, which
clearly states that
the individual has
no medical
condition that
would cause the
licensee to doubt
the individual's
ability to perform
the physical
requirements of the
fitness test and
therefore, could
not effectively
perform assigned
duties. The phrase
``associated with
assigned duties''
would be added to
require that the
test simulates the
conditions under
which the assigned
duties and
responsibilities
are required to be
performed.
[[Page 62812]]
Appendix B, Paragraph I.C. B.4.b. Before This medical
Subsequent to this medical assignment, armed examination and
examination, guards, armed members of the physical fitness
response personnel, armed security requirement would
escorts and other armed organization shall be retained. The
security force members demonstrate phrase ``guards,
shall demonstrate physical physical fitness armed response
fitness for assigned for assigned duties personnel, armed
security job duties by and escorts and other
performing a practical responsibilities by armed security
physical exercise program performing a force members''
within a specific time practical physical would be replaced
period. fitness test. with the phrase
``armed members of
the security
organization'' for
consistency with
terminology used in
the proposed rule.
The phrase
``security job
duties'' would be
replaced with the
phrase ``assigned
duties and
responsibilities''
for consistency
with terminology
used in the
proposed rule. The
phrase ``exercise
program'' would be
replaced with the
phrase ``practical
physical fitness
test'' for
consistency with
terminology used in
the proposed rule.
The term
``practical'' would
mean that the test
must be
representative of
the physical
requirements of
duties and
responsibilities
assigned to armed
members of the
security
organization. The
phrase ``specific
time period'' would
be deleted because
specific time
periods are
delineated in
Commission-approved
security plans.
Appendix B, Paragraph I.C. B.4.b.(1) The This requirement
The exercise program physical fitness related to physical
performance objectives test must consider conditions would be
shall be described in the physical conditions retained. The
license training and such as strenuous phrase ``and shall
qualifications plan and activity, physical consider job-
shall consider job-related exertion, levels of related functions
functions such as strenuous stress, and such as strenuous
activity, physical exposure to the activity, physical
exertion, levels of stress, elements as they exertion, levels of
and exposure to the pertain to each stress, and
elements as they pertain to individual's exposure to the
each individual's assigned assigned security elements as they
security job duties for job duties for both pertain to each
both normal and emergency normal and individual's
operations. emergency assigned security
operations and must job duties for both
simulate site normal and
specific conditions emergency
under which the operations'' is
individual will be replaced with the
required to perform phrase ``The
assigned duties and physical fitness
responsibilities. test must consider
physical conditions
such as strenuous
activity, physical
exertion, levels of
stress, and
exposure to the
elements as they
pertain to each
individual's
assigned security
job duties for both
normal and
emergency
operations'' for
consistency with
the terminology
used by the
proposed rule. The
phrase ``and shall
simulate site
specific conditions
under which the
individual will be
required to perform
assigned duties and
responsibilities''
would be added to
specify that site
specific conditions
such as facility
construction and
layout, weather,
terrain, elements,
should be simulated
to the extent
reasonably
practical.
Appendix B, Paragraph I.C. B.4.b.(2) The This approved plan
The exercise program licensee shall requirement would
performance objectives describe the be retained and
shall be described in the physical fitness separated to
license training and test in the address this
qualifications plan * * *. Commission-approved requirement
training and individually. The
qualification plan. phrase ``The
exercise program
performance
objectives shall be
described in the
license training
and qualifications
plan'' would be
replaced with the
phrase ``The
licensee shall
describe the
physical fitness
test in the
Commission-approved
training and
qualification
plan'' to reflect
plain language
requirements.
Appendix B, Paragraph I.C. * B.4.d.(3) The This requirement
* * shall consider job- physical fitness would be based on
related functions such as test must include the current
strenuous activity, physical attributes appendix B,
physical exertion, levels and performance Paragraph I.C. and
of stress, and exposure to objectives which would require that
the elements as they demonstrate the the licensee
pertain to each strength, include, as part of
individual's assigned endurance, and the physical
security job duties for agility, consistent fitness test,
both normal and emergency with assigned performance
operations. duties in the objectives that are
Commission-approved designed to
security plans, demonstrate the
licensee protective ability of each
strategy, and individual to meet
implementing the physical
procedures during attributes required
normal and of assigned duties
emergency and
conditions. responsibilities.
[[Continued on page 62813]]