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Power Reactor Security Requirements [[pp. 62863-62874]]
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 62863-62874]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26oc06-20]
[[pp. 62863-62874]]
Power Reactor Security Requirements
[[Continued from page 62862]]
[[Page 62863]]
this section have gathered about individuals who have previously
applied for unescorted access authorization and developed about
individuals during periods in which the individuals maintained
unescorted access authorization.
(3) Requirements applicable to all unescorted access authorization
categories. Before granting unescorted access authorization to
individuals in any category, including individuals whose unescorted
access authorization has been interrupted for a period of 30 or fewer
days, the licensee, applicant, or C/V shall ensure that--
(i) The individual's written consent to conduct a background
investigation, if necessary, has been obtained and the individual's
true identity has been verified, in accordance with paragraphs (d)(2)
and (d)(3) of this section, respectively;
(ii) A credit history evaluation or re-evaluation has been
completed in accordance with the requirements of paragraphs (d)(5) or
(i)(1)(v) of this section, as applicable;
(iii) The individual's character and reputation have been
ascertained, in accordance with paragraph (d)(6) of this section;
(iv) The individual's criminal history record has been obtained and
reviewed or updated, in accordance with paragraphs (d)(7) and (i)(1)(v)
of this section, as applicable;
(v) A psychological assessment or reassessment of the individual
has been completed in accordance with the requirements of paragraphs
(e) or (i)(1)(v) of this section, as applicable;
(vi) The individual has successfully completed the initial or
refresher, as applicable, behavioral observation training that is
required under paragraph (f) of this section; and
(vii) The individual has been informed, in writing, of his or her
arrest-reporting responsibilities under paragraph (g) of this section.
(4) Interruptions in unescorted access authorization. For
individuals who have previously held unescorted access authorization
under this section but whose unescorted access authorization has since
been terminated under favorable conditions, the licensee, applicant, or
C/V shall implement the requirements in this paragraph for initial
unescorted access authorization in paragraph (h)(5) of this section,
updated unescorted access authorization in paragraph (h)(6) of this
section, or reinstatement of unescorted access authorization in
paragraph (h)(7) of this section, based upon the total number of days
that the individual's unescorted access authorization has been
interrupted, to include the day after the individual's last period of
unescorted access authorization was terminated and the intervening days
until the day upon which the licensee, applicant, or C/V grants
unescorted access authorization to the individual. If potentially
disqualifying information is disclosed or discovered about an
individual, licensees, applicants, and C/V's 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.
(5) Initial unescorted access authorization. Before granting
unescorted access authorization to an individual who has never held
unescorted access authorization under this section or whose unescorted
access authorization has been interrupted for a period of 3 years or
more and whose last period of unescorted access authorization was
terminated under favorable conditions, the licensee, applicant, or C/V
shall ensure that an employment history evaluation has been completed
in accordance with paragraph (d)(4) of this section. The period of the
employment history that the individual shall disclose, and the
licensee, applicant, or C/V shall evaluate, must be the past 3 years or
since the individual's eighteenth birthday, whichever is shorter. For
the 1-year period immediately preceding the date upon which the
individual applies for unescorted access authorization, the licensee,
applicant, or C/V shall ensure that the employment history evaluation
is conducted with every employer, regardless of the length of
employment. For the remaining 2-year period, the licensee, applicant,
or C/V shall ensure that the employment history evaluation is conducted
with the employer by whom the individual claims to have been employed
the longest within each calendar month, if the individual claims
employment during the given calendar month.
(6) Updated unescorted access authorization. Before granting
unescorted access authorization to an individual whose unescorted
access authorization has been interrupted for more than 365 days but
fewer than 3 years and whose last period of unescorted access
authorization was terminated under favorable conditions, the licensee,
applicant, or C/V shall ensure that an employment history evaluation
has been completed in accordance with paragraph (d)(4) of this section.
The period of the employment history that the individual shall
disclose, and the licensee, applicant, or C/V shall evaluate, must be
the period since unescorted access authorization was last terminated,
up to and including the day the applicant applies for updated
unescorted access authorization. For the 1-year period immediately
preceding the date upon which the individual applies for updated
unescorted access authorization, the licensee, applicant, or C/V shall
ensure that the employment history evaluation is conducted with every
employer, regardless of the length of employment. For the remaining
period since unescorted access authorization was last terminated, the
licensee, applicant, or C/V shall ensure that the employment history
evaluation is conducted with the employer by whom the individual claims
to have been employed the longest within each calendar month, if the
individual claims employment during the given calendar month.
(7) Reinstatement of unescorted access authorization (31 to 365
days). In order to grant authorization to an individual whose
unescorted access authorization has been interrupted for a period of
more than 30 days but no more than 365 days and whose last period of
unescorted access authorization was terminated under favorable
conditions, the licensee, applicant, or C/V shall ensure that an
employment history evaluation has been completed in accordance with the
requirements of paragraph (d)(4) of this section within 5 business days
of reinstating unescorted access authorization. The period of the
employment history that the individual shall disclose, and the
licensee, applicant, or C/V shall evaluate, must be the period since
the individual's unescorted access authorization was terminated, up to
and including the day the applicant applies for reinstatement of
unescorted access authorization. The licensee, applicant, or C/V shall
ensure that the employment history evaluation has been conducted with
the employer by whom the individual claims to have been employed the
longest within the calendar month, if the individual claims employment
during a given calendar month. If the employment history evaluation is
not completed within 5 business days due to circumstances that are
outside of the licensee's, applicant's, or C/V's control and the
licensee, applicant, or C/V is not aware of any potentially
disqualifying information regarding the individual within the past 5
years, the licensee, applicant, or C/V may maintain the individual's
unescorted access authorization for an additional 5 business days. If
the employment history evaluation is not
[[Page 62864]]
completed within 10 business days of reinstating unescorted access
authorization, the licensee, applicant, or C/V shall administratively
withdraw the individual's unescorted access authorization until the
employment history evaluation is completed.
(8) Determination basis. The licensee's, applicant's, or C/V's
reviewing official shall determine whether to grant, deny, unfavorably
terminate, or maintain or amend an individual's unescorted access
authorization status, based on an evaluation of all pertinent
information that has been gathered about the individual as a result of
any application for unescorted access authorization or developed during
or following in any period during which the individual maintained
unescorted access authorization. The licensee's, applicant's, or C/V's
reviewing official may not determine whether to grant unescorted access
authorization to an individual or maintain an individual's unescorted
access authorization until all of the required information has been
provided to the reviewing official and he or she determines that the
accumulated information supports a positive finding of trustworthiness
and reliability.
(9) Unescorted access for NRC-certified personnel. The licensees
and applicants specified in paragraph (a) of this section shall grant
unescorted access to all individuals who have been certified by the NRC
as suitable for such access including, but not limited to, contractors
to the NRC and NRC employees.
(10) Access prohibited. Licensees and applicants may not permit an
individual, who is identified as having an access-denied status in the
information-sharing mechanism required under paragraph (o)(6) of this
section, or has an access authorization status other than favorably
terminated, to enter any nuclear power plant protected area or vital
area, under escort or otherwise, or take actions by electronic means
that could impact the licensee's operational safety, security, or
emergency response capabilities, under supervision or otherwise, except
if, upon evaluation, the reviewing official determines that such access
is warranted. Licensees and applicants shall develop reinstatement
review procedures for assessing individuals who have been in an access-
denied status.
(i) Maintaining access authorization. (1) Individuals may maintain
unescorted access authorization under the following conditions:
(i) The individual remains subject to a behavioral observation program
that complies with the requirements of paragraph (f) of this section;
(ii) The individual successfully completes behavioral observation
refresher training or testing on the nominal 12-month frequency
required in (f)(2)(ii) of this section;
(iii) The individual complies with the licensee's, applicant's, or
C/V's authorization program policies and procedures to which he or she
is subject, including the arrest-reporting responsibility specified in
paragraph (g) of this section;
(iv) The individual is subject to a supervisory interview at a
nominal 12-month frequency, conducted in accordance with the
requirements of the licensee's or applicant's Physical Security Plan;
and
(v) The licensee, applicant, or C/V determines that the individual
continues to be trustworthy and reliable. This determination must be
made as follows:
(A) The licensee, applicant, or C/V shall complete a criminal
history update, credit history re-evaluation, and psychological re-
assessment of the individual within 5 years of the date on which these
elements were last completed, or more frequently, based on job assignment;
(B) The reviewing official shall complete an evaluation of the
information obtained from the criminal history update, credit history
re-evaluation, psychological re-assessment, and the supervisory
interview required under paragraph (i)(1)(iv) of this section within 30
calendar days of initiating any one of these elements;
(C) The results of the criminal history update, credit history re-
evaluation, psychological re-assessment, and the supervisory interview
required under paragraph (i)(1)(iv) of this section must support a
positive determination of the individual's continued trustworthiness
and reliability; and
(D) If the criminal history update, credit history re-evaluation,
psychological re-assessment, and supervisory review have not been
completed and the information evaluated by the reviewing official
within 5 years of the initial completion of these elements or the most
recent update, re-evaluation, and re-assessment under this paragraph,
or within the time period specified in the licensee's or applicant's
Physical Security Plans, the licensee, applicant, or C/V shall
administratively withdraw the individual's unescorted access
authorization until these requirements have been met.
(2) If an individual who has unescorted access authorization is not
subject to an authorization program that meets the requirements of this
part for more than 30 continuous days, then the licensee, applicant, or
C/V shall terminate the individual's unescorted access authorization
and the individual shall meet the requirements in this section, as
applicable, to regain unescorted access authorization.
(j) Access to vital areas. Each licensee and applicant who is
subject to this section shall establish, implement, and maintain a list
of individuals who are authorized to have unescorted access to specific
nuclear power plant vital areas to assist in limiting access to those
vital areas during non-emergency conditions. The list must include only
those individuals who require access to those specific vital areas in
order to perform their duties and responsibilities. The list must be
approved by a cognizant licensee or applicant manager, or supervisor
who is responsible for directing the work activities of the individual
who is granted unescorted access to each vital area, and updated and
re-approved no less frequently than every 31 days.
(k) Trustworthiness and reliability of background screeners and
authorization program personnel. Licensees, applicants, and C/Vs shall
ensure that any individuals who collect, process, or have access to
personal information that is used to make unescorted access
authorization determinations under this section have been determined to
be trustworthy and reliable.
(1) Background screeners. Licensees, applicants, and C/Vs who rely
on individuals who are not directly under their control to collect and
process information that will be used by a reviewing official to make
unescorted access authorization determinations shall ensure that a
background check of such individuals has been completed and determines
that such individuals are trustworthy and reliable. At a minimum, the
following checks are required:
(i) Verification of the individual's identity;
(ii) A local criminal history review and evaluation from the State
of the individual's permanent residence;
(iii) A credit history review and evaluation;
(iv) An employment history review and evaluation for the past 3
years; and
(v) An evaluation of character and reputation.
(2) Authorization program personnel. Licensees, applicants, and C/
Vs shall ensure that any individual who evaluates personal information
for the
[[Page 62865]]
purpose of processing applications for unescorted access authorization
including, but not limited to a clinical psychologist or psychiatrist
who conducts psychological assessments under paragraph (e) of this
section; has access to the files, records, and personal information
associated with individuals who have applied for unescorted access
authorization; or is responsible for managing any databases that
contain such files, records, and personal information has been
determined to be trustworthy and reliable, as follows:
(i) The individual is subject to an authorization program that
meets requirements of this section; or
(ii) The licensee, applicant, or C/V determines that the individual
is trustworthy and reliable based upon an evaluation that meets the
requirements of paragraphs (d)(1) through (d)(5) and (e) of this
section and a local criminal history review and evaluation from the
State of the individual's permanent residence.
(l) Review procedures. Each licensee, applicant, and C/V who is
implementing an authorization program under this section shall include
a procedure for the review, at the request of the affected individual,
of a denial or unfavorable termination of unescorted access
authorization. The procedure must require that the individual is
informed of the grounds for the denial or unfavorable termination and
allow the individual an opportunity to provide additional relevant
information, and provide an opportunity for an objective review of the
information on which the denial or unfavorable termination of
unescorted access authorization was 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.
(m) Protection of information. Each licensee, applicant, or C/V who
is subject to this section who collects personal information about an
individual for the purpose of complying with this section, shall
establish and maintain a system of files and procedures to protect the
personal information.
(1) Licensees, applicants, and C/Vs shall obtain a signed consent
from the subject individual that authorizes the disclosure of the
personal information collected and maintained under this section before
disclosing the personal information, except for disclosures to the
following individuals:
(i) The subject individual or his or her representative, when the
individual has designated the representative in writing for specified
unescorted access authorization matters;
(ii) NRC representatives;
(iii) Appropriate law enforcement officials under court order;
(iv) A licensee's, applicant's, or C/V's representatives who have a
need to have access to the information in performing assigned duties,
including determinations of trustworthiness and reliability, and audits
of authorization programs;
(v) The presiding officer in a judicial or administrative
proceeding that is initiated by the subject individual;
(vi) Persons deciding matters under the review procedures in
paragraph (k) of this section; and
(vii) Other persons pursuant to court order.
(2) Personal information that is collected under this section must
be disclosed to other licensees, applicants, and C/Vs, or their
authorized representatives, who are seeking the information for
unescorted access authorization determinations under this section and
who have obtained a signed release from the subject individual.
(3) Upon receipt of a written request by the subject individual or
his or her designated representative, the licensee, applicant, or C/V
possessing such records shall promptly provide copies of all records
pertaining to a denial or unfavorable termination of the individual's
unescorted access authorization.
(4) A licensee's, applicant's, or C/V's contracts with any
individual or organization who collects and maintains personal
information that is relevant to an unescorted access authorization
determination must require that such records be held in confidence,
except as provided in paragraphs (m)(1) through (m)(3) of this section.
(5) Licensees, applicants, and C/Vs who collect and maintain
personal information under this section, and any individual or
organization who collects and maintains personal information on behalf
of a licensee, applicant, or C/V, shall establish, implement, and
maintain a system and procedures for the secure storage and handling of
the personal information collected.
(6) This paragraph does not authorize the licensee, applicant, or
C/V to withhold evidence of criminal conduct from law enforcement
officials.
(n) Audits and corrective action. Each licensee and applicant who
is subject to this section shall be responsible for the continuing
effectiveness of the authorization program, including authorization
program elements that are provided by C/Vs, and the authorization
programs of any C/Vs that are accepted by the licensee and applicant.
Each licensee, applicant, and C/V who is subject to this section shall
ensure that authorization programs and program elements are audited to
confirm compliance with the requirements of this section and that
comprehensive actions are taken to correct any non-conformance that is
identified.
(1) Each licensee, applicant, and C/V who is subject to this
section shall ensure that their entire authorization program is audited
as needed, but no less frequently than nominally every 24 months.
Licensees, applicants, and C/Vs are responsible for determining the
appropriate frequency, scope, and depth of additional auditing
activities within the nominal 24-month period based on the review of
program performance indicators, such as the frequency, nature, and
severity of discovered problems, personnel or procedural changes, and
previous audit findings.
(2) Authorization program services that are provided to a licensee,
or applicant, by C/V personnel who are off site or are not under the
direct daily supervision or observation of the licensee's or
applicant's personnel must be audited on a nominal 12-month frequency.
In addition, 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.
(3) Licensees' and applicants' contracts with C/Vs must reserve the
right to audit the C/V and the C/V's 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 program.
(4) Licensees' and applicants' contracts with C/Vs, and a C/V's
contracts with subcontractors, must also require that the licensee or
applicant shall be provided with, or permitted access to, copies of any
documents and take away any documents that may be needed to assure that
the C/V and its subcontractors are performing their functions properly
and that staff and procedures meet applicable requirements.
(5) Audits must focus on the effectiveness of the authorization
program or program element(s), as appropriate. At least one member of
the audit team shall be a person who is knowledgeable of and practiced
with meeting authorization program
[[Page 62866]]
performance objectives and requirements. The individuals performing the
audit of the authorization program or program element(s) shall be
independent from both the subject authorization program's management
and from personnel who are directly responsible for implementing the
authorization program(s) being audited.
(6) The result of the audits, along with any recommendations, must
be documented and reported to senior corporate and site management.
Each audit report must identify conditions that are adverse to the
proper performance of the authorization program, the cause of the
condition(s), and, when appropriate, recommended corrective actions,
and corrective actions taken. The licensee, applicant, or C/V shall
review the audit findings and take any additional corrective actions,
to include re-auditing of the deficient areas where indicated, to
preclude, within reason, repetition of the condition. The resolution of
the audit findings and corrective actions must be documented.
(7) Licensees and applicants may jointly conduct audits, or may
accept audits of C/Vs that were conducted by other licensees and
applicants who are subject to this section, if the audit addresses the
services obtained from the C/V by each of the sharing licensees and
applicants. C/Vs may jointly conduct audits, or may accept audits of
its subcontractors that were conducted by other licensees, applicants,
and C/Vs who are subject to this section, if the audit addresses the
services obtained from the subcontractor by each of the sharing
licensees, applicants, and C/Vs.
(i) Licensees, applicants, and C/Vs shall review audit records and
reports to identify any areas that were not covered by the shared or
accepted audit and ensure that authorization program elements and
services upon which the licensee, applicant, or C/V relies are audited,
if the program elements and services were not addressed in the shared
audit.
(ii) Sharing licensees and applicants need not re-audit the same C/
V for the same period of time. Sharing C/Vs need not re-audit the same
subcontractor for the same period of time.
(iii) Each sharing licensee, applicant, and C/V shall maintain a
copy of the shared audit, including findings, recommendations, and
corrective actions.
(o) Records. Each licensee, applicant, and C/V who is subject to
this section shall maintain the records that are required by the
regulations in this section for the period specified by the appropriate
regulation. If a retention period is not otherwise specified, these
records must be retained until the Commission terminates the facility's
license, certificate, or other regulatory approval.
(1) All records may be stored and archived electronically, provided
that the method used to create the electronic records meets the
following criteria:
(i) Provides an accurate representation of the original records;
(ii) Prevents unauthorized access to the records;
(iii) Prevents the alteration of any archived information and/or
data once it has been committed to storage; and
(iv) Permits easy retrieval and re-creation of the original records.
(2) Each licensee, applicant, and C/V who is subject to this
section shall retain the following records for at least 5 years after
the licensee, applicant, or C/V terminates or denies an individual's
unescorted access authorization or until the completion of all related
legal proceedings, whichever is later:
(i) Records of the information that must be collected under
paragraphs (d) and (e) of this section that results in the granting of
unescorted access authorization;
(ii) Records pertaining to denial or unfavorable termination of
unescorted access authorization and related management actions; and
(iii) Documentation of the granting and termination of unescorted
access authorization.
(3) Each licensee, applicant, and C/V who is subject to this
section shall retain the following records for at least 3 years or
until the completion of all related legal proceedings, whichever is later:
(i) Records of behavioral observation training conducted under
paragraph (f)(2) of this section; and
(ii) Records of audits, audit findings, and corrective actions
taken under paragraph (n) of this section.
(4) Licensees, applicants, and C/Vs shall retain written agreements
for the provision of services under this section for the life of the
agreement or until completion of all legal proceedings related to a
denial or unfavorable termination of unescorted access authorization
that involved those services, whichever is later.
(5) Licensees, applicants, and C/Vs shall retain records of the
background checks, and psychological assessments of authorization
program personnel, conducted under paragraphs (d) and (e) of this
section, for the length of the individual's employment by or
contractual relationship with the licensee, applicant, or C/V, or until
the completion of any legal proceedings relating to the actions of such
authorization program personnel, whichever is later.
(6) Licensees, applicants, and C/Vs shall ensure that the
information about individuals who have applied for unescorted access
authorization, which is specified in the licensee's or applicant's
Physical Security Plan, is recorded and retained in an information-
sharing mechanism that is established and administered by the
licensees, applicants, and C/Vs who are subject to his section.
Licensees, applicants, and C/Vs shall ensure that only correct and
complete information is included in the information-sharing mechanism.
If, for any reason, the shared information used for determining an
individual's trustworthiness and reliability changes or new information
is developed about the individual, licensees, applicants, and C/Vs
shall correct or augment the shared information contained in the
information-sharing mechanism. If the changed or developed information
has implications for adversely affecting an individual's
trustworthiness and reliability, the licensee, applicant, or C/V who
has discovered the incorrect information, or develops new information,
shall inform the reviewing official of any authorization program under
which the individual is maintaining unescorted access authorization of
the updated information on the day of discovery. The reviewing official
shall evaluate the information and take appropriate actions, which may
include denial or unfavorable termination of the individual's
unescorted access authorization. If, for any reason, the information-
sharing mechanism is unavailable and a notification of changes or
updated information is required, licensees, applicants, and C/Vs shall
take manual actions to ensure that the information is shared, and
update the records in the information-sharing mechanism as soon as
reasonably possible. Records maintained in the database must be
available for NRC review.
(7) If a licensee, applicant, or C/V administratively withdraws an
individual's unescorted access authorization under the requirements of
this section, the licensee, applicant, or C/V may not record the
administrative action to withdraw the individual's unescorted access
authorization as an unfavorable termination and may not disclose it in
response to a suitable inquiry conducted under the provisions of part
26 of this chapter, a background investigation conducted under the
[[Page 62867]]
provisions of this section, or any other inquiry or investigation.
Immediately upon favorable completion of the background investigation
element that caused the administrative withdrawal, the licensee,
applicant, or C/V 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.
14. Section 73.58 is added to read as follows:
Sec. 73.58 Safety/security interface requirements for nuclear power
reactors.
Each operating nuclear power reactor licensee with a license issued
under part 50 or 52 of this chapter shall comply with the requirements
of this section.
(a)(1) The licensee shall assess and manage the potential for
adverse affects on safety and security, including the site emergency
plan, before implementing changes to plant configurations, facility
conditions, or security.
(2) The scope of changes to be assessed and managed must include
planned and emergent activities (such as, but not limited to, physical
modifications, procedural changes, changes to operator actions or
security assignments, maintenance activities, system reconfiguration,
access modification or restrictions, and changes to the security plan
and its implementation).
(b) Where potential adverse interactions are identified, the
licensee shall communicate them to appropriate licensee personnel and
take compensatory and/or mitigative actions to maintain safety and
security under applicable Commission regulations, requirements, and
license conditions.
15. In Sec. 73.70, paragraph (c) is revised to read as follows:
Sec. 73.70 Records.
* * * * *
(c) A register of visitors, vendors, and other individuals not
employed by the licensee under Sec. Sec. 73.46(d)(13),
73.55(g)(7)(ii), or 73.60. The licensee shall retain this register as a
record, available for inspection, for three (3) years after the last
entry is made in the register.
* * * * *
16. Section 73.71 is revised to read as follows:
Sec. 73.71 Reporting of safeguards events.
(a) Each licensee subject to the provisions of Sec. 73.55 shall
notify the NRC Operations Center,\3\ as soon as possible but not later
than 15 minutes after discovery of an imminent or actual safeguards
threat against the facility and other safeguards events described in
paragraph I of appendix G to this part.\4\
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\3\ Commercial (secure and non-secure) telephone numbers of the
NRC Operations Center are specified in appendix A of this part.
\4\ Notifications to the NRC for the declaration of an emergency
class shall be performed in accordance with Sec. 50.72 of this chapter.
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(1) When making a report under paragraph (a) of this section, the
licensee shall:
(i) Identify the facility name; and
(ii) Briefly describe the nature of the threat or event, including:
(A) Type of threat or event (e.g., armed assault, vehicle bomb,
credible bomb threat, etc.); and
(B) Threat or event status (i.e., imminent, in progress, or
neutralized).
(2) Notifications must be made according to paragraph (e) of this
section, as applicable.
(b) Each licensee subject to the provisions of Sec. Sec. 73.25,
73.26, 73.27(c), 73.37, 73.67(e), or 73.67(g) shall notify the NRC
Operations Center within one hour after discovery of the loss of any
shipment of special nuclear material (SNM) or spent nuclear fuel, and
within one hour after recovery of or accounting for the lost shipment.
Notifications must be made according to paragraph (e) of this section,
as applicable.
(c) Each licensee subject to the provisions of Sec. Sec. 73.20,
73.37, 73.50, 73.51, 73.55, 73.60, or 73.67 shall notify the NRC
Operations Center within one hour after discovery of the safeguards
events described in paragraph II of appendix G to this part.
Notifications must be made according to paragraph (e) of this section,
as applicable.
(d) Each licensee subject to the provisions of Sec. 73.55 shall
notify the NRC Operations Center, as soon as possible but not later
than four (4) hours after discovery of the safeguards events described
in paragraph III of appendix G to this part. Notifications must be made
according to paragraph (e) of this section, as applicable.
(e) The licensee shall make the telephonic notifications required
by paragraphs (a), (b), (c) and (d) of this section to the NRC
Operations Center via the Emergency Notification System, or other
dedicated telephonic system that may be designated by the Commission,
if the licensee has access to that system.
(1) If the Emergency Notification System or other designated
telephonic system is inoperative or unavailable, licensees shall make
the required notification via commercial telephonic service or any
other methods that will ensure that a report is received by the NRC
Operations Center within the timeliness requirements of paragraphs (a),
(b), (c), and (d) of this section, as applicable.
(2) The exception of Sec. 73.21(g)(3) for emergency or extraordinary
conditions applies to all telephonic reports required by this section.
(3) For events reported under paragraph (a) of this section, the
licensee may be requested by the NRC to maintain an open, continuous
communication channel with the NRC Operations Center, once the licensee
has completed other required notifications under this section, Sec.
50.72 of this chapter, or appendix E of part 50 of this chapter and any
immediate actions to stabilize the plant. When established, the
continuous communications channel shall be staffed by a knowledgeable
individual in the licensee's security or operations organizations
(e.g., a security supervisor, an alarm station operator, operations
personnel, etc.) from a location deemed appropriate by the licensee.
The continuous communications channel may be established via the
Emergency Notification System or dedicated telephonic system that may
be designated by the Commission, if the licensee has access to these
systems, or a commercial telephonic system.
(4) For events reported under paragraphs (b) or (c) of this
section, the licensee shall maintain an open, continuous communication
channel with the NRC Operations Center upon request from the NRC.
(5) For events reported under paragraph (d) of this section, the
licensee is not required to maintain an open, continuous communication
channel with the NRC Operations Center.
(f) Each licensee subject to the provisions of Sec. Sec. 73.20,
73.37, 73.50, 73.51, 73.55, 73.60, or each licensee possessing SSNM and
subject to the provisions of Sec. 73.67(d) shall maintain a current
safeguards event log.
(1) The licensee shall record the safeguards events described in
paragraph IV of appendix G of this part within 24 hours of discovery.
(2) The licensee shall retain the log of events recorded under this
section as a record for three (3) years after the last entry is made in
each log or until termination of the license.
(g) Written reports. (1) Each licensee making an initial telephonic
notification
[[Page 62868]]
under paragraphs (a), (b), and (c) of this section shall also submit a
written report to the NRC within a 60 day period by an appropriate
method listed in Sec. 73.4.
(2) Licenses are not required to submit a written report following
a telephonic notification made under paragraph (d) of this section.
(3) Each licensee shall submit to the Commission written reports
that are of a quality that will permit legible reproduction and processing.
(4) Licensees subject to Sec. 50.73 of this chapter shall prepare
the written report on NRC Form 366.
(5) Licensees not subject to Sec. 50.73 of this chapter shall
prepare the written report in letter format.
(6) In addition to the addressees specified in Sec. 73.4, the
licensee shall also provide one copy of the written report addressed to
the Director, Office of Nuclear Security and Incident Response.
(7) The report must include sufficient information for NRC analysis
and evaluation.
(8) Significant supplemental information which becomes available
after the initial telephonic notification to the NRC Operations Center
or after the submission of the written report must be telephonically
reported to the NRC Operations Center under paragraph (e) of this
section and also submitted in a revised written report (with the
revisions indicated) as required under paragraph (g)(6) of this section.
(9) Errors discovered in a written report must be corrected in a
revised report with revisions indicated.
(10) The revised report must replace the previous report; the
update must be complete and not be limited to only supplementary or
revised information.
(11) Each licensee shall maintain a copy of the written report of
an event submitted under this section as a record for a period of three
(3) years from the date of the report.
(h) Duplicate reports are not required for events that are also
reportable in accordance with Sec. Sec. 50.72 and 50.73 of this chapter.
17. In appendix B to part 73, a new section VI is added to the
table of contents, the introduction text is revised by adding a new
paragraph between the first and second undesignated paragraphs, and
section VI is added to read as follows:
Appendix B to Part 73--General Criteria for Security Personnel
Table of Contents
* * * * *
VI. Nuclear Power Reactor Training and Qualification Plan
A. General Requirements and Introduction
B. Employment Suitability and Qualification
C. Duty Training
D. Duty Qualification and Requalification
E. Weapons Training
F. Weapons Qualification and Requalification Program
G. Weapons, Personnel Equipment, and Maintenance
H. Records
I. Audits and Reviews
J. Definitions
Introduction
* * * * *
Applicants and power reactor licensees subject to the
requirements of Sec. 73.55 shall comply only with the requirements
in section VI of this appendix. All other licensees, applicants, or
certificate holders shall comply only with Sections I through V of
this appendix .
* * * * *
VI. Nuclear Power Reactor Training and Qualification Plan
A. General Requirements and Introduction
1. The licensee shall ensure that all individuals who are
assigned duties and responsibilities required to prevent significant
core damage and spent fuel sabotage, implement the Commission-
approved security plans, licensee response strategy, and
implementing procedures, 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.
2. To ensure that those individuals who are assigned to perform
duties and responsibilities required for the implementation of the
Commission-approved security plans, licensee response strategy, and
implementing procedures are properly suited, trained, equipped, and
qualified to perform their assigned duties and responsibilities, the
Commission has developed minimum training and qualification
requirements that must be implemented through a Commission-approved
training and qualification plan.
3. The licensee shall establish, maintain, and follow a
Commission-approved training and qualification plan, describing how
the minimum training and qualification requirements set forth in
this appendix will be met, to include the processes by which all
members of the security organization, will be selected, trained,
equipped, tested, and qualified.
4. Each individual assigned to perform security program duties
and responsibilities required to effectively implement the
Commission-approved security plans, licensee protective strategy,
and the licensee implementing procedures, shall demonstrate the
knowledge, skills, and abilities required to effectively perform the
assigned duties and responsibilities before the individual is
assigned the duty or responsibility.
5. The licensee shall ensure that the training and qualification
program simulates, as closely as practicable, the specific
conditions under which the individual shall be required to perform
assigned duties and responsibilities.
6. The licensee may not allow any individual to perform any
security function, assume any security duties or responsibilities,
or return to security duty, until that individual satisfies the
training and qualification requirements of this appendix and the
Commission-approved training and qualification plan, unless
specifically authorized by the Commission.
7. Annual requirements must be scheduled at a nominal twelve
(12) month periodicity. Annual requirements may be completed up to
three (3) months before or three (3) months after the scheduled
date. However, the next annual training must be scheduled twelve
(12) months from the previously scheduled date rather than the date
the training was actually completed.
B. Employment Suitability and Qualification
1. Suitability.
a. Before employment, or assignment to the security
organization, an individual shall:
(1) Possess a high school diploma or pass an equivalent
performance examination designed to measure basic mathematical,
language, and reasoning skills, abilities, and knowledge required to
perform security duties and responsibilities;
(2) Have attained the age of 21 for an armed capacity or the age
of 18 for an unarmed capacity; and
(3) An unarmed individual assigned to the security organization
may not have any felony convictions that reflect on the individual's
reliability.
b. The qualification of each individual to perform assigned
duties and responsibilities must be documented by a qualified
training instructor and attested to by a security supervisor.
2. Physical qualifications.
a. General physical qualifications.
(1) Individuals whose duties and responsibilities are directly
associated with the effective implementation of the Commission-
approved security plans, licensee protective strategy, and
implementing procedures, may not have any physical conditions that
would adversely affect their performance.
(2) Armed and unarmed members of the security organization shall
be subject to a physical examination designed to measure the
individual's physical ability to perform assigned duties and
responsibilities as identified in the Commission-approved security
plans, licensee protective strategy, and implementing procedures.
(3) This physical examination must be administered by a licensed
health professional with final determination being made by a
licensed physician to verify the individual's physical capability to
perform assigned duties and responsibilities.
(4) The licensee shall ensure that both armed and unarmed
members of the security organization who are assigned security
duties and responsibilities identified in the Commission-approved
security plans, the licensee protective strategy, and implementing
procedures, meet the following minimum physical requirements, as
required to effectively perform their assigned duties.
[[Page 62869]]
b. Vision.
(1) For each individual, distant visual acuity in each eye shall
be correctable to 20/30 (Snellen or equivalent) in the better eye
and 20/40 in the other eye with eyeglasses or contact lenses.
(2) Near visual acuity, corrected or uncorrected, shall be at
least 20/40 in the better eye.
(3) Field of vision must be at least 70 degrees horizontal
meridian in each eye.
(4) The ability to distinguish red, green, and yellow colors is
required.
(5) Loss of vision in one eye is disqualifying.
(6) Glaucoma is disqualifying, unless controlled by acceptable
medical or surgical means, provided that medications used for
controlling glaucoma do not cause undesirable side effects which
adversely affect the individual's ability to perform assigned
security job duties, and provided the visual acuity and field of
vision requirements stated previously are met.
(7) On-the-job evaluation must be used for individuals who
exhibit a mild color vision defect.
(8) If uncorrected distance vision is not at least 20/40 in the
better eye, the individual shall carry an extra pair of corrective
lenses in the event that the primaries are damaged. Corrective
eyeglasses must be of the safety glass type.
(9) The use of corrective eyeglasses or contact lenses may not
interfere with an individual's ability to effectively perform
assigned duties and responsibilities during normal or emergency conditions.
c. Hearing.
(1) Individuals may not have hearing loss in the better ear
greater than 30 decibels average at 500 Hz, 1,000 Hz, and 2,000 Hz
with no level greater that 40 decibels at any one frequency.
(2) A hearing aid is acceptable provided suitable testing procedures
demonstrate auditory acuity equivalent to the hearing requirement.
(3) The use of a hearing aid may not decrease the effective
performance of the individual's assigned security job duties during
normal or emergency operations.
d. Existing medical conditions.
(1) Individuals may not have an established medical history or
medical diagnosis of existing medical conditions which could
interfere with or prevent the individual from effectively performing
assigned duties and responsibilities.
(2) If a medical condition exists, the individual shall provide
medical evidence that the condition can be controlled with medical
treatment in a manner which does not adversely affect the
individual's fitness-for-duty, mental alertness, physical condition,
or capability to otherwise effectively perform assigned duties and
responsibilities.
e. Addiction. Individuals may not have any established medical
history or medical diagnosis of habitual alcoholism or drug
addiction, or, where this type of condition has existed, the
individual shall provide certified documentation of having completed
a rehabilitation program which would give a reasonable degree of
confidence that the individual would be capable of effectively
performing assigned duties and responsibilities.
f. Other physical requirements. An individual who has been
incapacitated due to a serious illness, injury, disease, or
operation, which could interfere with the effective performance of
assigned duties and responsibilities shall, before resumption of
assigned duties and responsibilities, provide medical evidence of
recovery and ability to perform these duties and responsibilities.
3. Psychological qualifications.
a. Armed and unarmed members of the security organization shall
demonstrate the ability to apply good judgment, mental alertness,
the capability to implement instructions and assigned tasks, and
possess the acuity of senses and ability of expression sufficient to
permit accurate communication by written, spoken, audible, visible,
or other signals required by assigned duties and responsibilities.
b. A licensed clinical psychologist, psychiatrist, or physician
trained in part to identify emotional instability shall determine
whether armed members of the security organization and alarm station
operators in addition to meeting the requirement stated in paragraph
a. of this section, have no emotional instability that would interfere
with the effective performance of assigned duties and responsibilities.
c. A person professionally trained to identify emotional
instability shall determine whether unarmed members of the security
organization in addition to meeting the requirement stated in
paragraph a. of this section, have no emotional instability that
would interfere with the effective performance of assigned duties
and responsibilities.
4. Medical examinations and physical fitness qualifications.
a. Armed members of the security organization shall be subject
to a medical examination by a licensed physician, to determine the
individual's fitness to participate in physical fitness tests. The
licensee shall obtain and retain a written certification from the
licensed physician that no medical conditions were disclosed by the
medical examination that would preclude the individual's ability to
participate in the physical fitness tests or meet the physical
fitness attributes or objectives associated with assigned duties.
b. Before assignment, armed members of the security organization
shall demonstrate physical fitness for assigned duties and
responsibilities by performing a practical physical fitness test.
(1) The physical fitness 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 and
must simulate site specific conditions under which the individual will
be required to perform assigned duties and responsibilities.
(2) The licensee shall describe the physical fitness test in the
Commission-approved training and qualification plan.
(3) The physical fitness test must include physical attributes
and performance objectives which demonstrate the strength,
endurance, and agility, consistent with assigned duties in the
Commission-approved security plans, licensee protective strategy,
and implementing procedures during normal and emergency conditions.
(4) The physical fitness qualification of each armed member of
the security organization must be documented by a qualified training
instructor and attested to by a security supervisor.
5. Physical requalification.
a. At least annually, armed and unarmed members of the security
organization shall be required to demonstrate the capability to meet
the physical requirements of this appendix and the licensee training
and qualification plan.
b. The physical requalification of each armed and unarmed member
of the security organization must be documented by a qualified
training instructor and attested to by a security supervisor.
C. Duty Training
1. Duty training and qualification requirements. All personnel
who are assigned to perform any security-related duty or
responsibility, shall be trained and qualified to perform assigned
duties and responsibilities to ensure that each individual possesses
the minimum knowledge, skills, and abilities required to effectively
carry out those assigned duties and responsibilities.
a. The areas of knowledge, skills, and abilities that are
required to perform assigned duties and responsibilities must be
identified in the licensee's Commission-approved training and
qualification plan.
b. Each individual who is assigned duties and responsibilities
identified in the Commission-approved security plans, licensee
protective strategy, and implementing procedures shall, before assignment:
(1) Be trained to perform assigned duties and responsibilities
in accordance with the requirements of this appendix and the
Commission-approved training and qualification plan.
(2) meet the minimum qualification requirements of this appendix
and the Commission-approved training and qualification plan.
(3) be trained and qualified in the use of all equipment or devices
required to effectively perform all assigned duties and responsibilities.
2. On-the-job training.
a. The licensee training and qualification program must include
on-the-job training performance standards and criteria to ensure
that each individual demonstrates the requisite knowledge, skills,
and abilities needed to effectively carry-out assigned duties and
responsibilities in accordance with the Commission-approved security
plans, licensee protective strategy, and implementing procedures,
before the individual is assigned the duty or responsibility.
b. In addition to meeting the requirement stated in paragraph
C.2.a., before assignment, individuals assigned duties and
responsibilities to implement the Safeguards
[[Page 62870]]
Contingency Plan shall complete a minimum of 40 hours of on-the-job
training to demonstrate their ability to effectively apply the
knowledge, skills, and abilities required to effectively perform
assigned duties and responsibilities in accordance with the approved
security plans, licensee protective strategy, and implementing
procedures. On-the-job training must be documented by a qualified
training instructor and attested to by a security supervisor.
c. On-the-job training for contingency activities and drills
must include, but is not limited to, hands-on application of
knowledge, skills, and abilities related to:
(1) Response team duties.
(2) Use of force.
(3) Tactical movement.
(4) Cover and concealment.
(5) Defensive-positions.
(6) Fields-of-fire.
(7) Re-deployment.
(8) Communications (primary and alternate).
(9) Use of assigned equipment.
(10) Target sets.
(11) Table top drills.
(12) Command and control duties.
3. Tactical response team drills and exercises.
a. Licensees shall demonstrate response capabilities through a
performance evaluation program as described in appendix C to this part.
b. The licensee shall conduct drills and exercises in accordance
with Commission-approved security plans, licensee protective
strategy, and implementing procedures.
(1) Drills and exercises must be designed to challenge
participants in a manner which requires each participant to
demonstrate requisite knowledge, skills, and abilities.
(2) Tabletop exercises may be used to supplement drills and
exercises to accomplish desired training goals and objectives.
D. Duty Qualification and Requalification
1. Qualification demonstration.
a. Armed and unarmed members of the security organization shall
demonstrate the required knowledge, skills, and abilities to carry
out assigned duties and responsibilities as stated in the
Commission-approved security plans, licensee protective strategy,
and implementing procedures.
b. This demonstration must include an annual written exam and
hands-on performance demonstration.
(1) Written Exam. The written exams must include those elements
listed in the Commission-approved training and qualification plan
and shall require a minimum score of 80 percent to demonstrate an
acceptable understanding of assigned duties and responsibilities, to
include the recognition of potential tampering involving both safety
and security equipment and systems.
(2) Hands-on Performance Demonstration. Armed and unarmed
members of the security organization shall demonstrate hands-on
performance for assigned duties and responsibilities by performing a
practical hands-on demonstration for required tasks. The hands-on
demonstration must ensure that theory and associated learning
objectives for each required task are considered and each individual
demonstrates the knowledge, skills, and abilities required to
effectively perform the task.
c. Upon request by an authorized representative of the
Commission, any individual assigned to perform any security-related
duty or responsibility shall demonstrate the required knowledge,
skills, and abilities for each assigned duty and responsibility, as
stated in the Commission-approved security plans, licensee
protective strategy, or implementing procedures.
2. Requalification.
a. Armed and unarmed members of the security organization shall
be requalified at least annually in accordance with the requirements
of this appendix and the Commission-approved training and
qualification plan.
b. The results of requalification must be documented by a
qualified training instructor and attested by a security supervisor.
E. Weapons Training
1. General firearms training.
a. Armed members of the security organization shall be trained
and qualified in accordance with the requirements of this appendix
and the Commission-approved training and qualification plan.
b. Firearms instructors.
(1) Each armed member of the security organization shall be
trained and qualified by a certified firearms instructor for the use
and maintenance of each assigned weapon to include but not limited
to, qualification scores, assembly, disassembly, cleaning, storage,
handling, clearing, loading, unloading, and reloading, for each
assigned weapon.
(2) Firearms instructors shall be certified from a nationally or
State recognized entity.
(3) Certification must specify the weapon or weapon type(s) for
which the instructor is qualified to teach.
(4) Firearms instructors shall be recertified in accordance with
the standards recognized by the certifying national or State entity,
but in no case shall re-certification exceed three (3) years.
c. Annual firearms familiarization. The licensee shall conduct
annual firearms familiarization training in accordance with the
Commission-approved training and qualification plan.
d. The Commission-approved training and qualification plan shall
include, but is not limited to, the following areas:
(1) Mechanical assembly, disassembly, range penetration
capability of weapon, and bull's-eye firing.
(2) Weapons cleaning and storage.
(3) Combat firing, day and night.
(4) Safe weapons handling.
(5) Clearing, loading, unloading, and reloading.
(6) When to draw and point a weapon.
(7) Rapid fire techniques.
(8) Closed quarter firing.
(9) Stress firing.
(10) Zeroing assigned weapon(s) (sight and sight/scope adjustments).
(11) Target engagement.
(12) Weapon malfunctions.
(13) Cover and concealment.
(14) Weapon transition between strong (primary) and weak
(support) hands.
(15) Weapon familiarization.
e. The licensee shall ensure that each armed member of the
security organization is instructed on the use of deadly force as
authorized by applicable State law.
f. Armed members of the security organization shall participate
in weapons range activities on a nominal four (4) month periodicity.
Performance may be conducted up to five (5) weeks before to five (5)
weeks after the scheduled date. The next scheduled date must be four
(4) months from the originally scheduled date.
F. Weapons Qualification and Requalification Program
1. General weapons qualification requirements.
a. Qualification firing must be accomplished in accordance with
Commission requirements and the Commission-approved training and
qualification plan for assigned weapons.
b. The results of weapons qualification and requalification must
be documented and retained as a record.
c. Each individual shall be re-qualified at least annually.
2. Alternate weapons qualification. Upon written request by the
licensee, the Commission may authorize an applicant or licensee to
provide firearms qualification programs other than those listed in
this appendix if the applicant or licensee demonstrates that the
alternative firearm qualification program satisfies Commission
requirements. Written requests must provide regarding the proposed
firearms qualification programs and describe how the proposed
alternative satisfies Commission requirements.
3. Tactical weapons qualification. The licensee Training and
Qualification Plan must describe the firearms used, the firearms
qualification program, and other tactical training required to
implement the Commission-approved security plans, licensee
protective strategy, and implementing procedures. Licensee developed
qualification and re-qualification courses for each firearm must
describe the performance criteria needed, to include the site
specific conditions (such as lighting, elevation, fields-of-fire)
under which assigned personnel shall be required to carry-out their
assigned duties.
4. Firearms qualification courses. The licensee shall conduct
the following qualification courses for weapons used:
a. Annual daylight qualification course. Qualifying score must
be an accumulated total of 70 percent with handgun and shotgun, and
80 percent with semi-automatic rifle and/or enhanced weapons, of the
maximum obtainable target score.
b. Annual night fire qualification course. Qualifying score must
be an accumulated total of 70 percent with handgun and shotgun, and
80 percent with semi-automatic rifle and/or enhanced weapons of the
maximum obtainable target score.
c. Annual tactical qualification course. Qualifying score must
be an accumulated
[[Page 62871]]
total of 80 percent of the maximum obtainable score.
5. Courses of fire.
a. Handgun.
(1) Armed members of the security organization, assigned duties
and responsibilities involving the use of a revolver or
semiautomatic pistol shall qualify in accordance with standards and
scores established by a law enforcement course, or an equivalent
nationally recognized course.
(2) Qualifying scores must be an accumulated total of 70 percent
of the maximum obtainable target score.
b. Semiautomatic rifle.
(1) Armed members of the security organization, assigned duties
and responsibilities involving the use of a semiautomatic rifle
shall qualify in accordance with the standards and scores
established by a law enforcement course, or an equivalent nationally
recognized course.
(2) Qualifying scores must be an accumulated total of 80 percent
of the maximum obtainable score.
c. Shotgun.
(1) Armed members of the security organization, assigned duties
and responsibilities involving the use of a shotgun shall qualify in
accordance with standards and scores established by a law
enforcement course, or an equivalent nationally recognized course.
(2) Qualifying scores must be an accumulated total of 70 percent
of the maximum obtainable target score.
d. Enhanced weapons.
(1) Armed members of the security organization, assigned duties
and responsibilities involving the use of any weapon or weapons not
described above, shall qualify in accordance with applicable
standards and scores established by a law enforcement course or an
equivalent nationally recognized course for these weapons.
(2) Qualifying scores must be an accumulated total of 80 percent
of the maximum obtainable score.
6. Requalification.
a. Armed members of the security organization shall be re-
qualified for each assigned weapon at least annually in accordance
with Commission requirements and the Commission-approved training
and qualification plan.
b. Firearms requalification must be conducted using the courses
of fire outlined in Paragraph 5 of this section.
G. Weapons, Personal Equipment, and Maintenance
1. Weapons.
a. The licensee shall provide armed personnel with weapons that
are capable of performing the function stated in the Commission-
approved security plans, licensee protective strategy, and
implementing procedures.
2. Personal equipment.
a. The licensee shall ensure that each individual is equipped or
has ready access to all personal equipment or devices required for
the effective implementation of the Commission-approved security
plans, licensee protective strategy, and implementing procedures.
b. The licensee shall provide armed security personnel, at a
minimum, but is not limited to, the following.
(1) Gas mask, full face.
(2) Body armor (bullet-resistant vest).
(3) Ammunition/equipment belt.
(4) Duress alarms.
(5) Two-way portable radios (handi-talkie) 2 channels minimum, 1
operating and 1 emergency.
c. Based upon the licensee protective strategy and the specific
duties and responsibilities assigned to each individual, the
licensee should provide, but is not limited to, the following.
(1) Flashlights and batteries.
(2) Baton or other non-lethal weapons.
(3) Handcuffs.
(4) Binoculars.
(5) Night vision aids (e.g., goggles, weapons sights).
(6) Hand-fired illumination flares or equivalent.
(7) Tear gas or other non-lethal gas.
3. Maintenance.
a. Firearms maintenance program. Each licensee shall implement a
firearms maintenance and accountability program in accordance with
the Commission regulations and the Commission-approved training and
qualification plan. The program must include:
(1) Semiannual test firing for accuracy and functionality.
(2) Firearms maintenance procedures that include cleaning
schedules and cleaning requirements.
(3) Program activity documentation.
(4) Control and Accountability (Weapons and ammunition).
(5) Firearm storage requirements.
(6) Armorer certification.
H. Records
1. The licensee shall retain all reports, records, or other
documentation required by this appendix in accordance with the
requirements of Sec. 73.55(r).
2. The licensee shall retain each individual's initial
qualification record for three (3) years after termination of the
individual's employment and shall retain each re-qualification
record for three (3) years after it is superceded.
3. The licensee shall document data and test results from each
individual's suitability, physical, and psychological qualification
and shall retain this documentation as a record for three years from
the date of obtaining and recording these results.
I. Audits and Reviews
The licensee shall review the Commission-approved training and
qualification plan in accordance with the requirements of Sec. 73.55(n).
J. Definitions
Terms defined in parts 50, 70, and 73 of this chapter have the
same meaning when used in this appendix.
18. In appendix C to part 73, a heading for Section I and a new
introductory paragraph are added after the ``Introduction'' section and
before the heading ``Contents of the Plan,'' and a new Section II is
added at the end of the appendix to read as follows:
Appendix C to Part 73--Licensee Safeguards Contingency Plans
Section I: Safeguards contingency plans.
Introduction.
Licensee, applicants, and certificate holders, with the
exception of those who are subject to the requirements of Sec.
73.55 shall comply with the requirements of this section of this appendix.
Section II: Nuclear power plant safeguards contingency plans.
(a) Introduction.
The safeguards contingency plan must describe how the criteria
set forth in this appendix will be satisfied through implementation
and must provide specific goals, objectives and general guidance to
licensee personnel to facilitate the initiation and completion of
predetermined and exercised responses to threats, up to and
including the design basis threat described in Sec. 73.1(a)(1).
Contents of the plan.
(b) Each safeguards contingency plan must include the following
twelve (12) categories of information:
(1) Background.
(2) Generic Planning Base.
(3) Licensee Planning Base.
(4) Responsibility Matrix.
(5) Primary Security Functions.
(6) Response Capabilities.
(7) Protective Strategy.
(8) Integrated Response Plan.
(9) Threat Warning System.
(10) Performance Evaluation Program.
(11) Audits and Reviews.
(12) Implementing Procedures.
(c) Background.
(1) Consistent with the design basis threat specified in Sec.
73.1(a)(1), licensees shall identify and describe the perceived
dangers, threats, and incidents against which the safeguards
contingency plan is designed to protect.
(2) Licensees shall describe the general goals and operational
concepts underlying implementation of the approved safeguards
contingency plan, to include, but not limited to the following:
(i) The types of incidents covered.
(ii) The specific goals and objectives to be accomplished.
(iii) The different elements of the onsite physical protection
program that are used to provide at all times the capability to
detect, assess, intercept, challenge, delay, and neutralize threats
up to and including the design basis threat relative to the
perceived dangers and incidents described in the Commission-approved
safeguards contingency plan.
(iv) How the onsite response effort is organized and coordinated
to ensure that licensees capability to prevent significant core
damage and spent fuel sabotage is maintained throughout each type of
incident covered.
(v) How the onsite response effort is integrated to include
specific procedures, guidance, and strategies to maintain or restore
core cooling, containment, and spent fuel pool cooling capabilities
using existing
[[Page 62872]]
or readily available resources (equipment and personnel) that can be
effectively implemented under the circumstances associated with loss
of large areas of the plant due to explosions or fires.
(vi) A list of terms and their definitions used in describing
operational and technical aspects of the approved safeguards
contingency plan.
(d) Generic planning base.
(1) Licensees shall define the criteria for initiation and
termination of responses to threats to include the specific
decisions, actions, and supporting information needed to respond to
each type of incident covered by the approved safeguards contingency plan.
(2) Licensees shall ensure early detection of unauthorized
activities and shall respond to all alarms or other indications of a
threat condition such as, tampering, bomb threats, unauthorized
barrier penetration (vehicle or personnel), missing or unaccounted
for nuclear material, escalating civil disturbances, imminent threat
notification, or other threat warnings.
(3) The safeguards contingency plan must:
(i) Identify the types of events that signal the beginning or
initiation of a safeguards contingency event.
(ii) Provide predetermined and structured responses to each type
of postulated event.
(iii) Define specific goals and objectives for response to each
postulated event.
(iv) Identify the predetermined decisions and actions which are
required to satisfy the written goals and objectives for each
postulated event.
(v) Identify the data, criteria, procedures, mechanisms and
logistical support necessary to implement the predetermined
decisions and actions.
(vi) Identify the individuals, groups, or organizational
entities responsible for each predetermined decision and action.
(vii) Define the command-and-control structure required to
coordinate each individual, group, or organizational entity carrying
out predetermined actions.
(viii) Describe how effectiveness will be measured and
demonstrated to include the effectiveness of the capability to
detect, assess, intercept, challenge, delay, and neutralize threats
up to and including the design basis threat.
(e) Licensee planning base.
Licensees shall describe the site-specific factors affecting
contingency planning and shall develop plans for actions to be taken
in response to postulated threats. The following topics must be addressed:
(1) Organizational Structure. The safeguards contingency plan
must describe the organization's chain of command and delegation of
authority during safeguards contingencies, to include a description
of how command-and-control functions will be coordinated and maintained.
(2) Physical layout.
(i) The safeguards contingency plan must include a site
description, to include maps and drawings, of the physical
structures and their locations.
(A) Site Description. The site description must address the site
location in relation to nearby towns, transportation routes (e.g.,
rail, water, air, roads), pipelines, hazardous material facilities,
onsite independent spent fuel storage installations, and pertinent
environmental features that may have an effect upon coordination of
response operations.
(B) Approaches. Particular emphasis must be placed on main and
alternate entry routes for law-enforcement or other offsite support
agencies and the location of control points for marshaling and
coordinating response activities.
(ii) Licensees with co-located Independent Spent Fuel Storage
Installations shall describe response procedures for both the
operating reactor and the Independent Spent Fuel Storage
Installation to include how onsite and offsite responders will be
coordinated and used for incidents occurring outside the protected area.
(3) Safeguards Systems Hardware. The safeguards contingency plan
must contain a description of the physical security and material
accounting system hardware that influence how the licensee will
respond to an event.
(4) Law enforcement assistance.
(i) The safeguards contingency plan must contain a listing of
available local, State, and Federal law enforcement agencies and a
general description of response capabilities, to include number of
personnel, types of weapons, and estimated response time lines.
(ii) The safeguards contingency plan must contain a discussion
of working agreements with offsite law enforcement agencies to
include criteria for response, command and control protocols, and
communication procedures.
(5) Policy constraints and assumptions. The safeguards
contingency plan must contain a discussion of State laws, local
ordinances, and company policies and practices that govern licensee
response to incidents and must include, but is not limited to, the
following.
(i) Use of deadly force.
(ii) Recall of off-duty employees.
(iii) Site jurisdictional boundaries.
(iv) Use of enhanced weapons, if applicable.
(6) Administrative and logistical considerations. The safeguards
contingency plan must contain a description of licensee practices
which influence how the licensee responds to a threat to include,
but not limited to, a description of the procedures that will be
used for ensuring that all equipment needed to effect a successful
response will be readily accessible, in good working order, and in
sufficient supply to provide redundancy in case of equipment failure.
(f) Responsibility matrix.
(1) The safeguards contingency plan must describe the
organizational entities that are responsible for each decision and
action associated with responses to threats.
(i) For each identified initiating event, a tabulation must be
made for each response depicting the assignment of responsibilities
for all decisions and actions to be taken.
(ii) The tabulations described in the responsibility matrix must
provide an overall description of response actions and interrelationships.
(2) Licensees shall ensure that duties and responsibilities
required by the approved safeguards contingency plan do not conflict
with or prevent the execution of other site emergency plans.
(3) Licensees shall identify and discuss potential areas of
conflict between site plans in the integrated response plan required
by Section II(b)(8) of this appendix.
(4) Licensees shall address safety/security interface issues in
accordance with the requirements of Sec. 73.58 to ensure activities
by the security organization, maintenance, operations, and other
onsite entities are coordinated in a manner that precludes conflict
during both normal and emergency conditions.
(g) Primary security functions.
(1) Licensees shall establish and maintain at all times, the
capability to detect, assess, and respond to all threats to the
facility up to and including the design basis threat.
(2) To facilitate initial response to a threat, licensees shall
ensure the capability to observe all areas of the facility in a
manner that ensures early detection of unauthorized activities and
limits exposure of responding personnel to possible attack.
(3) Licensees shall generally describe how the primary security
functions are integrated to provide defense-in-depth and are
maintained despite the loss of any single element of the onsite
physical protection program.
(4) Licensees description must begin with physical protection
measures implemented in the outermost facility perimeter, and must
move inward through those measures implemented to protect vital and
target set equipment.
(h) Response capabilities.
(1) Licensees shall establish and maintain at all times the
capability to intercept, challenge, delay, and neutralize threats up
to and including the design basis threat.
(2) Licensees shall identify the personnel, equipment, and
resources necessary to perform the actions required to prevent
significant core damage and spent fuel sabotage in response to
postulated events.
(3) Licensees shall ensure that predetermined actions can be
completed under the postulated conditions.
(4) Licensees shall provide at all times an armed response team
comprised of trained and qualified personnel who possess the
knowledge, skills, abilities, and equipment required to implement
the Commission-approved safeguards contingency plan and site
protective strategy. The plan must include a description of the
armed response team including the following:
(i) The authorized minimum number of armed responders, available
at all times inside the protected area.
(ii) The authorized minimum number of armed security officers,
available onsite at all times.
(5) The total number of armed responders and armed security
officers must be documented in the approved security plans and
documented as a component of the protective strategy.
(6) Licensees shall ensure that individuals assigned duties and
responsibilities to implement the Safeguards Contingency Plan
[[Page 62873]]
are trained and qualified in accordance with appendix B of this part
and the Commission-approved security plans.
(i) Protective strategy.
(1) Licensees shall develop, maintain, and implement a written
protective strategy that describes the deployment of the armed
response team relative to the general goals, operational concepts,
performance objectives, and specific actions to be accomplished by
each individual in response to postulated events.
(2) The protective strategy must:
(i) Be designed to prevent significant core damage and spent
fuel sabotage through the coordinated implementation of specific
actions and strategies required to intercept, challenge, delay, and
neutralize threats up to and including the design basis threat of
radiological sabotage.
(ii) Describe and consider site specific conditions, to include
but not limited to, facility layout, the location of target set
equipment and elements, target set equipment that is in maintenance
or out of service, and the potential effects that unauthorized
electronic access to safety and security systems may have on the
protective strategy capability to prevent significant core damage
and spent fuel sabotage.
(iii) Identify predetermined actions and time lines for the
deployment of armed personnel.
(iv) Provide bullet resisting protected positions with
appropriate fields of fire.
(v) Limit exposure of security personnel to possible attack.
(3) Licensees shall provide a command and control structure, to
include response by off-site law enforcement agencies, which ensures
that decisions and actions are coordinated and communicated in a
timely manner and that facilitates response in accordance with the
integrated response plan.
(j) Integrated Response Plan.
(1) Licensees shall document, maintain, and implement an
Integrated Response Plan which must identify, describe, and
coordinate actions to be taken by licensee personnel and offsite
agencies during a contingency event or other emergency situation.
(2) The Integrated Response Plan must:
(i) Be designed to integrate and coordinate all actions to be
taken in response to an emergency event in a manner that will ensure
that each site plan and procedure can be successfully implemented
without conflict from other plans and procedures.
(ii) Include specific procedures, guidance, and strategies to
maintain or restore core cooling, containment, and spent fuel pool
cooling capabilities using existing or readily available resources
(equipment and personnel) that can be effectively implemented under
the circumstances associated with loss of large areas of the plant
due to explosions or fires.
(iii) Ensure that onsite staffing levels, facilities, and
equipment required for response to any identified event, are readily
available and capable of fulfilling their intended purpose.
(iv) Provide emergency action levels to ensure that threats
result in at least a notification of unusual event and implement
procedures for the assignment of a predetermined classification to
specific events.
(v) Include specific procedures, guidance, and strategies
describing cyber incident response and recovery.
(3) Licensees shall:
(i) Reconfirm on a annual basis, liaison with local, State, and
Federal law enforcement agencies, established in accordance with
Sec. 73.55(k)(8), to include communication protocols, command and
control structure, marshaling locations, estimated response times,
and anticipated response capabilities and specialized equipment.
(ii) Provide required training to include simulator training for
the operations response to security events (e.g., loss of ultimate
heat sink) for nuclear power reactor personnel in accordance with
site procedures to ensure the operational readiness of personnel
commensurate with assigned duties and responsibilities.
(iii) Periodically train personnel in accordance with site
procedures to respond to a hostage or duress situation.
(iv) Determine the possible effects that nearby hazardous
material facilities may have upon site response plans and modify
response plans, procedures, and equipment as necessary.
(v) Ensure that identified actions are achievable under
postulated conditions.
(k) Threat warning system.
(1) Licensees shall implement a ``Threat warning system'' which
identifies specific graduated protective measures and actions to be
taken to increase licensee preparedness against a heightened or
imminent threat of attack.
(2) Licensees shall ensure that the specific protective measures
and actions identified for each threat level are consistent with the
Commission-approved safeguards contingency plan, and other site
security, and emergency plans and procedures.
(3) Upon notification by an authorized representative of the
Commission, licensees shall implement the specific protective measures
assigned to the threat level indicated by the Commission representative.
(l) Performance Evaluation Program.
(1) Licensees shall document and maintain a Performance
Evaluation Program that describes how the licensee will demonstrate
and assess the effectiveness of the onsite physical protection
program to prevent significant core damage and spent fuel sabotage,
and to include the capability of armed personnel to carry out their
assigned duties and responsibilities.
(2) The Performance Evaluation Program must include procedures
for the conduct of quarterly drills and annual force-on-force
exercises that are designed to demonstrate the effectiveness of the
licensee's capability to detect, assess, intercept, challenge,
delay, and neutralize a simulated threat.
(i) The scope of drills conducted for training purposes must be
determined by the licensee as needed, and can be limited to specific
portions of the site protective strategy.
(ii) Drills, exercises, and other training must be conducted
under conditions that simulate as closely as practical the site
specific conditions under which each member will, or may be,
required to perform assigned duties and responsibilities.
(iii) Licensees shall document each performance evaluation to
include, but not limited to, scenarios, participants, and critiques.
(iv) Each drill and exercise must include a documented post
exercise critique in which participants identify failures, deficiencies,
or other findings in performance, plans, equipment, or strategies.
(v) Licensees shall enter all findings, deficiencies, and
failures identified by each performance evaluation into the
corrective action program to ensure that timely corrections are made
to the onsite physical protection program and necessary changes are
made to the approved security plans, licensee protective strategy,
and implementing procedures.
(vi) Licensees shall protect all findings, deficiencies, and
failures relative to the effectiveness of the onsite physical
protection program in accordance with the requirements of Sec. 73.21.
(3) For the purpose of drills and exercises, licensees shall:
(i) Use no more than the number of armed personnel specified in
the approved security plans to demonstrate effectiveness.
(ii) Minimize the number and effects of artificialities
associated with drills and exercises.
(iii) Implement the use of systems or methodologies that simulate the
realities of armed engagement through visual and audible means, and
reflects the capabilities of armed personnel to neutralize a target
through the use of firearms during drills and exercises.
(iv) Ensure that each scenario used is capable of challenging
the ability of armed personnel to perform assigned duties and
implement required elements of the protective strategy.
(4) The Performance Evaluation Program must be designed to ensure that:
(i) Each member of each shift who is assigned duties and
responsibilities required to implement the approved safeguards
contingency plan and licensee protective strategy participates in at
least one (1) drill on a quarterly basis and one (1) force on force
exercise on an annual basis.
(ii) The mock adversary force replicates, as closely as
possible, adversary characteristics and capabilities in the design
basis threat described in Sec. 73.1(a)(1), and is capable of
exploiting and challenging the licensee protective strategy,
personnel, command and control, and implementing procedures.
(iii) Protective strategies are evaluated and challenged through
tabletop demonstrations.
(iv) Drill and exercise controllers are trained and qualified to
ensure each controller has the requisite knowledge and experience to
control and evaluate exercises.
(v) Drills and exercises are conducted safely in accordance with
site safety plans.
(5) Members of the mock adversary force used for NRC observed
exercises shall be independent of both the security program
management and personnel who have direct responsibility for
implementation of the
[[Page 62874]]
security program, including contractors, to avoid the possibility
for a conflict-of-interest.
(6) Scenarios.
(i) Licensees shall develop and document multiple scenarios for
use in conducting quarterly drills and annual force-on-force exercises.
(ii) Licensee scenarios must be designed to test and challenge
any component or combination of components, of the onsite physical
protection program and protective strategy.
(iii) Each scenario must use a unique target set or target sets,
and varying combinations of adversary equipment, strategies, and
tactics, to ensure that the combination of all scenarios challenges
every component of the onsite physical protection program and
protective strategy to include, but not limited to, equipment,
implementing procedures, and personnel.
(iv) Licensees shall ensure that scenarios used for required
drills and exercises are not repeated within any twelve (12) month
period for drills and three (3) years for exercises.
(m) Records, audits, and reviews.
(1) Licensees shall review and audit the Commission-approved
safeguards contingency plan in accordance with the requirements
Sec. 73.55(n) of this part.
(2) The licensee shall make necessary adjustments to the
Commission-approved safeguards contingency plan to ensure successful
implementation of Commission regulations and the site protective strategy.
(3) The safeguards contingency plan review must include an audit
of implementing procedures and practices, the site protective
strategy, and response agreements made by local, State, and Federal
law enforcement authorities.
(4) Licensees shall retain all reports, records, or other
documentation required by this appendix in accordance with the
requirements of Sec. 73.55(r).
(n) Implementing procedures.
(1) Licensees shall establish and maintain written implementing
procedures that provide specific guidance and operating details that
identify the actions to be taken and decisions to be made by each
member of the security organization who is assigned duties and
responsibilities required for the effective implementation of the
Commission-approved security plans and the site protective strategy.
(2) Licensees shall ensure that implementing procedures
accurately reflect the information contained in the Responsibility
Matrix required by this appendix, the Commission-approved security
plans, the Integrated Response Plan, and other site plans.
(3) Implementing procedures need not be submitted to the
Commission for approval, but are subject to inspection.
19. 10 CFR part 73, appendix G, is revised to read as follows:
Appendix G to Part 73--Reportable Safeguards Events
Under the provisions of Sec. 73.71(a), (d), and (f) of this
part, licensees subject to the provisions of Sec. 73.55 of this
part shall report or record, as appropriate, the following
safeguards events under paragraphs I, II, III, and IV of this
appendix. Under the provisions of Sec. 73.71(b), (c), and (f) of
this part, licensees subject to the provisions of Sec. Sec. 73.20,
73.37, 73.50, 73.60, and 73.67 of this part shall report or record,
as appropriate, the following safeguards events under paragraphs II
and IV of this appendix. Licensees shall make such reports to the
Commission under the provisions of Sec. 73.71 of this part.
I. Events to be reported as soon as possible, but no later than
15 minutes after discovery, followed by a written report within
sixty (60) days.
(a) The initiation of a security response consistent with a
licensee's physical security plan, safeguards contingency plan, or
defensive strategy based on actual or imminent threat against a
nuclear power plant.
(b) The licensee is not required to report security responses
initiated as a result of information communicated to the licensee by
the Commission, such as the threat warning system addressed in
appendix C to this part.
II. Events to be reported within one (1) hour of discovery,
followed by a written report within sixty (60) days.
(a) Any event in which there is reason to believe that a person
has committed or caused, or attempted to commit or cause, or has
made a threat to commit or cause:
(1) A theft or unlawful diversion of special nuclear material;
or
(2) Significant physical damage to any NRC-licensed power
reactor or facility possessing strategic special nuclear material or
to carrier equipment transporting nuclear fuel or spent nuclear
fuel, or to the nuclear fuel or spent nuclear fuel facility which is
possessed by a carrier; or
(3) Interruption of normal operation of any NRC licensed nuclear
power reactor through the unauthorized use of or tampering with its
components, or controls including the security system.
(b) An actual or attempted entry of an unauthorized person into
any area or transport for which the licensee is required by
Commission regulations to control access.
(c) Any failure, degradation, or the discovered vulnerability in
a safeguard system that could allow unauthorized or undetected
access to any area or transport for which the licensee is required
by Commission regulations to control access and for which
compensatory measures have not been employed.
(d) The actual or attempted introduction of contraband into any
area or transport for which the licensee is required by Commission
regulations to control access.
III. Events to be reported within four (4) hours of discovery.
No written followup report is required.
(a) Any other information received by the licensee of suspicious
surveillance activities or attempts at access, including:
(1) Any security-related incident involving suspicious activity
that may be indicative of potential pre-operational surveillance,
reconnaissance, or intelligence-gathering activities directed
against the facility. Such activity may include, but is not limited
to, attempted surveillance or reconnaissance activity, elicitation
of information from security or other site personnel relating to the
security or safe operation of the plant, or challenges to security
systems (e.g., failure to stop for security checkpoints, possible
tests of security response and security screening equipment, or
suspicious entry of watercraft into posted off-limits areas).
(2) Any security-related incident involving suspicious aircraft
overflight activity. Commercial or military aircraft activity
considered routine by the licensee is not required to be reported.
(3) Incidents resulting in the notification of local, State or
national law enforcement, or law enforcement response to the site
not included in paragraphs I or II of this appendix;
(b) The unauthorized use of or tampering with the components or
controls, including the security system, of nuclear power reactors.
(c) Follow-up communications regarding events reported under
paragraph III of this appendix will be completed through the NRC
threat assessment process via the NRC Operations Center.\1\
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\1\ Commercial (secure and non-secure) telephone numbers of the
NRC Operations Center are specified in appendix A of this part.
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IV. Events to be recorded within 24 hours of discovery in the
safeguards event log.
(a) Any failure, degradation, or discovered vulnerability in a
safeguards system that could have allowed unauthorized or undetected
access to any area or transport in which the licensee is required by
Commission regulations to control access had compensatory measures
not been established.
(b) Any other threatened, attempted, or committed act not
previously defined in this appendix with the potential for reducing
the effectiveness of the physical protection program below that
described in a licensee physical security or safeguards contingency
plan, or the actual condition of such reduction in effectiveness.
Dated at Rockville, Maryland, this 10th day of October 2006.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. 06-8678 Filed 10-25-06; 8:45 am]
BILLING CODE 7590-01-P